Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (recast)

• 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 and having any of the following:
• 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
• 1. Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10 000 ;

• e. High energy devices as follows:
• 1. ‘Cells’ as follows:
• a. ‘Primary cells’ having any of the following at 20 °C;
• 1. ‘Energy density’ exceeding 550 Wh/kg and a ‘continuous power density’ exceeding 50 W/kg; or
• 1. ‘Energy density’ exceeding 50 Wh/kg and a ‘continuous power density’ exceeding 350 W/kg; or
• b. ‘Secondary cells’ having an ‘energy density’ exceeding 350 Wh/kg at 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 (Ah) 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, an 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.

5.

For the purpose of 3A001.e.1.a., ‘continuous power density’ (W/kg) is calculated from the nominal voltage multiplied by the specified maximum continuous discharge current in ampere (A) divided by the mass in kilograms. ‘Continuous power density’ is also referred to as specific power. Note:

3A001.e.1. does not control batteries, including single-cell batteries. - 2. High energy storage capacitors as follows: NB:

SEE ALSO 3A201.a. and the Military Goods Controls. - a. Capacitors with a repetition rate of less than 10 Hz (single shot capacitors) and having all of the following: - 1. A voltage rating equal to or more than 5 kV; - 2. An energy density equal to or more than 250 J/kg; and - 3. A total energy equal to or more than 25 kJ; - b. Capacitors with a repetition rate of 10 Hz or more (repetition rated capacitors) and having all of the following: - 1. A voltage rating equal to or more than 5 kV; - 2. An energy density equal to or more than 50 J/kg; - 3. A total energy equal to or more than 100 J; and - 4. A charge/discharge cycle life equal to or more than 10 000 ; - 3. ‘Superconductive’ electromagnets and solenoids, specially designed to be fully charged or discharged in less than one second and having all of the following: NB:

SEE ALSO 3A201.b.

Note:

3A001.e.3. does not control ‘superconductive’ electromagnets or solenoids specially designed for Magnetic Resonance Imaging (MRI) medical equipment. - a. Energy delivered during the discharge exceeding 10 kJ in the first second; - b. Inner diameter of the current carrying windings of more than 250 mm; and - c. Rated for a magnetic induction of more than 8 T or ‘overall current density’ in the winding of more than 300 A/mm²; - 4. Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays, which are ‘space-qualified’, having a minimum average efficiency exceeding 20 % at an operating temperature of 301 K (28 °C) under simulated ‘AM0’ illumination with an irradiance of 1 367 watts per square metre (W/m²); Technical Note: ‘AM0’, or ‘Air Mass Zero’, refers to the spectral irradiance of sun light in the earth’s outer atmosphere when the distance between the earth and sun is one astronomical unit (AU).

- f. Rotary input type absolute position encoders having an ‘accuracy’ equal to or less (better) than 1,0 second of arc and specially designed encoder rings, discs or scales therefor;

• g. Solid-state pulsed power switching thyristor devices and ‘thyristor modules’, using either electrically, optically, or electron radiation controlled switch methods and 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
• 1. A maximum turn-on current rate of rise (di/dt) greater than 2 000  A/μs and having 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.

• h. Solid-state power semiconductor switches, diodes, or 'modules', having all of the following:
• 1. Rated for a maximum operating junction temperature greater than 488 K (215 °C);
• 1. Repetitive peak off-state voltage (blocking voltage) exceeding 300 V; and
• 1. Continuous current greater than 1 A. Note 1:

Repetitive peak off-state voltage in 3A001.h. includes drain to source voltage, collector to emitter voltage, repetitive peak reverse voltage and peak repetitive off-state blocking voltage. Note 2:

3A001.h. includes: - — Junction Field Effect Transistors (JFETs) - — Vertical Junction Field Effect Transistors (VJFETs) - — Metal Oxide Semiconductor Field Effect Transistors (MOSFETs) - — Double Diffused Metal Oxide Semiconductor Field Effect Transistor (DMOSFET) - — Insulated Gate Bipolar Transistor (IGBT) - — High Electron Mobility Transistors (HEMTs) - — Bipolar Junction Transistors (BJTs) - — Thyristors and Silicon Controlled Rectifiers (SCRs) - — Gate Turn-Off Thyristors (GTOs) - — Emitter Turn-Off Thyristors (ETOs) - — PiN Diodes - — Schottky Diodes Note 3:

3A001.h. does not control switches, diodes, or ‘modules’, incorporated into equipment designed for civil automobile, civil railway or ‘civil aircraft’ applications. Technical Note: For the purposes of 3A001.h., ‘modules’ contain one or more solid-state power semiconductor switches or diodes.

• i. Intensity, amplitude, or phase electro-optic modulators, designed for analogue signals and having any of the following:
• 1. A maximum operating frequency of more than 10 GHz but less than 20 GHz, an optical insertion loss equal to or less than 3 dB and having any of the following:
• a. A ‘half-wave voltage’ (‘Vπ’) less than 2,7 V when measured at a frequency of 1 GHz or below; or
• b. A ‘Vπ’ of less than 4 V when measured at a frequency of more than 1 GHz; or
• 1. A maximum operating frequency equal to or greater than 20 GHz, an optical insertion loss equal to or less than 3 dB and having any of the following:
• a. A ‘Vπ’ less than 3,3 V when measured at a frequency of 1 GHz or below; or
• b. A ‘Vπ’ less than 5 V when measured at a frequency of more than 1 GHz. Note:

3A001.i. includes electro-optic modulators having optical input and output connectors (e.g., fibre-optic pigtails). Technical Note: For the purposes of 3A001.i., a ‘half-wave voltage’ (‘Vπ’) is the applied voltage necessary to make a phase change of 180 degrees in the wavelength of light propagating through the optical modulator.

3A002General purpose ‘electronic assemblies’, modules and equipment, as follows:

• a. Recording equipment and oscilloscopes as follows:
• 1. Not used;
• 1. Not used;
• 1. Not used;
• 1. Not used;
• 1. Not used;
• 1. Digital data recorders having all of the following:
• a. A sustained ‘continuous throughput’ of more than 6,4 Gbit/s to disk or solid-state drive memory; and
• b. ‘Signal processing’ of the radio frequency signal data while it is being recorded; Technical Notes: 1.

For recorders with a parallel bus architecture, the ‘continuous throughput’ rate is the highest word rate multiplied by the number of bits in a word. 2.

‘Continuous throughput’ is the fastest data rate the instrument can record to disk or solid-state drive memory without the loss of any information while sustaining the input digital data rate or digitizer conversion rate. - 7. Real-time oscilloscopes having a vertical root-mean-square (rms) noise voltage of less than 2 % of full-scale at the vertical scale setting that provides the lowest noise value for any input 3dB bandwidth of 60 GHz or greater per channel; Note:

3A002.a.7. does not control equivalent-time sampling oscilloscopes.

• b. Not used;

• c. ‘Signal analysers’ as follows:
• 1. ‘Signal analysers’ having a 3 dB resolution bandwidth (RBW) exceeding 40 MHz anywhere within the frequency range exceeding 31,8 GHz but not exceeding 37 GHz;
• 1. ‘Signal analysers’ having Displayed Average Noise Level (DANL) less (better) than -150 dBm/Hz anywhere within the frequency range exceeding 43,5 GHz but not exceeding 90 GHz;
• 1. ‘Signal analysers’ having a frequency exceeding 90 GHz;
• 1. ‘Signal analysers’ having all of the following:
• a. ‘Real-time bandwidth’ exceeding 170 MHz; and
• b. Having any of the following:
• 1. 100 % probability of discovery with less than a 3 dB reduction from full amplitude due to gaps or windowing effects of signals having a duration of 15 μs or less; or
• 1. A ‘frequency mask trigger’ function with 100 % probability of trigger (capture) for signals having a duration of 15 μs or less; Technical Notes: 1.

‘Real-time bandwidth’ is the widest frequency range for which the analyser can continuously transform time-domain data entirely into frequency-domain results, using a Fourier or other discrete time transform that processes every incoming time point, without a reduction of measured amplitude of more than 3 dB below the actual signal amplitude caused by gaps or windowing effects, while outputting or displaying the transformed data. 2.

Probability of discovery in 3A002.c.4.b.1. is also referred to as probability of intercept or probability of capture. 3.

For the purposes of 3A002.c.4.b.1., the duration for 100 % probability of discovery is equivalent to the minimum signal duration necessary for the specified level measurement uncertainty. 4.

A ‘frequency mask trigger’ is a mechanism where the trigger function is able to select a frequency range to be triggered on as a subset of the acquisition bandwidth while ignoring other signals that may also be present within the same acquisition bandwidth. A ‘frequency mask trigger’ may contain more than one independent set of limits. Note:

3A002.c.4. does not control those ‘signal analysers’ using only constant percentage bandwidth filters (also known as octave or fractional octave filters). - 5. Not used;

• d. Signal generators having any of the following:
• 1. Specified to generate pulse-modulated signals having all of the following, anywhere within the frequency range exceeding 31,8 GHz but not exceeding 37 GHz:
• a. ‘Pulse duration’ of less than 25 ns; and
• b. On/off ratio equal to or exceeding 65 dB;
• 1. An output power exceeding 100 mW (20 dBm) anywhere within the frequency range exceeding 43,5 GHz but not exceeding 90 GHz;
• 1. A ‘frequency switching time’ as specified by any of the following:
• a. Not used;
• b. Less than 100 μs for any frequency change exceeding 2,2 GHz within the frequency range exceeding 4,8 GHz but not exceeding 31,8 GHz;
• c. Not used;
• d. Less than 500 μs for any frequency change exceeding 550 MHz within the frequency range exceeding 31,8 GHz but not exceeding 37 GHz; or
• e. Less than 100 μs for any frequency change exceeding 2,2 GHz within the frequency range exceeding 37 GHz but not exceeding 90 GHz;
• f. Not used;
• 1. Single sideband (SSB) phase noise, in dBc/Hz, specified as being any of the following:
• a. Less (better) than -(126 + 20log10F – 20log10f) anywhere within the range of 10 Hz ≤ F ≤ 10 kHz anywhere within the frequency range exceeding 3,2 GHz but not exceeding 90 GHz; or
• b. Less (better) than -(206 – 20log10f) anywhere within the range of 10 kHz< F≤ 100 kHz anywhere within the frequency range exceeding 3,2 GHz but not exceeding 90 GHz; Technical Note: In 3A002.d.4., F is the offset from the operating frequency in Hz and f is the operating frequency in MHz;
• 1. An ‘RF modulation bandwidth’ of digital baseband signals as specified by any of the following:
• a. Exceeding 2,2 GHz within the frequency range exceeding 4,8 GHz but not exceeding 31,8 GHz;
• b. Exceeding 550 MHz within the frequency range exceeding 31,8 GHz but not exceeding 37 GHz; or
• c. Exceeding 2,2 GHz within the frequency range exceeding 37 GHz but not exceeding 90 GHz; or Technical Note: ‘RF modulation bandwidth’ is the Radio Frequency (RF) bandwidth occupied by a digitally encoded baseband signal modulated onto an RF signal. It is also referred to as information bandwidth or vector modulation bandwidth. I/Q digital modulation is the technical method for producing a vector-modulated RF output signal, and that output signal is typically specified as having an ‘RF modulation bandwidth’.
• 1. A maximum frequency exceeding 90 GHz; Note 1:

For the purpose of 3A002.d., signal generators include 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.

The maximum frequency of an arbitrary waveform or function generator is calculated by dividing the sample rate, in samples/second, by a factor of 2,5. 2.

For the purposes of 3A002.d.1.a, ‘pulse duration’ is defined as the time interval from the point on the leading edge that is 50 % of the pulse amplitude to the point on the trailing edge that is 50 % of the pulse amplitude.

- e. Network analysers having any of the following:

• 1. An output power exceeding 31,62 mW (15 dBm) anywhere within the operating frequency range exceeding 43,5 GHz but not exceeding 90 GHz;
• 1. An output power exceeding 1 mW (0 dBm) anywhere within the operating frequency range exceeding 90 GHz but not exceeding 110 GHz;
• 1. ‘Nonlinear vector measurement functionality’ at frequencies exceeding 50 GHz but not exceeding 110 GHz; or Technical Note: ‘Nonlinear vector measurement functionality’ is an instrument’s ability to analyse the test results of devices driven into the large-signal domain or the non-linear distortion range.
• 1. A maximum operating frequency exceeding 110 GHz;

• f. Microwave test receivers having all of the following:
• 1. A maximum operating frequency exceeding 110 GHz; and
• 1. Being capable of measuring amplitude and phase simultaneously;

• g. Atomic frequency standards being any of the following:
• 1. ‘Space-qualified’;
• 1. Non-rubidium and having a long-term stability less (better) than 1 × 10^–11/month; or
• 1. Non-‘space-qualified’ and having all of the following:
• a. Being a rubidium standard;
• b. Long-term stability less (better) than 1 × 10^–11/month; and
• c. Total power consumption of less than 1 W;

• h. ‘Electronic assemblies’, modules, or equipment, specified to perform all of the following:
• 1. Analogue-to-digital conversions meeting any of the following:
• a. A resolution of 8 bit or more, but less than 10 bit, with a ‘sample rate’ greater than 1,3 Giga Samples Per Second (GSPS);
• b. A resolution of 10 bit or more, but less than 12 bit, with a ‘sample rate’ greater than 1,0 GSPS;
• c. A resolution of 12 bit or more, but less than 14 bit, with a ‘sample rate’ greater than 1,0 GSPS;
• d. A resolution of 14 bit or more but less than 16 bit, with a ‘sample rate’ greater than 400 Mega Samples Per Second (MSPS); or
• e. A resolution of 16 bit or more with a ‘sample rate’ greater than 180 MSPS; and
• 1. Any of the following:
• a. Output of digitized data;
• b. Storage of digitized data; or
• c. Processing of digitized data; NB:

Digital data recorders, oscilloscopes, ‘signal analysers’, signal generators, network analysers and microwave test receivers, are specified in 3A002.a.6., 3A002.a.7., 3A002.c., 3A002.d., 3A002.e. and 3A002.f., respectively. Technical Notes: 1.

A resolution of n bit corresponds to a quantisation of 2ⁿ levels. 2.

The resolution of the ADC is the number of bits of the digital output of the ADC that represents the measured analogue input. Effective Number of Bits (ENOB) is not used to determine the resolution of the ADC. 3.

For non-interleaved multiple-channel ‘electronic assemblies’, modules, or equipment, the ‘sample rate’ is not aggregated and the ‘sample rate’ is the maximum rate of any single-channel. 4.

For interleaved channels on multiple-channel ‘electronic assemblies’, modules, or equipment, the ‘sample rates’ are aggregated and the ‘sample rate’ is the maximum combined total rate of all the interleaved channels.

Note:

3A002.h. includes ADC cards, waveform digitizers, data acquisition cards, signal acquisition boards and transient recorders.

3A003Spray cooling thermal management systems employing closed loop fluid handling and reconditioning equipment in a sealed enclosure where a dielectric fluid is sprayed onto electronic components using specially designed spray nozzles that are designed to maintain electronic components within their operating temperature range, and specially designed components therefor.

3A101Electronic equipment, devices and components, other than those specified in 3A001, as follows:

- a. Analogue-to-digital converters, usable in ‘missiles’, designed to meet military specifications for ruggedized equipment;

• b. Accelerators capable of delivering electromagnetic radiation produced by bremsstrahlung from accelerated electrons of 2 MeV or greater, and systems containing those accelerators. Note:

3A101.b. above does not specify equipment specially designed for medical purposes.

3A102 ‘Thermal batteries’ designed or modified for ‘missiles’.

Technical Notes:

• 1.

In 3A102 ‘thermal batteries’ are single use batteries that contain a solid non-conducting inorganic salt as the electrolyte. These batteries incorporate a pyrolytic material that, when ignited, melts the electrolyte and activates the battery.

• 2.

In 3A102 ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

3A201Electronic components, other than those specified in 3A001, as follows;

• a. Capacitors having either of the following sets of characteristics:
• 1. • a. Voltage rating greater than 1,4 kV;
• b. Energy storage greater than 10 J;
• c. Capacitance greater than 0,5 μF; and
• d. Series inductance less than 50 nH; or
• 1. • a. Voltage rating greater than 750 V;
• b. Capacitance greater than 0,25 μF; and
• c. Series inductance less than 10 nH;

• b. Superconducting solenoidal electromagnets having all of the following characteristics:
• 1. Capable of creating magnetic fields greater than 2 T;
• 1. A ratio of length to inner diameter greater than 2;
• 1. Inner diameter greater than 300 mm; and
• 1. Magnetic field uniform to better than 1 % over the central 50 % of the inner volume; Note:

3A201.b. does not control magnets specially designed for and exported ‘as parts of’ medical nuclear magnetic resonance (NMR) imaging systems. The phrase ‘as part of’ does not necessarily mean physical part in the same shipment; separate shipments from different sources are allowed, provided the related export documents clearly specify that the shipments are dispatched ‘as part of’ the imaging systems.

- c. Flash X-ray generators or pulsed electron accelerators having either of the following sets of characteristics:

• 1. • a. An accelerator peak electron energy of 500 keV or greater but less than 25 MeV; and
• b. With a ‘figure of merit’ (K) of 0,25 or greater; or
• 1. • a. An accelerator peak electron energy of 25 MeV or greater; and
• b. A ‘peak power’ greater than 50 MW. Note:

3A201.c. does not control accelerators that are component parts of devices designed for purposes other than electron beam or X-ray radiation (electron microscopy, for example) nor those designed for medical purposes. Technical Notes: 1.

The ‘figure of merit’ (K) is defined as: K = 1,7 × 10³V^2,65Q V is the peak electron energy in million electron volts. If the accelerator beam pulse duration is less than or equal to 1 μs, then Q is the total accelerated charge in Coulombs. If the accelerator beam pulse duration is greater than 1 μs, then Q is the maximum accelerated charge in 1 μs. Q equals the integral of i with respect to t, over the lesser of 1 μs or the time duration of the beam pulse (Q = ∫ idt), where i is beam current in amperes and t is time in seconds. 2.

‘Peak power’ = (peak potential in volts) × (peak beam current in amperes). 3.

In machines based on microwave accelerating cavities, the time duration of the beam pulse is the lesser of 1 μs or the duration of the bunched beam packet resulting from one microwave modulator pulse. 4.

In machines based on microwave accelerating cavities, the peak beam current is the average current in the time duration of a bunched beam packet.

3A225Frequency changers or generators, other than those specified in 0B001.b.13., usable as a variable or fixed frequency motor drive, having all of the following characteristics:

• NB: 1.

‘Software’ specially designed to enhance or release the performance of a frequency changer or generator to meet the characteristics of 3A225 is specified in 3D225.

- NB: 2.

‘Technology’ in the form of codes or keys to enhance or release the performance of a frequency changer or generator to meet the characteristics of 3A225 is specified in 3E225.

• a. Multiphase output providing a power of 40 VA or greater;

• b. Operating at a frequency of 600 Hz or more; and

• c. Frequency control better (less) than 0,2 %.

• Note:

3A225 does not control frequency changers or generators if they have hardware, ‘software’ or ‘technology’ constraints that limit the performance to less than that specified above, provided they meet any of the following:

• 1. They need to be returned to the original manufacturer to make the enhancements or release the constraints;

• 2. They require ‘software’ as specified in 3D225 to enhance or release the performance to meet the characteristics of 3A225; or

- 3. They require ‘technology’ in the form of keys or codes as specified in 3E225 to enhance or release the performance to meet the characteristics of 3A225.

Technical Notes:

• 1.

Frequency changers in 3A225 are also known as converters or inverters.

• 2.

Frequency changers in 3A225 may be marketed as Generators, Electronic Test Equipment, AC Power Supplies, Variable Speed Motors Drives, Variable Speed Drives (VSDs), Variable Frequency Drives (VFDs), Adjustable Frequency Drives (AFDs), or Adjustable Speed Drives (ASDs).

3A226High-power direct current power supplies, other than those specified in 0B001.j.6., having both of the following characteristics:

• a. Capable of continuously producing, over a time period of 8 hours, 100 V or greater with current output of 500 A or greater; and

• b. Current or voltage stability better than 0,1 % over a time period of 8 hours.

3A227High-voltage direct current power supplies, other than those specified in 0B001.j.5., having both of the following characteristics:

• a. Capable of continuously producing, over a time period of 8 hours, 20 kV or greater with current output of 1 A or greater; and

• b. Current or voltage stability better than 0,1 % over a time period of 8 hours.

3A228Switching devices, as follows:

• a. Cold-cathode tubes, whether gas filled or not, operating similarly to a spark gap, having all of the following characteristics:
• 1. Containing three or more electrodes;
• 1. Anode peak voltage rating of 2,5 kV or more;
• 1. Anode peak current rating of 100 A or more; and
• 1. Anode delay time of 10 μs or less; Note:

3A228 includes gas krytron tubes and vacuum sprytron tubes.

• b. Triggered spark-gaps having both of the following characteristics:
• 1. An anode delay time of 15 μs or less; and
• 1. Rated for a peak current of 500 A or more;

• c. Modules or assemblies with a fast switching function, other than those specified in 3A001.g. or 3A001.h., having all of the following characteristics:
• 1. Anode peak voltage rating greater than 2 kV;
• 1. Anode peak current rating of 500 A or more; and
• 1. Turn-on time of 1 μs or less.

3A229High-current pulse generators as follows:

- NB:

SEE ALSO MILITARY GOODS CONTROLS.

- a. Detonator firing sets (initiator systems, firesets), including electronically-charged, explosively-driven and optically-driven firing sets, other than those specified in 1A007.a., designed to drive multiple controlled detonators specified in 1A007.b.;

• b. Modular electrical pulse generators (pulsers) having all of the following characteristics:
• 1. Designed for portable, mobile, or ruggedized-use;
• 1. Capable of delivering their energy in less than 15 μs into loads of less than 40 ohms;
• 1. Having an output greater than 100 A;
• 1. No dimension greater than 30 cm;
• 1. Weight less than 30 kg; and
• 1. Specified for use over an extended temperature range 223 K (– 50 °C) to 373 K (100 °C) or specified as suitable for aerospace applications. Note:

3A229.b. includes xenon flash-lamp drivers.

• c. Micro-firing units having all of the following characteristics:
• 1. No dimension greater than 35 mm;
• 1. Voltage rating of equal to or greater than 1 kV; and
• 1. Capacitance of equal to or greater than 100 nF.

3A230High-speed pulse generators, and ‘pulse heads’ therefor, having both of the following characteristics:

• a. Output voltage greater than 6 V into a resistive load of less than 55 ohms, and

• b. ‘Pulse transition time’ less than 500 ps. Technical Notes: 1.

In 3A230, ‘pulse transition time’ is defined as the time interval between 10 % and 90 % voltage amplitude. 2.

‘Pulse heads’ are impulse forming networks designed to accept a voltage step function and shape it into a variety of pulse forms that can include rectangular, triangular, step, impulse, exponential, or monocycle types. ‘Pulse heads’ can be an integral part of the pulse generator, they can be a plug-in module to the device or they can be an externally connected device.

3A231Neutron generator systems, including tubes, having both of the following characteristics:

• a. Designed for operation without an external vacuum system; and

• b. Utilizing any of the following:
• 1. Electrostatic acceleration to induce a tritium-deuterium nuclear reaction; or
• 1. Electrostatic acceleration to induce a deuterium-deuterium nuclear reaction and capable of an output of 3 × 10⁹ neutrons/s or greater.

3A232Multipoint initiation systems, other than those specified in 1A007, as follows:

• NB:

SEE ALSO MILITARY GOODS CONTROLS.

• NB:

See 1A007.b. for detonators.

• a. Not used;

• b. Arrangements using single or multiple detonators designed to nearly simultaneously initiate an explosive surface over an area greater than 5 000  mm² from a single firing signal with an initiation timing spread over the surface of less than 2,5 μs. Note:

3A232 does not control detonators using only primary explosives, such as lead azide.

3A233Mass spectrometers, other than those specified in 0B002.g., capable of measuring ions of 230 u or greater and having a resolution of better than 2 parts in 230, as follows, and ion sources therefor:

• a. Inductively coupled plasma mass spectrometers (ICP/MS);

• b. Glow discharge mass spectrometers (GDMS);

• c. Thermal ionization mass spectrometers (TIMS);

• d. Electron bombardment mass spectrometers having both of the following features:
• 1. A molecular beam inlet system that injects a collimated beam of analyte molecules into a region of the ion source where the molecules are ionized by an electron beam; and
• 1. One or more ‘cold traps’ that can be cooled to a temperature of 193 K (– 80 °C);

- e. Not used;

• f. Mass spectrometers equipped with a microfluorination ion source designed for actinides or actinide fluorides.

Technical Notes:

• 1.

Electron bombardment mass spectrometers in 3A233.d. are also known as electron impact mass spectrometers or electron ionization mass spectrometers.

- 2.

In 3A233.d.2., a ‘cold trap’ is a device that traps gas molecules by condensing or freezing them on cold surfaces. For the purposes of 3A233.d.2., a closed-loop gaseous helium cryogenic vacuum pump is not a ‘cold trap’.

3A234Striplines to provide low inductance path to detonators with the following characteristics:

- a. Voltage rating greater than 2 kV; and

• b. Inductance of less than 20 nH.

3BTest, Inspection and Production Equipment

3B001Equipment for the manufacturing of semiconductor devices or materials, as follows and specially designed components and accessories therefor:

• NB:

SEE ALSO 2B226

• a. Equipment designed for epitaxial growth as follows:
• 1. Equipment designed or modified to produce a layer of any material other than silicon with a thickness uniform to less than ± 2,5 % across a distance of 75 mm or more; Note:

3B001.a.1. includes Atomic Layer Epitaxy (ALE) equipment. - 2. Metal Organic Chemical Vapour Deposition (MOCVD) reactors designed for compound semiconductor epitaxial growth of material having two or more of the following elements: aluminium, gallium, indium, arsenic, phosphorus, antimony, or nitrogen; - 3. Molecular beam epitaxial growth equipment using gas or solid sources;

• b. Equipment designed for ion implantation and having any of the following:
• 1. Not used;
• 1. Being designed and optimized to operate at a beam energy of 20 keV or more and a beam current of 10 mA or more for hydrogen, deuterium or helium implant;
• 1. Direct write capability;
• 1. A beam energy of 65 keV or more and a beam current of 45 mA or more for high energy oxygen implant into a heated semiconductor material ‘substrate’; or
• 1. Being designed and optimized to operate at a beam energy of 20 keV or more and a beam current of 10 mA or more for silicon implant into a semiconductor material ‘substrate’ heated to 600 °C or greater;

- c. Not used;

• d. Not used;

• e. Automatic loading multi-chamber central wafer handling systems having all of the following:
• 1. Interfaces for wafer input and output, to which more than two functionally different ‘semiconductor process tools’ specified in 3B001.a.1., 3B001.a.2., 3B001.a.3. or 3B001.b. are designed to be connected; and
• 1. Designed to form an integrated system in a vacuum environment for ‘sequential multiple wafer processing’; Note:

3B001.e. does not control automatic robotic wafer handling systems specially designed for parallel wafer processing. Technical Notes: 1.

For the purpose of 3B001.e., ‘semiconductor process tools’ refers to modular tools that provide physical processes for semiconductor production that are functionally different, such as deposition, implant or thermal processing. 2.

For the purpose of 3B001.e., ‘sequential multiple wafer processing’ means the capability to process each wafer in different ‘semiconductor process tools’, such as by transferring each wafer from one tool to a second tool and on to a third tool with the automatic loading multi-chamber central wafer handling systems.

• f. Lithography equipment as follows:
• 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 and having any of the following:
• a. A light source wavelength shorter than 193 nm; or
• b. Capable of producing a pattern with a ‘Minimum Resolvable Feature size’ (MRF) of 45 nm or less; Technical Note: The ‘Minimum Resolvable Feature size’ (MRF) is calculated by the following formula: Image omitted; see official source where the K factor = 0,35
• 1. Imprint lithography equipment capable of producing features of 45 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 - 3. Equipment specially designed for mask making having all of the following: - a. A deflected focussed electron beam, ion beam or ‘laser’ beam; and - b. Having any of the following: - 1. A full-width half-maximum (FWHM) spot size smaller than 65 nm and an image placement less than 17 nm (mean + 3 sigma); or - 2. Not used; - 3. A second-layer overlay error of less than 23 nm (mean + 3 sigma) on the mask; - 4. Equipment designed for device processing using direct writing methods, having all of the following: - a. A deflected focused electron beam; and - b. Having any of the following: - 1. A minimum beam size equal to or smaller than 15 nm; or - 2. An overlay error less than 27 nm (mean + 3 sigma);

- g. Masks and reticles, designed for integrated circuits specified in 3A001;

• h. Multi-layer masks with a phase shift layer not specified in 3B001.g. and designed to be used by lithography equipment having a light source wavelength less than 245 nm; Note:

3B001.h. does not control multi-layer masks with a phase shift layer designed for the fabrication of memory devices not specified in 3A001. NB:

For masks and reticles, specially designed for optical sensors, see 6B002.

• i. Imprint lithography templates designed for integrated circuits specified in 3A001.

• j. Mask ‘substrate blanks’ with multilayer reflector structure consisting of molybdenum and silicon, and having all of the following:
• 1. Specially designed for ‘Extreme Ultraviolet’ (‘EUV’) lithography; and
• 1. Compliant with SEMI Standard P37. Technical Note: ‘Extreme Ultraviolet’ (‘EUV’) refers to electromagnetic spectrum wavelengths greater than 5 nm and less than 124 nm.

3B002Test equipment specially designed for testing finished or unfinished semiconductor devices as follows and specially designed components and accessories therefor:

- a. For testing S-parameters of items specified in 3A001.b.3.;

• b. Not used;

• c. For testing items specified in 3A001.b.2.

3CMaterials

3C001Hetero-epitaxial materials consisting of a ‘substrate’ having stacked epitaxially grown multiple layers of any of the following:

- a. Silicon (Si);

• b. Germanium (Ge);

• c. Silicon carbide (SiC); or

• d. ‘III/V compounds’ of gallium or indium.

• Note:

3C001.d. does not control a ‘substrate’ having one or more P-type epitaxial layers of GaN, InGaN, AlGaN, InAlN, InAlGaN, GaP, GaAs, AlGaAs, InP, InGaP, AlInP or InGaAlP, independent of the sequence of the elements, except if the P-type epitaxial layer is between N-type layers.

3C002Resist materials as follows and ‘substrates’ coated with the following resists:

• a. Resists designed for semiconductor lithography as follows:
• 1. Positive resists adjusted (optimised) for use at wavelengths less than 193 nm but equal to or greater than 15 nm;
• 1. Resists adjusted (optimised) for use at wavelengths less than 15 nm but greater than 1 nm;

• b. All resists designed for use with electron beams or ion beams, with a sensitivity of 0,01 μcoulomb/mm² or better;

• c. Not used;

• d. All resists optimised for surface imaging technologies;

• e. All resists designed or optimised for use with imprint lithography equipment specified in 3B001.f.2. that use either a thermal or photo-curable process.

3C003Organo-inorganic compounds as follows:

• a. Organo-metallic compounds of aluminium, gallium or indium, having a purity (metal basis) better than 99,999 %;

• b. Organo-arsenic, organo-antimony and organo-phosphorus compounds, having a purity (inorganic element basis) better than 99,999 %.

- Note:

3C003 only controls compounds whose metallic, partly metallic or non-metallic element is directly linked to carbon in the organic part of the molecule.

3C004Hydrides of phosphorus, arsenic or antimony, having a purity better than 99,999 %, even diluted in inert gases or hydrogen.

• Note:

3C004 does not control hydrides containing 20 % molar or more of inert gases or hydrogen.

3C005High resistivity materials as follows:

- a. Silicon carbide (SiC), gallium nitride (GaN), aluminium nitride (AlN) or aluminium gallium nitride (AlGaN) semiconductor ‘substrates’, or ingots, boules, or other preforms of those materials, having resistivities greater than 10 000 ohm-cm at 20 °C;

• b. Polycrystalline ‘substrates’ or polycrystalline ceramic ‘substrates’, having resistivities greater than 10 000 ohm-cm at 20 °C and having at least one non-epitaxial single-crystal layer of silicon (Si), silicon carbide (SiC), gallium nitride (GaN), aluminium nitride (AlN), or aluminium gallium nitride (AlGaN) on the surface of the ‘substrate’.

3C006Materials, not specified in 3C001, consisting of a ‘substrate’ specified in 3C005 with at least one epitaxial layer of silicon carbide, gallium nitride, aluminium nitride or aluminium gallium nitride.

3DSoftware

3D001 ‘Software’ specially designed for the ‘development’ or ‘production’ of equipment specified in 3A001.b. to 3A002.h. or 3B.

3D002 ‘Software’ specially designed for the ‘use’ of equipment specified in 3B001.a. to f., 3B002 or 3A225

3D003 ‘Computational lithography’ ‘software’ specially designed for the ‘development’ of patterns on EUV-lithography masks or reticles.

Technical Note:

‘Computational lithography’ is the use of computer modelling to predict, correct, optimise and verify imaging performance of the lithography process over a range of patterns, processes, and system conditions.

3D004 ‘Software’ specially designed for the ‘development’ of equipment specified in 3A003.

3D005 ‘Software’ specially designed to restore normal operation of a microcomputer, ‘microprocessor microcircuit’ or ‘microcomputer microcircuit’ within 1 ms after an Electromagnetic Pulse (EMP) or Electrostatic Discharge (ESD) disruption, without loss of continuation of operation.

3D101 ‘Software’ specially designed or modified for the ‘use’ of equipment specified in 3A101.b.

3D225 ‘Software’ specially designed to enhance or release the performance of frequency changers or generators to meet the characteristics of 3A225.

3ETechnology

3E001

‘Technology’ according to the General Technology Note for the ‘development’ or ‘production’ of equipment or materials specified in 3A, 3B or 3C;

• Note 1:

3E001 does not control ‘technology’ for equipment or components specified in 3A003.

• Note 2:

3E001 does not control ‘technology’ for integrated circuits specified in 3A001.a.3. to 3A001.a.12., having all of the following:

• a. Using ‘technology’ at or above 0,130 μm; and

• b. Incorporating multi-layer structures with three or fewer metal layers.

• Note 3:

3E001 does not control ‘Process Design Kits’ (‘PDKs’) unless they include libraries implementing functions or technologies for items specified in 3A001.

Technical Note:

A ‘Process Design Kit’ (‘PDK’) is a software tool provided by a semiconductor manufacturer to ensure that the required design practices and rules are taken into account in order to successfully produce a specific integrated circuit design in a specific semiconductor process, in accordance with technological and manufacturing constraints (each semiconductor manufacturing process has its particular ‘PDK’).

3E002 ‘Technology’ according to the General Technology Note, other than that specified in 3E001, for the ‘development’ or ‘production’ of a ‘microprocessor microcircuit’, ‘microcomputer microcircuit’ or 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:

• 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 processor 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 and vector registers of at least 32 elements each.

• b. Designed to perform more than four 64-bit or larger ‘floating-point’ operation results per cycle; or

• c. Designed to perform more than eight 16-bit ‘fixed-point’ multiply-accumulate results per cycle (e.g., digital manipulation of analogue information that has been previously converted into digital form, also known as digital ‘signal processing’).

Technical Notes:

• 1.

For the purpose of 3E002.a. and 3E002.b., ‘floating-point’ is defined by IEEE-754.

• 2.

For the purpose of 3E002.c., ‘fixed-point’ refers to a fixed-width real number with both an integer component and a fractional component, and which does not include integer-only formats.

• Note 1:

3E002 does not control ‘technology’ for multimedia extensions.

• Note 2:

3E002 does not control ‘technology’ for micro-processor 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.

• Note 3:

3E002 includes ‘technology’ for the ‘development’ or ‘production’ of digital signal processors and digital array processors.

3E003Other ‘technology’ for the ‘development’ or ‘production’ of the following:

• a. Vacuum microelectronic devices;

• b. Hetero-structure semiconductor electronic devices such as high electron mobility transistors (HEMT), hetero-bipolar transistors (HBT), quantum well and super lattice devices; Note:

3E003.b. does not control ‘technology’ for high electron mobility transistors (HEMT) operating at frequencies lower than 31,8 GHz and hetero-junction bipolar transistors (HBT) operating at frequencies lower than 31,8 GHz.

• c. ‘Superconductive’ electronic devices;

• d. Substrates of films of diamond for electronic components.

• e. Substrates of silicon-on-insulator (SOI) for integrated circuits in which the insulator is silicon dioxide;

• f. Substrates of silicon carbide for electronic components;

- g. ‘Vacuum electronic devices’ operating at frequencies of 31,8 GHz or higher.

3E004 ‘Technology’ ‘required’ for the slicing, grinding and polishing of 300 mm diameter silicon wafers to achieve a ‘Site Front least sQuares Range’ (‘SFQR’) less than or equal to 20 nm at any site of 26 mm × 8 mm on the front surface of the wafer and an edge exclusion less than or equal to 2 mm.

Technical Note:

For the purposes of 3E004 ‘SFQR’ is the range of maximum deviation and minimum deviation from front reference plane, calculated by least square method with all front surface data including site boundary within a site.

3E101 ‘Technology’ according to the General Technology Note for the ‘use’ of equipment or ‘software’ specified in 3A001.a.1. or 2., 3A101, 3A102 or 3D101.

3E102 ‘Technology’ according to the General Technology Note for the ‘development’ of ‘software’specified in 3D101.

3E201 ‘Technology’ according to the General Technology Note for the ‘use’ of equipment specified in 3A001.e.2., 3A001.e.3., 3A001.g., 3A201, 3A225 to 3A234.

3E225 ‘Technology’, in the form of codes or keys, to enhance or release the performance of frequency changers or generators to meet the characteristics of 3A225.

CATEGORY 4 — COMPUTERS

- Note 1:

Computers, related equipment and ‘software’ performing telecommunications or ‘local area network’ functions must also be evaluated against the performance characteristics of Category 5, Part 1 (Telecommunications).

• Note 2:

Control units which directly interconnect the buses or channels of central processing units, ‘main storage’ or disk controllers are not regarded as telecommunications equipment described in Category 5, Part 1 (Telecommunications).

• NB:

For the control status of ‘software’ specially designed for packet switching, see 5D001.

Technical Note:

‘Main storage’ is the primary storage for data or instructions for rapid access by a central processing unit. It consists of the internal storage of a ‘digital computer’ and any hierarchical extension thereto, such as cache storage or non-sequentially accessed extended storage.

4ASystems, Equipment and Components

4A001Electronic computers and related equipment, having any of the following and ‘electronic assemblies’ and specially designed components therefor:

• NB:

SEE ALSO 4A101.

• a. Specially designed to have any of the following:
• 1. Rated for operation at an ambient temperature below 228 K (– 45 °C) or above 358 K (85 °C); or Note:

4A001.a.1. does not control computers specially designed for civil automobile, railway train or ‘civil aircraft’ applications. - 2. Radiation hardened to exceed any of the following specifications: a. Total Dose 5 × 10³ Gy (silicon); b. Dose Rate Upset 5 × 10⁶ Gy (silicon)/s; or c. Single Event Upset 1 × 10^–8 Error/bit/day; Note:

4A001.a.2. does not control computers specially designed for ‘civil aircraft’ applications.

• b. Not used.

4A003 ‘Digital computers’, ‘electronic assemblies’, and related equipment therefor, as follows and specially designed components therefor:

• Note 1:

4A003 includes the following:

• — ‘Vector processors’;

• — Array processors;

• — Digital signal processors;

- — Logic processors;

• — Equipment designed for ‘image enhancement’.

• Note 2:

The control status of the ‘digital computers’ and related equipment described in 4A003 is determined by the control status of other equipment or systems provided:

• a. The ‘digital computers’ or related equipment are essential for the operation of the other equipment or systems;

• b. The ‘digital computers’ or related equipment are not a ‘principal element’ of the other equipment or systems; and NB: 1:

The control status of ‘signal processing’ or ‘image enhancement’ equipment specially designed for other equipment with functions limited to those required for the other equipment is determined by the control status of the other equipment even if it exceeds the ‘principal element’ criterion. NB: 2:

For the control status of ‘digital computers’ or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications).

• c. The ‘technology’ for the ‘digital computers’ and related equipment is determined by 4E.

• a. Not used;

• b. ‘Digital computers’ having an ‘Adjusted Peak Performance’ (‘APP’) exceeding 29 Weighted TeraFLOPS (WT);

• c. ‘Electronic assemblies’ specially designed or modified for enhancing performance by aggregation of processors so that the ‘APP’ of the aggregation exceeds the limit specified in 4A003.b.; Note 1:

4A003.c. controls only ‘electronic assemblies’ and programmable interconnections not exceeding the limit specified in 4A003.b. when shipped as unintegrated ‘electronic assemblies’. Note 2:

4A003.c. does not control ‘electronic assemblies’ specially designed for a product or family of products whose maximum configuration does not exceed the limit specified in 4A003.b.

• d. Not used;

• e. Not used;

• f. Not used;

• g. Equipment specially designed for aggregating the performance of ‘digital computers’ by providing external interconnections which allows communications at unidirectional data rates exceeding 2,0 Gbyte/s per link. Note:

4A003.g. does not control internal interconnection equipment (e.g. backplanes, buses), passive interconnection equipment, ‘network access controllers’ or ‘communications channel controllers’.

4A004Computers as follows and specially designed related equipment, ‘electronic assemblies’ and components therefor:

• a. ‘Systolic array computers’;

• b. ‘Neural computers’;

• c. ‘Optical computers’.

Technical Notes:

• 1.

‘Systolic array computers’ are computers where the flow and modification of the data is dynamically controllable at the logic gate level by the user.

• 2.

‘Neural computers’ are computational devices designed or modified to mimic the behaviour of a neuron or a collection of neurons, i.e., computational devices which are distinguished by their hardware capability to modulate the weights and numbers of the interconnections of a multiplicity of computational components based on previous data.

• 3.

‘Optical computers’ are computers designed or modified to use light to represent data and whose computational logic elements are based on directly coupled optical devices.

4A005Systems, equipment, and components therefor, specially designed or modified for the generation, command and control, or delivery of ‘intrusion software’.

4A101Analogue computers, ‘digital computers’ or digital differential analysers, other than those specified in 4A001.a.1., which are ruggedized and designed or modified for use in space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

4A102Hybrid computers specially designed for modelling, simulation or design integration of space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

• Note:

This control only applies when the equipment is supplied with ‘software’ specified in 7D103 or 9D103.

4BTest, Inspection and Production Equipment

None.

4C Materials

None.

4DSoftware

• Note:

The control status of ‘software’ for equipment described in other Categories is dealt with in the appropriate Category.

4D001 ‘Software’ as follows:

• a. ‘Software’ specially designed or modified for the ‘development’ or ‘production’ of equipment or ‘software’ specified in 4A001 to 4A004, or 4D.

• b. ‘Software’, other than that specified in 4D001.a., specially designed or modified for the ‘development’ or ‘production’ of equipment as follows:
• 1. ‘Digital computers’ having an ‘Adjusted Peak Performance’ (‘APP’) exceeding 15 Weighted TeraFLOPS (WT);
• 1. ‘Electronic assemblies’ specially designed or modified for enhancing performance by aggregation of processors so that the ‘APP’ of the aggregation exceeds the limit in 4D001.b.1.

4D002Not used

4D003Not used

4D004 ‘Software’ specially designed or modified for the generation, command and control, or delivery of ‘intrusion software’.

• Note:

4D004 does not control ‘software’ specially designed and limited to provide ‘software’ updates or upgrades meeting all the following:

• a. The update or upgrade operates only with the authorisation of the owner or administrator of the system receiving it; and

• b. After the update or upgrade, the ‘software’ updated or upgraded is not any of the following:
• 1. ‘Software’ specified in 4D004; or
• 2. ‘Intrusion software’.

4ETechnology

4E001

• a. ‘Technology’ according to the General Technology Note, for the ‘development’, ‘production’ or ‘use’ of equipment or ‘software’ specified in 4A or 4D.

• b. ‘Technology’, according to the General Technology Note, other than that specified in 4E001.a., for the ‘development’ or ‘production’ of equipment as follows:
• 1. ‘Digital computers’ having an ‘Adjusted Peak Performance’ (‘APP’) exceeding 15 Weighted TeraFLOPS (WT);
• 1. ‘Electronic assemblies’ specially designed or modified for enhancing performance by aggregation of processors so that the ‘APP’ of the aggregation exceeds the limit in 4E001.b.1.

• c. ‘Technology’ for the ‘development’ of ‘intrusion software’. Note 1:

4E001.a. and 4E001.c. do not control ‘vulnerability disclosure’ or ‘cyber incident response’. Note 2:

Note 1 does not diminish the rights of the competent authority of the EU Member State in which the exporter is established to ascertain compliance with 4E001.a. and 4E001.c.

TECHNICAL NOTE ON ‘ADJUSTED PEAK PERFORMANCE’ (‘APP’)

‘APP’ is an adjusted peak rate at which ‘digital computers’ perform 64-bit or larger floating point additions and multiplications.

‘APP’ is expressed in Weighted TeraFLOPS (WT), in units of 10¹² adjusted floating point operations per second.

Abbreviations used in this Technical Note

• n number of processors in the ‘digital computer’

• i processor number (i,...n)

• ti processor cycle time (ti = 1/Fi)

• Fi processor frequency

• Ri peak floating point calculating rate

• Wi architecture adjustment factor

Outline of ‘APP’ calculation method

• 1.For each processor i, determine the peak number of 64-bit or larger floating point operations, FPOi, performed per cycle for each processor in the ‘digital computer’.

• Note:

In determining FPO, include only 64-bit or larger floating point additions or multiplications. All floating point operations must be expressed in operations per processor cycle; operations requiring multiple cycles may be expressed in fractional results per cycle. For processors not capable of performing calculations on floating point operands of 64-bit or more, the effective calculating rate R is zero.

- 2.Calculate the floating point rate R for each processor Ri = FPOi/ti.

• 3.Calculate ‘APP’ as ‘APP’ = W1 × R1 + W2 × R2 + … + Wn × Rn.

• 4.For ‘vector processors’, Wi = 0,9. For non-‘vector processors’, Wi = 0,3.

• Note 1:

For processors that perform compound operations in a cycle, such as addition and multiplication, each operation is counted.

• Note 2:

For a pipelined processor the effective calculating rate R is the faster of the pipelined rate, once the pipeline is full, or the non-pipelined rate.

• Note 3:

The calculating rate R of each contributing processor is to be calculated at its maximum value theoretically possible before the ‘APP’ of the combination is derived. Simultaneous operations are assumed to exist when the computer manufacturer claims concurrent, parallel, or simultaneous operation or execution in a manual or brochure for the computer.

• Note 4:

Do not include processors that are limited to input/output and peripheral functions (e.g., disk drive, communication and video display) when calculating ‘APP’.

• Note 5:

‘APP’ values are not to be calculated for processor combinations (inter)connected by ‘Local Area Networks’, Wide Area Networks, I/O shared connections/devices, I/O controllers and any communication interconnection implemented by ‘software’.

• Note 6:

‘APP’ values must be calculated for processor combinations containing processors specially designed to enhance performance by aggregation, operating simultaneously and sharing memory;

Technical Notes:

- 1.

Aggregate all processors and accelerators operating simultaneously and located on the same die.

• 2.

Processor combinations share memory when any processor is capable of accessing any memory location in the system through the hardware transmission of cache lines or memory words, without the involvement of any software mechanism, which may be achieved using ‘electronic assemblies’ specified in 4A003.c.

- Note 7:

A ‘vector processor’ is defined as a processor with built-in instructions that perform multiple calculations on floating-point vectors (one-dimensional arrays of 64-bit or larger numbers) simultaneously, having at least 2 vector functional units and at least 8 vector registers of at least 64 elements each.

CATEGORY 5 – TELECOMMUNICATIONS AND ‘INFORMATION SECURITY’

Part 1 – TELECOMMUNICATIONS

• Note 1:

The control status of components, test and ‘production’ equipment and ‘software’ therefor which are specially designed for telecommunications equipment or systems is determined in Category 5, Part 1.

• NB:

For ‘lasers’ specially designed for telecommunications equipment or systems, see 6A005.

• Note 2:

‘Digital computers’, related equipment or ‘software’, when essential for the operation and support of telecommunications equipment described in this Category, are regarded as specially designed components, provided they are the standard models customarily supplied by the manufacturer. This includes operation, administration, maintenance, engineering or billing computer systems.

5A1Systems, Equipment and Components

5A001Telecommunications systems, equipment, components and accessories as follows:

• a. Any type of telecommunications equipment having any of the following characteristics, functions or features:
• 1. Specially designed to withstand transitory electronic effects or electromagnetic pulse effects, both arising from a nuclear explosion;
• 1. Specially hardened to withstand gamma, neutron or ion radiation;
• 1. Specially designed to operate below 218 K (– 55 °C); or
• 1. Specially designed to operate above 397 K (124 °C); Note 1:

5A001.a.3. and 5A001.a.4. control only electronic equipment. Note 2:

5A001.a.2., 5A001.a.3. and 5A001.a.4. do not control equipment designed or modified for use on board satellites.

• b. Telecommunication systems and equipment, and specially designed components and accessories therefor, having any of the following characteristics, functions or features:
• 1. Being underwater untethered communications systems having any of the following:
• a. An acoustic carrier frequency outside the range from 20 kHz to 60 kHz;
• b. Using an electromagnetic carrier frequency below 30 kHz;
• c. Using electronic beam steering techniques; or
• d. Using ‘lasers’ or light-emitting diodes (LEDs) with an output wavelength greater than 400 nm and less than 700 nm, in a ‘local area network’;
• 1. Being radio equipment operating in the 1,5 MHz to 87,5 MHz band and having all of the following:
• a. Automatically predicting and selecting frequencies and ‘total digital transfer rates’ per channel to optimise the transmission; and
• 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;
• 1. Being radio equipment employing ‘spread spectrum’ techniques, including ‘frequency hopping’ techniques, other than those specified in 5A001.b.4. and having any of the following:
• a. User programmable spreading codes; or
• b. A total transmitted bandwidth which is 100 or more times the bandwidth of any one information channel and in excess of 50 kHz; Note:

5A001.b.3.b. does not control radio equipment specially designed for use with any of the following: - a. Civil cellular radio-communications systems; or - b. Fixed or mobile satellite earth stations for commercial civil telecommunications. Note:

5A001.b.3 does not control equipment designed to operate at an output power of 1 W or less. - 4. Being radio equipment employing ultra-wideband modulation techniques, having user programmable channelising codes, scrambling codes or network identification codes and having any of the following: - a. A bandwidth exceeding 500 MHz; or - b. A ‘fractional bandwidth’ of 20 % or more; - 5. Being digitally controlled radio receivers having all of the following: - a. More than 1 000 channels; - b. A ‘channel switching time’ of less than 1 ms; - c. Automatic searching or scanning of a part of the electromagnetic spectrum; and - d. Identification of the received signals or the type of transmitter; or Note:

5A001.b.5. does not control radio equipment specially designed for use with civil cellular radio-communications systems.

Technical Note: ‘Channel switching time’ means the time (i.e., delay) to change from one receiving frequency to another, to arrive at or within ± 0,05 % of the final specified receiving frequency. Items having a specified frequency range of less than ± 0,05 % around their centre frequency are defined to be incapable of channel frequency switching. - 6. Employing functions of digital ‘signal processing’ to provide ‘voice coding’ output at rates of less than 700 bit/s. Technical Notes: 1.

For variable rate ‘voice coding’, 5A001.b.6. applies to the ‘voice coding’ output of continuous speech. 2.

For the purposes of 5A001.b.6., ‘voice coding’ is defined as the technique to take samples of human voice and then convert these samples into a digital signal, taking into account specific characteristics of human speech.

• c. Optical fibres of more than 500 m in length and specified by the manufacturer as being capable of withstanding a ‘proof test’ tensile stress of 2 × 10⁹ N/m² or more; NB:

For underwater umbilical cables, see 8A002.a.3. Technical Note: ‘Proof Test’: on-line or off-line production screen testing that dynamically applies a prescribed tensile stress over a 0,5 to 3 m length of fibre at a running rate of 2 to 5 m/s while passing between capstans approximately 150 mm in diameter. The ambient temperature is a nominal 293 K (20°C) and relative humidity 40 %. Equivalent national standards may be used for executing the proof test.

• d. ‘Electronically steerable phased array antennae’ as follows:
• 1. Rated for operation above 31,8 GHz, but not exceeding 57 GHz, and having an Effective Radiated Power (ERP) equal to or greater than +20 dBm (22,15 dBm Effective Isotropic Radiated Power (EIRP));
• 1. Rated for operation above 57 GHz, but not exceeding 66 GHz, and having an ERP equal to or greater than +24 dBm (26,15 dBm EIRP);
• 1. Rated for operation above 66 GHz, but not exceeding 90 GHz, and having an ERP equal to or greater than +20 dBm (22,15 dBm EIRP);
• 1. Rated for operation above 90 GHz; Note 1:

5A001.d. does not control ‘electronically steerable phased array antennae’ for landing systems with instruments meeting ICAO standards covering Microwave Landing Systems (MLS). Note 2:

5A001.d. does not control antennae specially designed for any of the following: - a. Civil cellular or WLAN radio-communications systems; - b. IEEE 802.15 or wireless HDMI; or - c. Fixed or mobile satellite earth stations for commercial civil telecommunications. Technical Note: For the purposes of 5A001.d. ‘electronically steerable phased array antenna’ is an antenna which 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.

• e. Radio direction finding equipment operating at frequencies above 30 MHz and having all of the following, and specially designed components therefor:
• 1. ‘Instantaneous bandwidth’ of 10 MHz or more; and
• 1. Capable of finding a Line Of Bearing (LOB) to non-cooperating radio transmitters with a signal duration of less than 1 ms;

• f. Mobile telecommunications interception or jamming equipment, and monitoring equipment therefor, as follows, and specially designed components therefor:
• 1. Interception equipment designed for the extraction of voice or data, transmitted over the air interface;
• 1. Interception equipment not specified in 5A001.f.1., designed for the extraction of client device or subscriber identifiers (e.g., IMSI, TIMSI or IMEI), signalling, or other metadata transmitted over the air interface;
• 1. Jamming equipment specially designed or modified to intentionally and selectively interfere with, deny, inhibit, degrade or seduce mobile telecommunication services and performing any of the following:
• a. Simulate the functions of Radio Access Network (RAN) equipment;
• b. Detect and exploit specific characteristics of the mobile telecommunications protocol employed (e.g., GSM); or
• c. Exploit specific characteristics of the mobile telecommunications protocol employed (e.g. GSM);
• 1. RF monitoring equipment designed or modified to identify the operation of items specified in 5A001.f.1., 5A001.f.2. or 5A001.f.3.; Note:

5A001.f.1. and 5A001.f.2. do not control any of the following: - a. Equipment specially designed for the interception of analogue Private Mobile Radio (PMR), IEEE 802.11 WLAN; - b. Equipment designed for mobile telecommunications network operators; or - c. Equipment designed for the ‘development’ or ‘production’ of mobile telecommunications equipment or systems. N.B.1.

SEE ALSO MILITARY GOODS CONTROLS. N.B.2.

For radio receivers see 5A001.b.5.

• g. Passive Coherent Location (PCL) 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 any of the following:

• a. Radio-astronomical equipment; or
• b. Systems or equipment, that require any radio transmission from the target.

• h. Counter Improvised Explosive Device (IED) equipment and related equipment, as follows:
• 1. Radio Frequency (RF) transmitting equipment, not specified in 5A001.f., designed or modified for prematurely activating or preventing the initiation of Improvised Explosive Devices (IEDs);
• 1. Equipment using techniques designed to enable radio communications in the same frequency channels on which co-located equipment specified in 5A001.h.1. is transmitting; NB:

SEE ALSO MILITARY GOODS CONTROLS.

- i. Not used;

• j. Internet Protocol (IP) network communications surveillance systems or equipment, and specially designed components therefor, having all of the following:
• 1. Performing all of the following on a carrier class internet Protocol (IP) network (e.g., national grade IP backbone):
• a. Analysis at the application layer (e.g., Layer 7 of Open Systems Interconnection (OSI) model (ISO/IEC 7498-1));
• b. Extraction of selected metadata and application content (e.g., voice, video, messages, attachments); and
• c. Indexing of extracted data; and
• 1. Being specially designed to carry out all of the following:
• a. Execution of searches on the basis of ‘hard selectors’; and
• b. Mapping of the relational network of an individual or of a group of people. Note:

5A001.j. does not control systems or equipment, specially designed for any of the following: - a. Marketing purpose; - b. Network Quality of Service (QoS); or - c. Quality of Experience (QoE).

5A101Telemetry and telecontrol equipment, including ground equipment, designed or modified for ‘missiles’.

Technical Note:

In 5A101 ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

• Note:

5A101 does not control:

• a. Equipment designed or modified for manned aircraft or satellites;

• b. Ground based equipment designed or modified for terrestrial or marine applications;

• c. Equipment designed for commercial, civil or ‘Safety of Life’ (e.g., data integrity, flight safety) GNSS services;

5B1Test, Inspection and Production Equipment

5B001Telecommunications test, inspection and production equipment, components and accessories, as follows:

- a. Equipment and specially designed components or accessories therefor, specially designed for the ‘development’ or ‘production’ of equipment, functions or features, specified in 5A001;

Note:

5B001.a. does not control optical fibre characterization equipment.

• b. Equipment and specially designed components or accessories therefor, specially designed for the ‘development’ of any of the following telecommunication transmission or switching equipment:
• 1. Not used;
• 1. Equipment employing a ‘laser’ and having any of the following:
• a. A transmission wavelength exceeding 1 750  nm; or
• b. Not used;
• c. Not used;
• d. Employing analogue techniques and having a bandwidth exceeding 2,5 GHz; or Note:

5B001.b.2.d. does not control equipment specially designed for the ‘development’ of commercial TV systems. - 3. Not used; - 4. Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 1 024 ; - 5. Not used.

5C1Materials

None

5D1Software

5D001 ‘Software’ as follows:

• a. ‘Software’ specially designed or modified for the ‘development’, ‘production’ or ‘use’ of equipment, functions or features, specified in 5A001;

• b. Not used;

• c. Specific ‘software’ specially designed or modified to provide characteristics, functions or features of equipment, specified in 5A001 or 5B001;

• d. ‘Software’ specially designed or modified for the ‘development’ of any of the following telecommunication transmission or switching equipment:
• 1. Not used;
• 1. Equipment employing a ‘laser’ and having any of the following:
• a. A transmission wavelength exceeding 1 750  nm; or
• b. Employing analogue techniques and having a bandwidth exceeding 2,5 GHz; or Note:

5D001.d.2.b. does not control ‘software’ specially designed or modified for the ‘development’ of commercial TV systems. - 3. Not used; - 4. Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 1 024 .