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United States Regulations
15 CFR PART 772—DEFINITIONS OF TERMS
PART 772—DEFINITIONS OF TERMS
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 2, 2005, 70 FR 45273 (August 5, 2005).
Source: 61 FR 12925, Mar. 25, 1996, unless otherwise noted.
§ 772.1 Definitions of terms as used in the Export Administration Regulations (EAR).
The following are definitions of terms as used in the Export Administration Regulations (EAR). In this part, references to the EAR are references to 15 CFR chapter VII, subchapter C. Those terms in quotation marks refer to terms used on the Commerce Control List (CCL) (Supplement No. 1 to part 774 of the EAR). Parenthetical references following the terms in quotation marks (i.e., (Cat 5)) refer to the CCL category in which that term is found. If a term is used in only one Export Control Classification Number (ECCN) on the CCL, then that term will not appear in this part, but will be defined in the Related Definitions paragraph in the List of Items Controlled Section of that ECCN.
AES. See “Automated Export System.”
“ATM.” (Cat 5)—See “Asynchronous Transfer Mode.”
“Accuracy.” (Cat 2 and 6)—“Accuracy” is usually measured in terms of inaccuracy. It is defined as the maximum deviation, positive or negative, of an indicated value from an accepted standard or true value.
“Active flight control systems.” (Cat 7)—Function to prevent undesirable “aircraft” and “missile” motions or structural loads by autonomously processing outputs from multiple sensors and then providing necessary preventive commands to effect automatic control.
“Active pixel.” (Cat 6 and 8)—A minimum (single) element of the solid state array that has a photoelectric transfer function when exposed to light (electromagnetic) radiation.
“Adaptive control.” (Cat 2)—A control system that adjusts the response from conditions detected during the operation (Ref. ISO 2806–1980).
Advisory Committee on Export Policy (ACEP). The ACEP voting members include the Assistant Secretary of Commerce for Export Administration, and Assistant Secretary-level representatives from the Departments of State, Defense, Justice (for encryption exports), Energy, and the Arms Control and Disarmament Agency. The appropriate representatives of the Joint Chiefs of Staff and the Director of the Nonproliferation Center of the Central Intelligence Agency are non-voting members. The Assistant Secretary of Commerce for Export Administration is the Chair. Appropriate acting Assistant Secretary, Deputy Assistant Secretary or equivalent strength of any agency or department may serve in lieu of the Assistant Secretary of the concerned agency or department. Such representatives, regardless of rank, will speak and vote on behalf of their agencies or departments. The ACEP may invite Assistant Secretary-level representatives of other Government agencies or departments (other than those identified above) to participate in the activities of the ACEP when matters of interest to such agencies or departments are under consideration. Decisions are made by majority vote.
AES. See “Automated Export System.”
Agricultural commodities. Agricultural commodities include food (including processed food); feed; fish; shellfish and fish products; beer, wine and spirits; livestock; fiber including cotton, wool and other fibers; tobacco and tobacco products; wood and wood products; seeds; fertilizer and organic fertilizer; reproductive materials such as fertilized eggs, embryos and semen. For the purposes of the EAR, agricultural commodities do not include furniture made from wood; clothing manufactured from plant or animal materials; agricultural equipment (whether hand tools or motorized equipment); pesticides, insecticides, or herbicides; or cosmetics (unless derived entirely from plant materials).
Note 1: This definition of agricultural commodities includes fertilizer and organic fertilizer, as listed in section 775 of the 2001 Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act (Act) (Public Law 106–387) and commodities listed in section 102 of the Agricultural Trade Act of 1978 (7 U.S.C. 5602) as incorporated in section 902 of the Act, as well as commodities determined by the Department of Agriculture to fall within the scope of section 102 of the 1978 Agricultural Trade Act.
Note 2: For purposes of License Exception AGR (see §740.18 of the EAR), agricultural commodities also include vitamins, minerals, food additives and dietary supplements, and bottled water. These items do not fall within the scope of section 102 of the 1978 Agricultural Trade Act, but are treated as agricultural commodities for the purposes of License Exception AGR.
Note 3: For purposes of License Exception AGR and export license applications to Iran and Sudan under the licensing procedures set forth in the appropriate regulations promulgated and administered by Treasury's Office of Foreign Assets Control, agricultural commodities only include those that are classified as EAR99.
“Aircraft.” (Cat 1, 7, and 9)—A fixed wing, swivelwing, rotary wing (helicopter), tilt rotor or tilt-wing airborne vehicle. (See also “civil aircraft”.)
Airline. Any person engaged primarily in the transport of persons or property by aircraft for compensation or hire, pursuant to authorization by the U.S. Government or a foreign government.
“All compensations available.” (Cat 2) means after all feasible measures available to the manufacturer to minimize all systematic positioning errors for the particular machine-tool model are considered.
Allocated by the ITU. (Cat 3 and Cat 5 part 1)—The allocation of frequency bands according to the current edition of the ITU Radio Regulations for primary, permitted and secondary services.
N.B. Additional and alternative allocations are not included.
“Angular position deviation.” (Cat 2)—The maximum difference between angular position and the actual, very accurately measured angular position after the workpiece mount of the table has been turned out of its initial position. (Reference: VDI/VDE 2617, Draft: “Rotary tables on coordinate measuring machines”).
Applicant. The person who applies for an export or reexport license, and who has the authority of a principal party in interest to determine and control the export or reexport of items. See §748.4 of the EAR and definition for “exporter” in this part of the EAR.
“Asymmetric algorithm.” (Cat 5) means a cryptographic algorithm using different, mathematically-related keys for encryption and decryption.
Technical Note: A common use of “asymmetric algorithms” is key management.
“Asynchronous transfer mode”. (“ATM”) (Cat 5)—A transfer mode in which the information is organized into cells; it is asynchronous in the sense that the recurrence of cells depends on the required or instantaneous bit rate.
Australia Group. The countries participating in the Australia Group have agreed to adopt harmonized controls on certain dual-use chemicals (i.e., precursor chemicals), biological agents, related manufacturing facilities and equipment, and related technology in order to ensure that exports of these items do not contribute to the proliferation of chemical or biological weapons. Countries participating in the Australia Group as of August 1, 2005, include: Argentina, Australia, Austria, Belgium, Bulgaria, Canada, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Japan, Korea (South), Latvia, Lithuania, Luxembourg, Malta, the Netherlands, New Zealand, Norway, Poland, Portugal, Romania, Slovak Republic, Slovenia, Spain, Sweden, Switzerland, Turkey, Ukraine, the United Kingdom, and the United States. See also §742.2 of the EAR.
Automated Export System (AES). AES is a nationwide system operational at all ports and for all methods of transportation through which export shipment data required by multiple agencies is filed electronically to Customs, using the efficiencies of Electronic Data Interchange (EDI). AES provides an alternative to filing paper Shipper's Export Declarations (SEDs), so that export information is collected electronically and edited immediately. For more information about AES, visit the Bureau of Census website at: http://www.customs.ustreas.gov/impoexpo/abaesint.htm.
“Automatic target tracking”. (Cat 6)—A processing technique that automatically determines and provides as output an extrapolated value of the most probable position of the target in real time.
Bank. Means any of the following:
(a) Bank, savings association, credit union, bank holding company, bank or savings association service corporation, Edge Act corporation, Agreement corporation, or any insured depository institution, which is organized under the laws of the United States or any State and regulated or supervised by a Federal banking agency or a State bank supervisor; or
(b) A company organized under the laws of a foreign country and regulated or supervised by a foreign bank regulatory or supervisory authority which engages in the business of banking, including without limitation, foreign commercial banks, foreign merchant banks and other foreign institutions that engage in banking activities usual in connection with the business of banking in the countries where such foreign institutions are organized or operating; or
(c) An entity engaged in the business of providing clearing or settlement services, that is, or whose members are, regulated or supervised by a Federal banking agency, a State bank supervisor, or a foreign bank regulatory or supervisory authority; or
(d) A branch or affiliate of any of the entities listed in paragraphs (a), (b), or (c) of this definition, regulated or supervised by a Federal banking agency, a State bank supervisor or a foreign bank regulatory or supervisory authority; or
(e) An affiliate of any of the entities listed in paragraph (a), (b), (c), or (d) of this definition, engaged solely in the business of providing data processing services to a bank or financial institution, or a branch of such an affiliate.
“Basic gate propagation delay time.” (Cat 3) The propagation delay time value corresponding to the basic gate used in a “monolithic integrated circuit.” For a ‘family’ of “monolithic integrated circuits”, this may be specified either as the propagation delay time per typical gate within the given ‘family’ or as the typical propagation delay time per gate within the given ‘family’.
Technical Notes: 1. “Basic gate propagation delay time” is not to be confused with the input/output delay time of a complex “monolithic integrated circuit.”
2. ‘Family’ consists of all integrated circuits to which all of the following are applied as their manufacturing methodology and specifications except their respective functions:
a. The common hardware and software architecture;
b. The common design and process technology; and
c. The common basic characteristics.
“Basic Scientific Research”. (GTN)—Experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena or observable facts, not primarily directed towards a specific practical aim or objective.
“Bias”. (accelerometer) (Cat 7)—An accelerometer output when no acceleration is applied.
Bill of Lading. The contract of carriage and receipt for items, issued by the carrier. It includes an air waybill, but does not include an inland bill of lading or a domestic air waybill covering movement to port only.
Business Unit. As applied to encryption items, means a unit of a business which, whether or not separately incorporated, has:
(a) A distinct organizational structure which does not overlap with other business units of the same business;
(b) A distinct set of accounts; and
(c) Separate facilities for purchase, sale, delivery, and production of goods and services.
CCL. See Commerce Control List.
CCL Group. The Commerce Control List (CCL) is divided into 10 categories. Each category is subdivided into five groups, designated by the letters A through E: (A) Equipment, assemblies and components; (B) Test, inspection and production equipment; (C) Materials; (D) Software; and (E) Technology. See §738.2(b) of the EAR.
“CE” See “Computing Element.”
“CTP” See “Composite theoretical performance.” This term may also appear without quotation marks.
“Camming”. (axial displacement) (Cat 2)—Axial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle faceplate, at a point next to the circumference of the spindle faceplate (Ref.: ISO 230 Part 1–1986, paragraph 5.63).
Canadian airline. Any citizen of Canada who is authorized by the Canadian Government to engage in business as an airline. For purposes of this definition, a Canadian citizen is:
(a) A natural person who is a citizen of Canada; or
(b) A partnership of which each member is such an individual; or
(c) A Canadian firm incorporated or otherwise organized under the laws of Canada or any Canadian province, having a total foreign stock interest not greater than 40 percent and having the Chairman or Acting Chairman and at least two-thirds of the Directors thereof Canadian citizens.
“Capable of”. (MTCR context)—See “usable in”.
“Carbon fiber preforms.” (Cat 1) means an ordered arrangement of uncoated or coated fibers intended to constitute a framework of a part before the “matrix” is introduced to form a “composite.”
Category. The Commerce Control List (CCL) is divided into ten categories: (0) Nuclear Materials, Facilities and Equipment, and Miscellaneous; (1) Materials, Chemicals, “Microorganisms”, and Toxins; (2) Materials Processing; (3) Electronics Design, Development and Production; (4) Computers; (5) Telecommunications and Information Security; (6) Sensors; (7) Navigation and Avionics; (8) Marine; (9) Propulsion Systems, Space Vehicles, and Related Equipment. See §738.2(a) of the EAR.
“Chemical laser”. (Cat 6)—A “laser” in which the excited species is produced by the output energy from a chemical reaction.
Chemical Weapons Convention (CWC). Means “The Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons and on Their Destruction”, opened for signature on January 13, 1993.
“Circulation-controlled, anti-torque or circulation-controlled direction control systems” (Cat 7)—Control systems using air blown over aerodynamic surfaces to increase or control the forces generated by the surfaces.
“Civil aircraft”. (Cat 1, 7, and 9)—those “aircraft” listed by designation in published airworthiness certification lists by the civil aviation authorities to fly commercial civil internal and external routes or for legitimate civil, private or business use. (See also “aircraft”)
COCOM (Coordinating Committee on Multilateral Export Controls). A multilateral organization that cooperated in restricting strategic exports to controlled countries. COCOM was officially disbanded on March 31, 1994. COCOM members included: Australia, Belgium, Canada, Denmark, France, Germany, Greece, Italy, Japan, Luxembourg, Netherlands, Norway, Portugal, Spain, Turkey, United Kingdom, and United States.
Commerce Control List (CCL). A list of items under the export control jurisdiction of the Bureau of Industry and Security, U.S. Department of Commerce. Note that certain additional items described in part 732 of the EAR are also subject to the EAR. The CCL is found in Supplement No. 1 to part 774 of the EAR.
“Commingled”. (Cat 1)—Filament to filament blending of thermoplastic fibers and reinforcement fibers in order to produce a fiber reinforcement/matrix mix in total fiber form.
“Comminution”. (Cat 1)—A process to reduce a material to particles by crushing or grinding.
Commodity. Any article, material, or supply except technology and software. Note that the provisions of the EAR applicable to the control of software (e.g. publicly available provisions) are not applicable to encryption software. Encryption software is controlled because, like the items controlled under ECCN 5A002, it has a functional capacity to encrypt information on a computer system, and not because of any informational or theoretical value that such software may reflect, contain or represent, or that its export may convey to others abroad.
“Common channel signalling”. (Cat 5)—A signalling method in which a single channel between exchanges conveys, by means of labelled messages, signalling information relating to a multiplicity of circuits or calls and other information such as that used for network management.
“Composite”. (Cat 1, 2, 6, 8, and 9)—A “matrix” and an additional phase or additional phases consisting of particles, whiskers, fibers or any combination thereof, present for a specific purpose or purposes.
“Composite theoretical performance”. (CTP) (Cat 3 and 4)—A measure of computational performance given in millions of theoretical operations per second (Mtops), calculated using the aggregation of “computing elements (CE)”. (See Category 4, Technical Note.) This term may also appear without quotation marks. The formula to calculate the CTP is contained in a technical note titled “Information on How to Calculate “Composite Theoretical Performance” at the end of Category 4 of the CCL.
“Compound rotary table”. (Cat 2)—A table allowing the workpiece to rotate and tilt about two non-parallel axis that can be coordinated simultaneously for “contouring control”.
“Computing element”. (CE) (Cat 4)—The smallest computational unit that produces an arithmetic or logic result.
“Contouring control”. (Cat 2)—Two or more “numerically controlled” motions operating in accordance with instructions that specify the next required position and the required feed rates to that position. These feed rates are varied in relation to each other so that a desired contour is generated (Ref. ISO/DIS 2806—1980).
Controlled country. Countries designated controlled for national security purposes under authority delegated to the Secretary of Commerce by Executive Order 12214 of May 2, 1980 pursuant to section 5(b) of the EAA. The controlled countries are: Albania, Armenia, Azerbaijan, Belarus, Cambodia, Cuba, the People's Republic of China, Georgia, Iraq, Kazakstan, Kyrgyzstan, Laos, Macau, Moldova, Mongolia, North Korea, Russia, Tajikstan, Turkmenistan, Ukraine, Uzbekistan, and Vietnam. All of the controlled countries except Cuba are listed in Country Group D:1 of the EAR. Cuba is listed in Country Group E:2. This definition does not apply to part 768 of the EAR (Foreign Availability), which provides a dedicated definition.
Controlled in fact. For purposes of the Special Comprehensive License (part 752 of the EAR), controlled in fact is defined as it is under the Restrictive Trade Practices or Boycotts (§760.1(c) of the EAR).
Cooperating country. A country that cooperated with the former COCOM member countries in restricting strategic exports in accordance with COCOM standards. The “Cooperating Countries” are: Austria, Finland, Hong Kong, Ireland, Korea (Republic of), New Zealand, Sweden, and Switzerland.
Countries supporting international terrorism. In accordance with section 6(j) of the Export Administration Act of 1979, as amended (EAA), the Secretary of State has determined that the following countries' governments have repeatedly provided support for acts of international terrorism: Cuba, Iran, Iraq, Libya, North Korea, Sudan, and Syria.
Country Chart. A chart, found in Supplement No. 1 to part 738 of the EAR, that contains certain licensing requirements based on destination and reason for control. In combination with the CCL, the Country Chart indicates when a license is required for any item on the CCL to any country in the world under General Prohibition One (Exports and Reexports in the Form Received), General Prohibition Two (Parts and Components Reexports), and General Prohibition Three (Foreign Produced Direct Product Reexports). See part 736 of the EAR.
Country Groups. For export control purposes, foreign countries are separated into five country groups designated by the symbols A, B, C, D, and E. (See Supplement No. 1 to part 740 of the EAR for a list of countries in each Country Group.)
“Critical temperature”. (Cat 1, 3, and 6)—The “critical temperature” (sometimes referred to as the transition temperature) of a specific “superconductive” material is the temperature at which the material loses all resistance to the flow of direct electrical current.
“Cryptanalytic items”. Systems, equipment, applications, specific electronic assemblies, modules and integrated circuits designed or modified to perform cryptanalytic functions, software having the characteristics of cryptanalytic hardware or performing cryptanalytic functions, or technology for the development, production or use of cryptanalytic commodities or software.
Notes: 1. Cryptanalytic functions may include cryptanalysis, which is the analysis of a cryptographic system or its inputs and outputs to derive confidential variables or sensitive data including clear text. (ISO 7498–2–1988(E), paragraph 3.3.18).
2. Functions specially designed and limited to protect against malicious computer damage or unauthorized system intrusion (e.g., viruses, worms and trojan horses) are not construed to be cryptanalytic functions.
“Cryptography”. (Cat 5)—The discipline that embodies principles, means and methods for the transformation of data in order to hide its information content, prevent its undetected modification or prevent its unauthorized use. “Cryptography” is limited to the transformation of information using one or more “secret parameters” (e.g., crypto variables) and/or associated key management.
Note: “Secret parameter”: a constant or key kept from the knowledge of others or shared only within a group.
Customs officer. The Customs officers in the U.S. Customs Service and postmasters unless the context indicates otherwise.
“Data signalling rate.” (Cat 5) means the rate, as defined in ITU Recommendation 53–36, taking into account that, for non-binary modulation, baud and bit per second are not equal. Bits for coding, checking and synchronization functions are to be included.
Note: When determining the “data signalling rate”, servicing and administrative channels shall be excluded.
Technical Note: It is the maximum one-way rate, i.e., the maximum rate in either transmission or reception.
“Deformable mirrors.” (Cat 6) (also known as adaptive optic mirrors) means mirrors having:
a. A single continuous optical reflecting surface which is dynamically deformed by the application of individual torques or forces to compensate for distortions in the optical waveform incident upon the mirror; or
b. Multiple optical reflecting elements that can be individually and dynamically repositioned by the application of torques or forces to compensate for distortions in the optical waveform incident upon the mirror.
“Depleted uranium.” (Cat 0) means uranium depleted in the isotope 235 below that occurring in nature.
“Designed or modified.” (MTCR context)—Equipment, parts, components, or “software” that, as a result of “development”, or modification, have specified properties that make them fit for a particular application. “Designed or modified” equipment, parts, components or “software” can be used for other applications. For example, a titanium coated pump designed for a “missile” may be used with corrosive fluids other than propellants.
“Development”. (General Technology Note)—“Development” is related to all stages prior to serial production, such as: design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts.
“Diffusion bonding“. (Cat 1, 2, and 9)—A solid-state molecular joining of at least two separate metals into a single piece with a joint strength equivalent to that of the weakest material.
“Digital computer”. (Cat 4 and 5)—Equipment that can, in the form of one or more discrete variables, perform all of the following:
(a) Accept data;
(b) Store data or instructions in fixed or alterable (writable) storage devices;
(c) Process data by means of a stored sequence of instructions that is modifiable; and
(d) Provide output of data.
Note: Modifications of a stored sequence of instructions include replacement of fixed storage devices, but not a physical change in wiring or interconnections.
“Digital transfer rate”. (Cat 5)—The total bit rate of the information that is directly transferred on any type of medium. (See also “total digital transfer rate”)
“Direct-acting hydraulic pressing”. (Cat 2)—A deformation process that uses a fluid-filled flexible bladder in direct contact with the workpiece.
Directorate of Defense Trade Controls (DDTC). The office at the Department of State, formerly known as the Office of Defense Trade Controls and before that as the Office of Munitions Control, responsible for reviewing applications to export and reexport items on the U.S. Munitions List. (See 22 CFR parts 120 through 130.)
“Drift rate”. (gyro) (Cat 7)—The time rate of output deviation from the desired output. It consists of random and systematic components and is expressed as an equivalent input angular displacement per unit time with respect to inertial space.
Dual use. Items that have both commercial and military or proliferation applications. While this term is used informally to describe items that are subject to the EAR, purely commercial items are also subject to the EAR (see §734.2(a) of the EAR).
“Dynamic adaptive routing”. (Cat 5)—Automatic rerouting of traffic based on sensing and analysis of current actual network conditions.
Note: This does not include cases of routing decisions taken on predefined information.
“Dynamic signal analyzers”. (Cat 3)—“Signal analyzers” that use digital sampling and transformation techniques to form a Fourier spectrum display of the given waveform including amplitude and phase information.
Effective control. You maintain effective control over an item when you either retain physical possession of the item, or secure the item in such an environment as a hotel safe, a bonded warehouse, or a locked or guarded exhibition facility. Retention of effective control over an item is a condition of certain temporary exports and reexports.
“Effective Gram.” (of “special fissile material”) (Cat 0 and 1) means:
a. For plutonium isotopes and uranium-233, the isotope weight in grams;
b. For uranium enriched 1 percent or greater in the isotope uranium-235, the element weight in grams multiplied by the square of its enrichment expressed as a decimal weight fraction;
c. For uranium enriched below 1 percent in the isotope uranium-235, the element weight in grams multiplied by 0.0001.
“Electronic assembly.” (Cat 3, 4, and 5) means a number of electronic components (i.e., ‘circuit elements’, ‘discrete components’, integrated circuits, etc.) connected together to perform (a) specific function(s), replaceable as an entity and normally capable of being disassembled.
Technical Notes: 1. ‘Circuit element’: a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
2. ‘Discrete component’: a separately packaged ‘circuit element’ with its own external connections.
“Electronically steerable phased array antenna”. (Cat 6)—An antenna that forms a beam by means of phase coupling (i.e., the beam direction is controlled by the complex excitation coefficients of the radiating elements) and the direction of that beam can be varied (both in transmission and reception) in azimuth or in elevation, or both, by application of an electrical signal.
“Encryption component”. Any encryption commodity or software (except source code), including encryption chips, integrated circuits, application specific encryption toolkits, or executable or linkable modules that alone are incapable of performing complete cryptographic functions, and is designed or intended for use in or the production of another encryption item.
Encryption items. The phrase encryption items includes all encryption commodities, software, and technology that contain encryption features and are subject to the EAR. This does not include encryption items specifically designed, developed, configured, adapted or modified for military applications (including command, control and intelligence applications) which are controlled by the Department of State on the U.S. Munitions List.
Encryption licensing arrangement. A license that allows the export of specified products to specified destinations in unlimited quantities. In certain cases, exports are limited to specified end-users for specified end-uses. Generally, reporting of all sales of the specified products is required at six month intervals. This includes sales made under distribution arrangements and distribution and warehousing agreements that were previously issued by the Department of State for encryption items.
Encryption object code. Computer programs containing an encryption source code that has been compiled into a form of code that can be directly executed by a computer to perform an encryption function.
Encryption software. Computer programs that provide capability of encryption functions or confidentiality of information or information systems. Such software includes source code, object code, applications software, or system software.
Encryption source code. A precise set of operating instructions to a computer that, when compiled, allows for the execution of an encryption function on a computer.
“End-effectors”. (Cat 2)—“Grippers, “active tooling units” and any other tooling that is attached to the baseplate on the end of a “robot” manipulator arm.
Note: “Active tooling unit”: a device for applying motive power, process energy or sensing to the workpiece.
End-user. The person abroad that receives and ultimately uses the exported or reexported items. The end-user is not a forwarding agent or intermediary, but may be the purchaser or ultimate consignee.
“Equivalent Density”. (Cat 6)—The mass of an optic per unit optical area projected onto the optical surface.
“Expert systems”. (Cat 4 and 7)—Systems providing results by application of rules to data that are stored independently of the “program” and capable of any of the following:
(a) Modifying automatically the “source code” introduced by the user;
(b) Providing knowledge linked to a class of problems in quasi-natural language; or
(c) Acquiring the knowledge required for their development (symbolic training).
Export. Export means an actual shipment or transmission of items out of the United States. (See §734.2(b) of the EAR.)
Export Administration Act (EAA). Export Administration Act of 1979, as amended, effective October 1, 1979.
Export Administration Regulations (EAR). Regulations set forth in parts 730–774, inclusive, of Title 15 of the Code of Federal Regulations.
Export Administration Review Board (EARB). EARB voting members are the Secretary of Commerce, the Secretary of State, the Secretary of Defense, the Secretary of Energy, the Attorney General (for encryption exports), and the Director of the Arms Control and Disarmament Agency. The Chairman of the Joint Chiefs of Staff and the Director of Central Intelligence are non-voting members. The Secretary of Commerce is the Chair of the EARB. No alternate EARB members may be designated, but the acting head or deputy head of any agency or department may serve in lieu of the head of the concerned agency or department. The EARB may invite the heads of other Government agencies or departments (other than those identified in this definition) to participate in the activities of the EARB when matters of interest to such agencies or departments are under consideration. Decisions are made by majority vote.
Export Control Classification Number (ECCN). The numbers used in Supplement No. 1 to part 774 of the EAR and throughout the EAR. The Export Control Classification Number consists of a set of digits and a letter. Reference §738.2(c) of the EAR for a complete description of each ECCN's composition.
Export control document. A license; application for license; any and all documents submitted in accordance with the requirements of the EAR in support of, or in relation to, a license application; application for International Import Certificate; Delivery Verification Certificate or similar evidence of delivery; Shipper's Export Declaration (SED) or Automated Export System (AES) record presented in connection with shipments to any country; a Dock Receipt or bill of lading issued by any carrier in connection with any export subject to the EAR and any and all documents prepared and submitted by exporters and agents pursuant to the export clearance requirements of part 758 of the EAR; a U.S. exporter's report of request received for information, certification, or other action indicating a restrictive trade practice or boycott imposed by a foreign country against a country friendly to the United States, submitted to the U.S. Department of Commerce in accordance with the provisions of part 760 of the EAR; Customs Form 7512, Transportation Entry and Manifest of Goods, Subject to Customs Inspection and Permit, when used for Transportation and Exportation (T.& E.) or Immediate Exportation (I.E.); and any other document issued by a U.S. Government agency as evidence of the existence of a license for the purpose of loading onto an exporting carrier or otherwise facilitating or effecting an export from the United States or any reexport of any item requiring a license.
Exporter. The person in the United States who has the authority of a principal party in interest to determine and control the sending of items out of the United States. Note that the Foreign Trade Statistics Regulations have a different definition for the term “exporter”. Under the FTSR, the “exporter” is the U.S. principal party in interest (see Foreign Trade Statistics Regulations title 15 part 30).
Exporting carrier. Any instrumentality of water, land, or air transportation by which an export is effected, including any domestic air carrier on which any cargo for export is laden or carried.
“FADEC.” See “full authority digital engine control.”
“FMU”—See “flexible manufacturing unit”
“Fault tolerance”. (Cat 4)—The capability of a computer system, after any malfunction of any of its hardware or “software” components, to continue to operate without human intervention, at a given level of service that provides: continuity of operation, data integrity, and recovery of service within a given time.
“Fibrous or filamentary materials”. (Cat 1 and 8)—The term “fibrous and filamentary materials” includes:
(a) Continuous monofilaments;
(b) Continuous yarns and rovings;
(c) Tapes, fabrics, random mats and braids;
(d) Chopped fibers, staple fibers and coherent fiber blankets;
(e) Whiskers, either monocrystalline or polycrystalline, of any length;
(f) Aromatic polyimide pulp.
“Film type integrated circuit”. (Cat 3)—An array of “circuit elements” and metallic interconnections formed by deposition of a thick or thin film on an insulating “substrate”.
Note: “Circuit element”: a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
Financial Institution. As applied to encryption items, means any of the following:
(a) A broker, dealer, government securities broker or dealer, self-regulatory organization, investment company or investment adviser, which is regulated or supervised by the Securities and Exchange Commission or a self-regulatory organization that is registered with the Securities and Exchange Commission; or
(b) A broker, dealer, government securities broker or dealer, investment company, investment adviser, or entity that engages in securities activities that, if conducted in the United States, would be described by the definition of the term “self-regulatory organization” in the Securities Exchange Act of 1934, which is organized under the laws of a foreign country and regulated or supervised by a foreign securities authority; or
(c) A U.S. board of trade that is designated as a contract market by the Commodity Futures Trading Commission or a futures commission merchant that is regulated or supervised by the Commodity Futures Trading Commission; or
(d) A U.S. entity engaged primarily in the business of issuing a general purpose charge, debit, or stored value card, or a branch of, or affiliate controlled by, such an entity; or
(e) A branch or affiliate of any of the entities listed in paragraphs (a), (b), or (c) of this definition regulated or supervised by the Securities and Exchange Commission, the Commodity Futures Trading Commission, or a foreign securities authority; or
(f) An affiliate of any of the entities listed in paragraph (a), (b), (c), or (e), of this definition engaged solely in the business of providing data processing services to one or more bank or financial institutions, or a branch of such an affiliate; or
(g) A company organized and regulated under the laws of any of the United States and its branches and affiliates whose primary and predominant business activity is the writing of insurance or the reinsuring of risks; or a company organized and regulated under the laws of a foreign country and its branches and affiliates whose primary and predominant business activity is the writing of insurance or the reinsuring of risks.
Firm. A corporation, partnership, limited partnership, association, company, trust, or any other kind of organization or body corporate, situated, residing, or doing business in the United States or any foreign country, including any government or agency thereof.
“Fixed”. (Cat 5)—The coding or compression algorithm cannot accept externally supplied parameters (e.g., cryptographic or key variables) and cannot be modified by the user.
“Flexible manufacturing unit”. (FMU), (sometimes also referred to as ‘flexible manufacturing system’ (FMS) or ‘flexible manufacturing cell’ (FMC)) (Cat 2)—An entity that includes a combination of at least:
(a) A “digital computer” including its own “main storage” and its own “related equipment”; and
(b) Two or more of the following:
(1) A machine tool described in 2B001.c;
(2) A dimensional inspection machine described in Category 2, or another digitally controlled measuring machine controlled by an entry in Category 2;
(3) A “robot” controlled by an entry in Category 2 or 8;
(4) Digitally controlled equipment controlled by 1B003, 2B003, or 9B001;
(5) “Stored program controlled” equipment controlled by 3B001;
(6) Digitally controlled equipment controlled by 1B001;
(7) Digitally controlled electronic equipment controlled by 3A002.
“Flight control optical sensor array.” (Cat 7) is a network of distributed optical sensors, using “laser” beams, to provide real-time flight control data for on-board processing.
“Flight path optimization.” (Cat 7) is a procedure that minimizes deviations from a four-dimensional (space and time) desired trajectory based on maximizing performance or effectiveness for mission tasks.
“Focal plane array”. (Cat 6)—A linear or two-dimensional planar layer, or combination of planar layers, of individual detector elements, with or without readout electronics, that work in the focal plane.
N.B. This definition does not include a stack of single detector elements or any two, three, or four element detectors provided time delay and integration is not performed within the element.
Foreign government agency. For the purposes of exemption from support documentation (see §748.9 of the EAR), a foreign government agency is defined as follows:
(a) National governmental departments operated by government-paid personnel performing governmental administrative functions; e.g. Finance Ministry, Ministry of Defense, Ministry of Health, etc. (municipal or other local government entities must submit required support documentation); or
(b) National government-owned public service entities; e.g., nationally owned railway, postal, telephone, telegraph, broadcasting, and power systems, etc. The term “foreign government agency” does not include government corporations, quasi-government agencies, and state enterprises engaged in commercial, industrial, and manufacturing activities, such as petroleum refineries, mines, steel mills, retail stores, automobile manufacturing plants, airlines, or steamship lines that operate between two or more countries, etc.
Foreign policy control. A control imposed under the EAR for any and all of the following reasons: chemical and biological weapons, nuclear nonproliferation, missile technology, regional stability, crime control, anti-terrorism, United Nations sanctions, and any other reason for control implemented under section 6 of the EAA or other similar authority.
Foreign Terrorist Organizations (FTO). Any organization that is determined by the Secretary of the Treasury to be a foreign terrorist organization under notices or regulations issued by the Office of Foreign Assets Control (see 31 CFR chapter V).
Forwarding agent. The person in the United States who is authorized by a principal party in interest to perform the services required to facilitate the export of the items from the United States. This may include air couriers or carriers. In routed export transactions, the forwarding agent and the exporter may be the same for compliance purposes under the EAR.
“Fractional bandwidth”. (Cat 3)—The “instantaneous bandwidth” divided by the center frequency, expressed as a percentage.
“Frequency hopping”. (Cat 5 part 1 and 5 part 2)—A form of “spread spectrum” in which the transmission frequency of a single communication channel is made to change by a random or pseudo-random sequence of discrete steps.
“Frequency switching time”. (Cat 3 and 5)—The maximum time (i.e., delay), taken by a signal, when switched from one selected output frequency to another selected output frequency, to reach:
(a) A frequency within 100 Hz of the final frequency; or
(b) An output level within 1 dB of the final output level.
“Frequency synthesizer”. (Cat 3)—Any kind of frequency source or signal generator, regardless of the actual technique used, providing a multiplicity of simultaneous or alternative output frequencies, from one or more outputs, controlled by, derived from or disciplined by a lesser number of standard (or master) frequencies.
“Full Authority Digital Engine Control.” (“FADEC”) (Cat 7 and 9) means an electronic control system for gas turbine or combined cycle engines utilizing a digital computer to control the variables required to regulate engine thrust or shaft power output throughout the engine operating range from the beginning of fuel metering to fuel shutoff.
“Gas Atomization”. (Cat 1)—A process to reduce a molten stream of metal alloy to droplets of 500-micrometer diameter or less by a high-pressure gas stream.
General prohibitions. The 10 prohibitions found in part 734 of the EAR that prohibit certain exports, reexports, and other conduct, subject to the EAR, absent a license, License Exception, or determination that no license is required (“NLR”).
“Geographically dispersed”. (Cat 6)—Sensors are considered geographically dispersed when each location is distant from any other more than 1,500 m in any direction. Mobile sensors are always considered geographically dispersed.
“Government end-user (as applied to encryption items)”. A government end-user is any foreign central, regional or local government department, agency, or other entity performing governmental functions; including governmental research institutions, governmental corporations or their separate business units (as defined in part 772 of the EAR) which are engaged in the manufacture or distribution of items or services controlled on the Wassenaar Munitions List, and international governmental organizations. This term does not include: utilities (including telecommunications companies and Internet service providers); banks and financial institutions; transportation; broadcast or entertainment; educational organizations; civil health and medical organizations; retail or wholesale firms; and manufacturing or industrial entities not engaged in the manufacture or distribution of items or services controlled on the Wassenaar Munitions List.
Hold Without Action (HWA). License applications may be held without action only in the limited circumstances described in §750.4(c) of the EAR. Encryption review requests may be placed on hold without action status as provided in §740.17(d)(2) and §742.15(b)(2) of the EAR.
“Hot isostatic densification”. (Cat 2)—A process of pressurizing a casting at temperatures exceeding 375 K (102 °C) in a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal force in all directions to reduce or eliminate internal voids in the casting.
“Hybrid computer”. (Cat 4)—Equipment that can:
(a) Accept data;
(b) Process data, in both analog and digital representation; and
(c) Provide output of data.
“Hybrid integrated circuit”. (Cat 3)—Any combination of integrated circuit(s), or integrated circuit with “circuit elements” or “discrete components” connected together to perform (a) specific function(s), and having all of the following criteria:
(a) Containing at least one unencapsulated device;
(b) Connected together using typical IC-production methods;
(c) Replaceable as an entity; and
(d) Not normally capable of being disassembled.
Notes: 1. “Circuit element”: a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
2. “Discrete component”: a separately packaged “circuit element” with its own external connections.
“Image enhancement”. (Cat 4)—The processing of externally derived information-bearing images by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform). This does not include algorithms using only linear or rotational transformation of a single image, such as translation, feature extraction, registration or false coloration.
“Information security”. (Cat 5)—All the means and functions ensuring the accessibility, confidentiality or integrity of information or communications, excluding the means and functions intended to safeguard against malfunctions. This includes “cryptography”, “cryptanalysis”, protection against compromising emanations and computer security.
N.B. “Cryptanalysis”: the analysis of a cryptographic system or its inputs and outputs to derive confidential variables or sensitive data, including clear text. (ISO 7498–2–1988 (E), paragraph 3.3.18)
“Instantaneous bandwidth”. (Cat 3 and 5)—The bandwidth over which output power remains constant within 3 dB without adjustment of other operating parameters.
“Instrumented range”. (Cat 6)—The specified unambiguous display range of a radar.
Intent to Deny (ITD) letter. A letter informing the applicant:
(a) Of the reason for BIS's decision to deny a license application; and
(b) That the application will be denied 45 days from the date of the ITD letter, unless the applicant provides, and BIS accepts, a reason why the application should not be denied for the stated reason. See §750.6 of the EAR.
“Interconnected radar sensors”. (Cat 6)—Two or more radar sensors are interconnected when they mutually exchange data in real time.
Intermediate consignee. The person that acts as an agent for a principal party in interest for the purpose of effecting delivery of items to the ultimate consignee. The intermediate consignee may be a bank, forwarding agent, or other person who acts as an agent for a principal party in interest.
“Intrinsic Magnetic Gradiometer”. (Cat 6)—A single magnetic field gradient sensing element and associated electronics the output of which is a measure of magnetic field gradient. (See also “Magnetic Gradiometer”)
“Isostatic presses”. (Cat 2)—Equipment capable of pressurizing a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal pressure in all directions within the cavity upon a workpiece or material.
Item. “Item” means “commodities, software, and technology.” When the EAR intend to refer specifically to commodities, software, or technology, the text will use the specific reference.
Know. See “knowledge.”
Knowledge. Knowledge of a circumstance (the term may be a variant, such as “know,” “reason to know,” or “reason to believe”) includes not only positive knowledge that the circumstance exists or is substantially certain to occur, but also an awareness of a high probability of its existence or future occurrence. Such awareness is inferred from evidence of the conscious disregard of facts known to a person and is also inferred from a person's willful avoidance of facts. This definition does not apply to part 760 of the EAR (Restrictive Trade Practices or Boycotts).
“Laser”. (Cat 2, 3, 5, 6, and 9)—An assembly of components that produce both spatially and temporally coherent light that is amplified by stimulated emission of radiation. See also: “Chemical laser”; “Q-switched laser”; “Super High Power Laser”; and “Transfer laser”.
Law or regulation relating to export control. Any statute, proclamation, executive order, regulation, rule, license, ororder applicable to any conduct involving an export transaction shall be deemed to be a “law or regulation relating to export control.” (continued)