[Federal Register Volume 85, Number 138 (Friday, July 17, 2020)]
[Notices]
[Pages 43532-43536]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-15416]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
[Docket No. 200710-0186]
RIN 0694-XC063
Advanced Surveillance Systems and Other Items of Human Rights
Concern
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Notice of inquiry.
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SUMMARY: In this notice, the Department of Commerce (Department),
Bureau of Industry and Security (BIS) seeks public comments on the list
of items on the Export Administration Regulations' (EAR) Commerce
Control List (CCL) that are controlled for crime control and detection
(CC) reasons to promote human rights throughout the world. The request
for comments in this notice furthers the periodic review of items
controlled for CC reasons and is intended to inform the agency's
decisions in updating (including additions and removals) items
controlled for CC reasons on the CCL, as well as the related licensing
requirements for such items. BIS takes this action pursuant to the
Export Control Reform Act of 2018 (ECRA).
DATES: Comments must be received no later than September 15, 2020.
ADDRESSES: Comments may be submitted by any of the following methods.
Federal rulemaking portal: http://www.regulations.gov_you
can find this notice by searching on its regulations.gov docket number,
which is BIS- 2020-0021. All comments (including any personally
identifying information) will be made available for public inspection
and copying.
By mail or delivery to Regulatory Policy Division, Bureau
of Industry and Security, U.S. Department of Commerce, Room 2099B, 14th
Street and
[[Page 43533]]
Pennsylvania Avenue NW, Washington, DC 20230. Refer to RIN 0694-XC056.
FOR FURTHER INFORMATION CONTACT: For questions on licensing
requirements for items controlled for crime control reasons, contact
Steven Schrader, Foreign Policy Division, Office of Nonproliferation
and Treaty Compliance, Bureau of Industry and Security, U.S. Department
of Commerce, by email at [email protected], and by phone at
202-482-4252. For questions on the submission of comments, contact
Sheila Quarterman, Regulatory Policy Division, Office of Exporter
Services, Bureau of Industry and Security, U.S. Department of Commerce,
by email at [email protected].
SUPPLEMENTARY INFORMATION:
Background
The Bureau of Industry and Security (BIS) controls the export and
reexport of items for crime control and detection (CC) reasons under
the Export Administration Regulations (EAR) (15 CFR 730-774). The
licensing requirements and policy for these items are set out in Sec.
742.7--Crime control and detection--of the EAR. These items are
identified on the EAR's Commerce Control List (CCL) in Supplement No. 1
to Part 774 of the EAR.
BIS controls CC items to carry out the foreign policy of the United
States, including to promote human rights throughout the world. The
request for comments in this notice furthers the periodic review of
items controlled for CC reasons and is intended to inform the agency's
decision on updates (including additions and removals) of items listed
on the CCL and controlled for CC reasons. BIS's last comprehensive
review of CC items occurred with the assistance of comments submitted
in response to a notice published in 2008 (73 FR 14769; March 19,
2008).
CC items of particular interest for new license requirements by BIS
include facial recognition software and other biometric systems for
surveillance, non-lethal visual disruption lasers, and long-range
acoustic devices and their components, software, and technologies. BIS
also seeks comments on the merits of removing or modifying the CC
controls on several additional items currently on the CCL, and on
potential controls for such items that are end-use/end-user based.
Request for Comments
BIS seeks comments from the public; including industry and trade
organizations, non-governmental organizations, government agencies, and
academia, on crime control and detection items of particular interest
for new license requirements, including facial recognition software and
other biometric systems for surveillance; non-lethal visual disruption
lasers; and long-range acoustic devices and their components, software,
and technologies.
BIS also seeks comments on current and proposed changes to items
controlled on the CCL for CC reasons and on items designated as EAR99
on the CCL, including both the items noted below and related items.
1. Facial recognition software and other biometric systems
2. Non-lethal visual disruption lasers (``dazzlers'')
3. Long-range acoustic devices and related components, software, and
technologies for the above items.
4. Police helmets--0A979
5. Fingerprint readers--3A981, and components--(3A981, 4A980), software
(3D980, 4D980), and technology (3E980, 4A980) thereof
6. Fingerprint powders, dyes, and inks (1A985)
7. Voice print identification systems (3A980) and components (3A980),
software (3D980), and technology (3E980) thereof
8. Polygraphs and psychological stress analysis equipment (3A981) and
components (3A981), software (3D980), and technology (3E980) thereof
9. Nonmilitary mobile crime science laboratories (9A980)
10. Miscellaneous CC controls in ECCNs and sub-paragraphs of ECCNs
4A003, 4A980, 4D001, 4D980, 4E001, 4E980, 6A002, 6E001, and 6E002
With regard to the aforementioned items described in more detail
later in this notice, BIS seeks input on: (1) Information (including
performance criteria) that may distinguish purely or predominantly
consumer or commercial applications from applications purely or
predominantly for use by law enforcement or security services and/or
used in mass surveillance, censorship, privacy violations or otherwise
useful in committing human rights abuses; (2) the impact of adding to,
modifying, or removing items from the CCL on U.S. support of human
rights throughout the world; and (3) the impact that changes of
controls would have upon the competitiveness of U.S. business and
industry.
In addition to comments on the items listed below, BIS welcomes
comments on the update of controls on other items for surveillance and
crowd control as well as on related issues of concern to the public.
BIS also seeks comments on potential revisions to CC controls that
are based on end-uses and/or end-users, such as the end-use/end-user
controls in Part 744 of the EAR.
1. Facial Recognition Devices for Individuals or for Crowd Scanning,
Other Biometric Systems, and Their Input Components, Software, and
Technology
A facial recognition system identifies or verifies a person's
identity from a digital image or a video frame by comparing selected
facial features from an input image to the features of faces stored in
a database. The major components of a facial recognition system are (1)
input camera(s), (2) data storage, (3) processing computer, and (4) the
software algorithms needed to model facial images. While conventional
facial recognition systems currently use cameras that see visible
light, thermal imaging cameras that use infrared light are starting to
be used in facial recognition systems due to their ability to operate
independently of weather or lighting conditions.
Facial recognition is typically used to authenticate access to a
device, such as on a cellphone, and is also widely used for access
control into restricted areas, such as industrial facilities. Facial
recognition systems have widespread user acceptance due to their
contactless and non-invasive process.
Facial recognition is also increasingly used in crowd-scanning
systems. Such systems are used in casinos (for tracking the location of
employees, special customers, and barred customers), airports (for
tracking staff and criminals), prisons (for tracking staff and
inmates), customs facilities, and commercial facilities. Recently, such
systems have also become popular as commercial customer/client
identification and marketing tools. The systems also have utility to
assist during Amber and Silver Alerts, to identify individual
protestors in a crowd, including riot participants, or to track down
escaped criminals, bail jumpers, and people with outstanding arrest
warrants.
In addition to law enforcement and public safety-related uses,
crowd-scanning systems can also be used to facilitate the abuse of
human rights. China, for example, has deployed facial recognition
technology in the Xinjiang region, in which there has been repression,
mass arbitrary detention and high technology surveillance against
Uighurs, Kazakhs and other members of Muslim minority groups. Reporters
visiting the region found surveillance cameras installed approximately
every
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hundred meters in several cities, as well as facial recognition
checkpoints at areas including gas stations, shopping centers, and
mosque entrances.
BIS seeks input in particular on the high-resolution cameras
currently classified as EAR99 on the CCL. Specifically the cameras'
utility as inputs to crowd surveillance systems, and the implications
of placing them under new controls is of interest to BIS: What specific
technical criteria, such as resolution or framerate, would be
appropriate for control; what criteria would differentiate these items
as more compatible with police and intelligence end uses rather than
with purely commercial end uses; and what impact would controls have
upon U.S. industry competitiveness and leadership?
Other Biometric Controls
BIS also seeks information on controls for additional emerging
biometric systems. Two methodologies of biometrics are currently
controlled on the CCL: Fingerprint and voice print. BIS seeks input on
whether other biometric technologies merit control, and if so, what
specific technical criteria would be appropriate to control, and what
impact would controls have upon U.S. industry competitiveness and
leadership.
As an alternative to piecemeal review of biometric methods and
products, BIS could extend controls to all biometric systems--iris,
vein, earlobe, gait, heartbeat, etc.--and then limit controls to only
those types of systems that identify a person without the individual's
cooperation, conscious interaction or possibly even awareness (e.g., a
closed circuit camera running facial recognition software or
surreptitious audio monitoring of a public space). Controls would not
apply to systems that control access to premises or devices by
verifying that the person attempting to gain such access is authorized
to do so. This approach would not control specific applications of the
fingerprint, iris, and voice authentication commercial items. This type
of control would capture potential technologies if they become mature.
Because complete systems, software and technology are often the only
essential items in facial recognition, EAR99 ``parts'' could remain
excluded from controls, enhancing the ability to service exports
otherwise authorized with no license required, under license
exceptions, or by individual licenses. BIS seeks input on whether this
approach would be better than targeting individual modalities, and if
so, what specific technical criteria would be appropriate, and what
impact controls would have upon U.S. industry and competitiveness.
2. Non-Lethal Visual Disruption Lasers (``Dazzlers'')
A dazzler is a non-lethal weapon which uses a laser to illuminate
and temporarily disable sensors or human vision with flash blindness.
Initially developed for military use, non-military products are
becoming available for use in law enforcement and security. Dazzlers
that emit infrared or invisible light against various electronic
sensors, and visible light against humans. They are about the size of a
flashlight, and can be hand-held or mounted to a small-arm weapon.
Dazzlers are used for target acquisition, illumination, disorientation
of human targets, and defeat of hostile sensor systems. Similar to
common lasers, they can be used to maliciously disrupt civil and
military aircraft operations by blinding a pilot or sensor system,
potentially inducing a crash.
BIS could determine to control dazzlers under existing ECCN 0A504,
which include controls on laser aiming devices or laser illuminators
``specially designed'' for use on firearms, and serve similar purposes.
Control under this ECCN would impose CC1 requirements while excluding
Firearms Convention (FC1) requirements, which would allow their export
to Canada license-free, in parallel with current aiming lasers for
firearms.
3. Long-Range Acoustic Devices (LRAD)
The Long-Range Acoustic Device (LRAD) is an acoustic hailing device
used to send messages and warning tones over longer distances or at
higher volume than normal loudspeakers. LRAD systems are used as a
means of non-lethal, non-kinetic crowd control. They can be handheld,
mounted on riot shields, or on vehicles. As an area denial device, the
utility of such systems can be compared to tear gas, without the need
for deploying forces to don protective equipment and minimizing
collateral harm from shifting wind or canisters being thrown back.
LRAD systems are used by law enforcement, government and defense
agencies, as well as by maritime and commercial security companies to
broadcast audible notifications and warnings. LRAD systems are also
used to deter wildlife from airport runways, wind and solar farms,
nuclear power facilities, gas and oil platforms, mining and
agricultural operations, and industrial plants. Additionally, LRAD
systems can be used to conduct area denial operations. BIS also seeks
public comment on ECCNS currently controlled on the CCL including:
4. Police Helmets--0A979
Police helmets are controlled under Export Control Classification
Number (ECCN) 0A979, ``Police helmets and shields; and ``specially
designed'' ``components,'' n.e.s.'' They are used for mounted duty
(motorcycle, bicycle or horse) and occasionally for riot control
purposes. However, most police agencies use helmets with ballistic
protection controlled under ECCN 1A613.
5. Fingerprint Readers--3A981, and Their Components--3A981, 4A980,
Software--3D980, 4D980, Technology--3E980, 4A980
ECCN 3A981 controls, among other items, fingerprint analyzers,
cameras and equipment, automated fingerprint and identification
retrieval systems, and the ``specially designed'' ``components'' and
``accessories'' for them. Related hardware, software, and technology is
controlled under ECCNs 3D980 and 4D980. Application specific software
that is used by the operator, however, is designated as EAR99, because
it doesn't meet all six criteria for the definition of ``use'' in EAR
part 772: Operation, installation (including on-site installation),
maintenance (checking), repair, overhaul and refurbishing.
Fingerprint-related items are used for device login authentication,
area access controls, and identity verification for many private and
public civil uses, as well as law enforcement uses. ``Live scan''
fingerprinting refers to both the technique and the technology used to
capture fingerprints and palm prints electronically, without the need
for the more traditional method of ink and paper. This is the
predominant type of system currently in use, owing to the establishment
of cross-platform standards promulgated by the National Institute of
Science and Technology.
6. Fingerprint Powders, Dyes, and Inks--1A985
Fingerprint powders are used by crime scene investigators and
others in law enforcement to obtain fingerprints and identify
individuals at a particular scene or establish contact with a
particular item. They may be employed by police or other authorities to
identify individuals who wish to conceal their identity or to identify
people who are incapacitated or deceased and thus unable to identify
themselves. Their end use is almost entirely related to police
forensics.
In contrast, fingerprint dyes and ink are employed in controlled
but often
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voluntary situations, such as when a person hired for a sensitive
position, is enrolled in a government benefit program (in some
countries), or for identification documentation purposes. An
alternative to fingerprint dyes and inks are the live scan fingerprint
capture devices controlled under ECCN 3A981, which are generally more
effective, and in extensive use worldwide.
7. Voice Print Identification Systems--3A980, and Their Components--
3A980, Software--3D980, and Technology--3E980
Voice print identification systems are used to verify the identity
of a speaker as part of a security process (1:1 matching) or for
identification of an unknown speaker among a set of known speakers (1:n
matching). Speaker verification is usually employed as a ``gatekeeper''
methodology prior to providing access to a secure system. Gatekeeper
systems operate with the users' knowledge and typically require their
cooperation. However, when voice print identification systems are used
for identification, as compared to verification, systems can be
implemented without the speaker's or speakers' knowledge to identify
discussion participants, provided sufficient voice samples are in the
searcher's database.
Voice print identification is used by private companies, especially
by financial institutions, for telephonically-based customer service
activities to identify clients, in both the private and government
sectors to verify identities for user access to resources, services, or
facilities, and in criminal investigations to identify persons of
interest.
8. Polygraphs and Psychological Stress Analysis Equipment--3A981, and
Their Components--3A981, Software--3D980, and Technology--3E980
A polygraph is a device that measures and records several
physiological indicators such as blood pressure, pulse, respiration,
and skin conductivity while a person is asked and answers a series of
questions. The basis underpinning the use of the polygraph and other
stress analysis equipment is that deceptive answers will produce
physiological responses that can be differentiated from those
associated with non-deceptive answers. Polygraphs are used in the
United States to much greater extent than most other countries,
predominantly in law enforcement but also in the private sector to
screen prospective employees or during misconduct investigations.
The current market for non-polygraph psychological stress analysis
is almost entirely dominated by voice stress analysis (VSA) or computer
voice stress analysis (CVSA). VSA is a technology that aims to infer
deception from stress measured in the voice. CVSA records the human
voice using a microphone and is based on the tenet that the non-verbal,
low-frequency content of the voice conveys information about the
physiological and psychological state of the speaker. Typically
utilized in investigative settings, both VSA and CVSA aim to
differentiate between stressed and non-stressed outputs in response to
questions, with high stress seen as an indication of deception.
9. Nonmilitary Mobile Crime Science laboratories--9A980
To meet the standards of the items controlled under ECCN 9A980,
mobile crime lab vehicles must contain one or more analytical or
laboratory items controlled for CC reasons on the CCL, such those
controlled under as ECCNs 3A980 and 3A981. Mobile crime labs provide
on-site, rapid, reliable analysis of unknown compounds and materials
for forensic, homeland security and military applications. They enable
crime-scene technicians to conduct extensive evidence collection and
processing at crime-scene sites, such as homicide scenes,
methamphetamine lab and arson sites, and investigations that involve
mass casualties. Most mobile crime labs contain equipment for analyzing
chemicals, special hoods for fume disposal, isolated boxes for
hazardous material analysis, and supplies for crime-scene
investigation.
While the equipment in mobile crime labs is predominantly EAR99, as
noted above, to qualify for control under ECCN 9A980, the lab must have
one item controlled for CC reasons on the CCL. For example, a lab could
contain the fingerprint readers and polygraphs controlled under ECCN
3A981, the fingerprint powder, dyes, and ink controlled under 1A985,
ancillary police equipment controlled for CC or FC reasons, and or
instruments and chemicals controlled on the CCL for antiterrorism
reasons, such as 2A994 portable electric generators. Additionally, some
items stocked in a mobile crime lab could have higher controls, such as
the personal protective equipment controlled under ECCN 1A613.
10. Miscellaneous CC Controls in ECCNs and Sub-Paragraphs of ECCNs
4A003, 4A980, 4D001, 4D980, 4E001, 4E980, 6A002, 6E001, 6E002
(a.) 4A003: ``Digital computers'', ``electronic assemblies'', and
related equipment therefor, as follows (see List of Items Controlled)
and ``specially designed'' ``components'' therefor. Within this entry,
the items are controlled for CC are ``digital computers'' for
computerized finger-print equipment.
(b.) 4A980: Computers for fingerprint equipment, n.e.s. The entry
for ECCN 4A980 does not control equipment limited to one finger and
designed for user authentication or access control.
(c.) 4D001: ``Software'' as follows (see List of Items Controlled).
``Software'' for computerized finger-print equipment controlled under
ECCN 4A003 for CC reasons is controlled under ECCN 4D001 for CC
reasons.
(d.) 4D980: ``Software'' ``specially designed'' for the
``development,'' ``production'' or ``use'' of commodities controlled by
4A980.
(e.) 4E001: ``Technology'' as follows (see List of Items
Controlled).
Under this entry, ``software'' for computerized finger-print
equipment controlled under ECCN 4A003 for CC reasons is controlled for
CC reasons.
(f.) 4E980: ``Technology'' for the ``development,'' ``production''
or ``use'' of commodities controlled by 4A980.
(g.) 6A002: Optical sensors and equipment, and ``components''
therefor, as follows (see List of Items Controlled). The relevant
control statement reads as follows: ``CC applies to police-model
infrared viewers in 6A002.c.''
(h.) 6E001: ``Technology'' according to the General Technology Note
for the ``development'' of equipment, materials or ``software''
controlled by 6A (except 6A991, 6A992, 6A994, 6A995, 6A996, 6A997,
6A998, or 6A999.c), 6B (except 6B995), 6C (except 6C992 or 6C994), or
6D (except 6D991, 6D992, or 6D993).
Within this entry, ``technology'' for equipment controlled under
ECCN 6A002 for CC reasons (i.e., 6A002.c) is also controlled for CC
reasons. Therefore, this entry subparagraph controls development
technology for both 'direct view' imaging equipment with certain
features and the related software.
(i.) 6E002: ``Technology'' according to the General Technology Note
for the ``production'' of equipment or materials controlled by 6A
(except 6A991, 6A992, 6A994, 6A995, 6A996, 6A997, 6A998 or 6A999.c), 6B
(except 6B995) or 6C (except 6C992 or 6C994).
CC applies to ``technology'' for equipment controlled by 6A002 for
CC reasons (i.e., 6A002.c). Therefore, this controls production
technology for `direct view' imaging equipment with certain features
and development technology for `Direct view' imaging equipment with
certain features and the related software.
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Submission of Comments
All comments must be submitted to one of the addresses indicated in
this notice. The Department requires that all comments be submitted in
written form. BIS will consider all comments received on or before
September 15, 2020. All comments, including those comments containing
any personally identifying information or information for which a claim
of confidentiality is asserted in the comments or their transmittal
emails, will be made available for public inspection and copying.
Parties who wish to comment anonymously may do so by submitting their
comments via Regulations.gov, leaving the fields that would identify
the commenter blank and including no identifying information in the
comment itself.
Richard E. Ashooh,
Assistant Secretary for Export Administration.
[FR Doc. 2020-15416 Filed 7-16-20; 8:45 am]
BILLING CODE 3510-33-P