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Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules and Regulations Exceptions, and Validated End-User authorizations.
List Based License Exceptions See Part 740
for a Description of All License Exceptions LVS: $3000
GBS: Yes for 6A004.a.1, a.2, a.4, .b, d.2, and .f.
Special Conditions for STA
STA: Paragraph c2 of License Exception STA may not be used to ship any commodity in 6A004.c or .d to any of the destinations listed in Country Group A:6
See Supplement No.1 to part 740 of the EAR.
List of Items Controlled Related Controls: 1 For optical mirrors or aspheric optical elements specially designed for lithography equipment, see ECCN 3B001. 2 See USML Category XIIe for gimbals subject to the ITAR. 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.
Items:
a. Optical mirrors reflectors as follows:
Technical Note: For the purpose of 6A004.a, Laser Induced Damage Threshold LIDT is measured according to ISO 21254
1:2011.
a.1. Deformable mirrors having an active optical aperture greater than 10 mm and having any of the following, and specially designed components therefor:
a.1.a. Having all the following:
a.1.a.1. A mechanical resonant frequency of 750 Hz or more; and a.1.a.2. More than 200 actuators; or a.1.b. A Laser Induced Damage Threshold LIDT being any of the following:
a.1.b.1. Greater than 1 kW/cm2 using a CW laser; or a.1.b.2. Greater than 2 J/cm2 using 20 ns laser pulses at 20 Hz repetition rate;
Technical Notes:
1. Deformable mirrors are mirrors having any of the following:
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.
2. Deformable mirrors are also known as adaptive optic mirrors.
a.2. Lightweight monolithic mirrors having an average equivalent density of less than 30 kg/m2 and a total mass exceeding 10 kg;
a.3. Lightweight composite or foam mirror structures having an average equivalent density of less than 30 kg/m2
and a total mass exceeding 2 kg;
Note: 6A004.a.2 and 6A004.a.3 do not apply to mirrors specially designed to direct solar radiation for terrestrial heliostat installations.

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a.4. Mirrors specially designed for beam steering mirror stages specified in 6A004.d.2.a with a flatness of l/10 or better l is equal to 633 nm and having any of the following:
a.4.a. Diameter or major axis length greater than or equal to 100 mm; or a.4.b. Having all of the following:
a.4.b.1. Diameter or major axis length greater than 50 mm but less than 100 mm;
and a.4.b.2. A Laser Induced Damage Threshold LIDT being any of the following:
a.4.b.2.a. Greater than 10 kW/cm2 using a CW laser; or a.4.b.2.b. Greater than 20 J/cm2 using 20 ns laser pulses at 20 Hz repetition rate;
N.B. For optical mirrors specially designed for lithography equipment, see 3B001.
b. Optical components made from zinc selenide ZnSe or zinc sulphide ZnS with transmission in the wavelength range exceeding 3,000 nm but not exceeding 25,000
nm and having any of the following:
b.1. Exceeding 100 cm3 in volume; or b.2. Exceeding 80 mm in diameter or length of major axis and 20 mm in thickness depth;
c. Space-qualified components for optical systems, as follows:
c.1. Components lightweighted to less than 20% equivalent density compared with a solid blank of the same aperture and thickness;
c.2. Raw substrates, processed substrates having surface coatings single-layer or multilayer, metallic or dielectric, conducting, semiconducting or insulating or having protective films;
c.3. Segments or assemblies of mirrors designed to be assembled in space into an optical system with a collecting aperture equivalent to or larger than a single optic 1
m in diameter;
c.4. Components manufactured from composite materials having a coefficient of linear thermal expansion, in any coordinate direction, equal to or less than 5 x 106/K;
d. Optical control equipment as follows:
d.1. Equipment specially designed to maintain the surface figure or orientation of the space-qualified components controlled by 6A004.c.1 or 6A004.c.3;
d.2. Steering, tracking, stabilisation and resonator alignment equipment as follows:
d.2.a. Beam steering mirror stages designed to carry mirrors having diameter or major axis length greater than 50 mm and having all of the following, and specially designed electronic control equipment therefor:
d.2.a.1. A maximum angular travel of 26
mrad or more;
d.2.a.2. A mechanical resonant frequency of 500 Hz or more; and d.2.a.3. An angular accuracy of 10 mrad microradians or less better;
d.2.b. Resonator alignment equipment having bandwidths equal to or more than 100
Hz and an accuracy of 10 mrad or less better;
d.3. Gimbals having all of the following:
d.3.a. A maximum slew exceeding 5;
d.3.b. A bandwidth of 100 Hz or more;
d.3.c. Angular pointing errors of 200 mrad microradians or less; and d.3.d. Having any of the following:

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d.3.d.1. Exceeding 0.15 m but not exceeding 1 m in diameter or major axis length and capable of angular accelerations exceeding 2 rad radians/s2; or d.3.d.2. Exceeding 1 m in diameter or major axis length and capable of angular accelerations exceeding 0.5 rad radians/s2;
d.4. Reserved e. Aspheric optical elements having all of the following:
e.1. Largest dimension of the opticalaperture greater than 400 mm;
e.2. Surface roughness less than 1 nm rms for sampling lengths equal to or greater than 1 mm; and e.3. Coefficient of linear thermal expansions absolute magnitude less than 3 x 106/K at 25 C;
Technical Note:
1. See Related Definitions section of this ECCN
2. Manufacturers are not required to measure the surface roughness listed in 6A004.e.2 unless the optical element was designed or manufactured with the intent to meet, or exceed, the control parameter.
Note: 6A004.e does not control aspheric optical elements having any of the following:
a. Largest optical-aperture dimension less than 1 m and focal length to aperture ratio equal to or greater than 4.5:1;
b. Largest optical-aperture dimension equal to or greater than 1 m and focal length to aperture ratio equal to or greater than 7:1;
c. Designed as Fresnel, flyeye, stripe, prism or diffractive optical elements;
d. Fabricated from borosilicate glass having a coefficient of linear thermal expansion greater than 2.5 x 106/K at 25 C;
or e. An x-ray optical element having inner mirror capabilities e.g., tube-type mirrors.
f. Dynamic wavefront measuring equipment having all of the following:
f.1. Frame rates equal to or more than 1
kHz; and f.2. A wavefront accuracy equal to or less better than l/20 at the designed wavelength.
Technical Note: For the purposes of 6A004.f, frame rate is a frequency at which all active pixels in the focal plane array are integrated for recording images projected by the wavefront sensor optics.

30. In supplement no. 1 to part 774, Category 6, ECCN 6A005 is revised to read as follows:

6A005 Lasers, components and optical equipment, as follows see List of Items Controlled, excluding items that are subject to the export licensing authority of the Nuclear Regulatory Commission see 10 CFR part 110.
License Requirements Reason for Control: NS, NP, AT
Controls NS applies to entire entry.

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Country Chart See Supp. No. 1 to part 738
NS Column 2