Commission Delegated Regulation (EU) 2023/66 of 21 October 2022 amending Regulation (EU) 2021/821 of the European Parliament and of the Council as regards the list of dual-use items

• 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.

3E003 Other "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 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;

• h. Substrates of gallium oxide for electronic components.

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.

PART VI

Category 4

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).

• N.B. 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.

4A Systems, Equipment and Components

4A001 Electronic computers and related equipment, having any of the following and "electronic assemblies" and specially designed components therefor:

• N.B. 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.

• 1. 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

• N.B.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.

• N.B.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 70 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".

4A004 Computers 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.

4A005 Systems, equipment, and components therefor, specially designed or modified for the generation, command and control, or delivery of "intrusion software".

4A101 Analogue 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.

4A102 Hybrid 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.

4B Test, Inspection and Production Equipment

None.

4C Materials

None.

4D Software

• 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.

4D002 Not used

4D003 Not 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".

4E Technology

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.

PART VII

Category 5

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.

• N.B. 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.

5A1 Systems, Equipment and Components

5A001 Telecommunications 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.

• 1. 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;

• 1. 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.

• 1. 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;

• N.B. 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;

• N.B. 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).

5A101 Telemetry 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;

5B1 Test, Inspection and Production Equipment

5B001 Telecommunications 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.

• 1. Not used;

• 1. Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 1 024;

• 1. Not used.

5C1 Materials

None

5D1 Software

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.

• 1. Not used;

• 1. Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 1 024.

• e. "Software", other than that specified in 5D001.a. or 5D001.c., specially designed or modified for monitoring or analysis by law enforcement, providing all of the following:

- 1. Execution of searches on the basis of "hard selectors" of either the content of communication or metadata acquired from a communications service provider using a ‘handover interface’; and

• 1. Mapping of the relational network or tracking the movement of targeted individuals based on the results of searches on content of communication or metadata or searches as described in 5D001.e.1.

Technical Notes:

• 1. For the purposes of 5D001.e., a ‘handover interface’ is a physical and logical interface, designed for use by an authorised law enforcement authority, across which targeted interception measures are requested from a communications service provider and the results of interception are delivered from a communications service provider to the requesting authority. The ‘handover interface’ is implemented within systems or equipment (e.g., mediation devices) that receive and validate the interception request, and deliver to the requesting authority only the results of interception that fulfil the validated request.

• 2. ‘Handover interfaces’ may be specified by international standards (including but not limited to ETSI TS 101 331, ETSI TS 101 671, 3GPP TS 33.108) or national equivalents.

• Note: 5D001.e. does not control "software" specially designed or modified for any of the following:

• a. Billing purposes;

• b. Network Quality of Service (QoS);

• c. Quality of Experience (QoE);

• d. Mediation devices; or

• e. Mobile payment or banking use.

5D101

"Software" specially designed or modified for the "use" of equipment specified in 5A101.

5E1 Technology

5E001

"Technology" as follows:

• a. "Technology" according to the General Technology Note for the "development", "production" or "use" (excluding operation) of equipment, functions or features specified in 5A001 or "software" specified in 5D001.a. or 5D001.e.;

• b. Specific "technology" as follows:

• 1. "Technology""required" for the "development" or "production" of telecommunications equipment specially designed to be used on board satellites;

• 1. "Technology" for the "development" or "use" of "laser" communication techniques with the capability of automatically acquiring and tracking signals and maintaining communications through exoatmosphere or sub-surface (water) media;

• 1. "Technology" for the "development" of digital cellular radio base station receiving equipment whose reception capabilities that allow multi-band, multi-channel, multi-mode, multi-coding algorithm or multi-protocol operation can be modified by changes in "software";

• 1. "Technology" for the "development" of "spread spectrum" techniques, including "frequency hopping" techniques;

• Note: 5E001.b.4. does not control "technology" for the "development" of any of the following:

• a. Civil cellular radio-communications systems; or

• b. Fixed or mobile satellite earth stations for commercial civil telecommunications.

• c. "Technology" according to the General Technology Note for the "development" or "production" of any of the following:

• 1. Not used;

- 2. 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 wavelength division multiplexing techniques of optical carriers at less than 100 GHz spacing; or

• e. Employing analogue techniques and having a bandwidth exceeding 2,5 GHz;

• Note: 5E001.c.2.e. does not control "technology" for commercial TV systems.

• N.B. For "technology" for the "development" or "production" of non-telecommunications equipment employing a laser, see 6E.

• 1. Equipment employing "optical switching" and having a switching time less than 1 ms;

• 1. Radio equipment having any of the following:

• a. Quadrature-Amplitude-Modulation (QAM) techniques above level 1 024;

• b. Operating at input or output frequencies exceeding 31,8 GHz; or

• Note: 5E001.c.4.b. does not control "technology" for equipment designed or modified for operation in any frequency band which is "allocated by the ITU" for radio-communications services, but not for radio-determination.

• c. Operating in the 1,5 MHz to 87,5 MHz band and incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal; or

• 1. Not used;

• 1. Mobile equipment having all of the following:

• a. Operating at an optical wavelength greater than or equal to 200 nm and less than or equal to 400 nm; and

• b. Operating as a "local area network";

• d. "Technology" according to the General Technology Note for the "development" or "production" of "Monolithic Microwave Integrated Circuit" ("MMIC") amplifiers specially designed for telecommunications and that are any of the following:

Technical Note:

For the purposes of 5E001.d., the parameter peak saturated power output may also be referred to on product data sheets as output power, saturated power output, maximum power output, peak power output, or peak envelope power output.

• 1. Rated for operation at frequencies exceeding 2,7 GHz up to and including 6,8 GHz with a "fractional bandwidth" greater than 15 %, and having any of the following:

• a. A peak saturated power output greater than 75 W (48,75 dBm) at any frequency exceeding 2,7 GHz up to and including 2,9 GHz;

• b. A peak saturated power output greater than 55 W (47,4 dBm) at any frequency exceeding 2,9 GHz up to and including 3,2 GHz;

• c. A peak saturated power output greater than 40 W (46 dBm) at any frequency exceeding 3,2 GHz up to and including 3,7 GHz; or

• d. A peak saturated power output greater than 20 W (43 dBm) at any frequency exceeding 3,7 GHz up to and including 6,8 GHz;

• 2. Rated for operation at frequencies exceeding 6,8 GHz up to and including 16 GHz with a "fractional bandwidth" greater than 10 %, and having any of the following:

• a. A peak saturated power output greater than 10W (40 dBm) at any frequency exceeding 6,8 GHz up to and including 8,5 GHz; or

• b. A peak saturated power output greater than 5W (37 dBm) at any frequency exceeding 8,5 GHz up to and including 16 GHz;

• 3. Rated for operation with a peak saturated power output greater than 3 W (34,77 dBm) at any frequency exceeding 16 GHz up to and including 31,8 GHz, and with a "fractional bandwidth" of greater than 10 %;

• 4. Rated for operation with a peak saturated power output greater than 0,1 nW (– 70 dBm) at any frequency exceeding 31,8 GHz up to and including 37 GHz;

• 5. Rated for operation with a peak saturated power output greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including 43,5 GHz, and with a "fractional bandwidth" of greater than 10 %;

• 6. Rated for operation with a peak saturated power output greater than 31,62 mW (15 dBm) at any frequency exceeding 43,5 GHz up to and including 75 GHz, and with a "fractional bandwidth" of greater than 10 %;

• 7. Rated for operation with a peak saturated power output greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a "fractional bandwidth" of greater than 5 %; or

• 8. Rated for operation with a peak saturated power output greater than 0,1 nW (– 70 dBm) at any frequency exceeding 90 GHz;

• e. "Technology" according to the General Technology Note for the "development" or "production" of electronic devices and circuits, specially designed for telecommunications and 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.

5E101

"Technology" according to the General Technology Note for the "development", "production" or "use" of equipment specified in 5A101.

Part 2 - "INFORMATION SECURITY"

• Note 1: Not used.

• Note 2: Category 5, Part 2 does not control products when accompanying their user for the user's personal use.

• Note 3: Cryptography Note

5A002, 5D002.a.1., 5D002.b. and 5D002.c.1. do not control items as follows:

• a. Items that meet all of the following:

• 1. Generally available to the public by being sold, without restriction, from stock at retail selling points by means of any of the following:

• a. Over-the-counter transactions;

• b. Mail order transactions;

• c. Electronic transactions; or

• d. Telephone call transactions;

• 2. The cryptographic functionality cannot easily be changed by the user;

• 3. Designed for installation by the user without further substantial support by the supplier; and

• 4. When necessary, details of the goods are accessible and will be provided, upon request, to the competent authorities of the EU Member State in which the exporter is established in order to ascertain compliance with conditions described in paragraphs 1. to 3. above;

• b. Hardware components or ‘executable software’, of existing items described in paragraph a. of this Note, that have been designed for these existing items, meeting all of the following:

• 1. "Information security" is not the primary function or set of functions of the component or ‘executable software’;

• 2. The component or ‘executable software’ does not change any cryptographic functionality of the existing items, or add new cryptographic functionality to the existing items;

• 3. The feature set of the component or ‘executable software’ is fixed and is not designed or modified to customer specification; and

• 4. When necessary as determined by the competent authorities of the EU Member State in which the exporter is established, details of the component or ‘executable software’ and details of relevant end-items are accessible and will be provided to the competent authority upon request, in order to ascertain compliance with conditions described above.

Technical Note:

For the purpose of the Cryptography Note, ‘executable software’ means "software" in executable form, from an existing hardware component excluded from 5A002 by the Cryptography Note.

• Note: ‘Executable software’ does not include complete binary images of the "software" running on an end-item.

Note to the Cryptography Note:

• 1. To meet paragraph a. of Note 3, all of the following must apply:

• a. The item is of potential interest to a wide range of individuals and businesses; and

• b. The price and information about the main functionality of the item are available before purchase without the need to consult the vendor or supplier. A simple price enquiry is not considered to be a consultation.

• 2. In determining eligibility of paragraph a. of Note 3, competent authorities may take into account relevant factors such as quantity, price, required technical skill, existing sales channels, typical customers, typical use or any exclusionary practices of the supplier.

5A2 Systems, Equipment and Components

5A002

"Information security" systems, equipment and components, as follows:

• N.B. For the control of "satellite navigation system" receiving equipment containing or employing decryption, see 7A005 and for related decryption "software" and "technology" see 7D005 and 7E001.

• a. Designed or modified to use ‘cryptography for data confidentiality’ having a ‘described security algorithm’, where that cryptographic capability is usable, has been activated, or can be activated by any means other than secure "cryptographic activation", as follows:

• 1. Items having "information security" as a primary function;

• 1. Digital communication or networking systems, equipment or components, not specified in 5A002.a.1.;

• 1. Computers, other items having information storage or processing as a primary function, and components therefor, not specified in 5A002.a.1. or 5A002.a.2.;

• N.B. For operating systems, see also 5D002.a.1. and 5D002.c.1.

• 1. Items, not specified in 5A002.a.1. to 5A002.a.3., where the ‘cryptography for data confidentiality’ having a ‘described security algorithm’ meets all of the following:

• a. It supports a non-primary function of the item; and

• b. It is performed by incorporated equipment or "software" that would, as a standalone item, be specified in Category 5, Part 2.

Technical Notes:

• 1. For the purposes of 5A002.a., ‘cryptography for data confidentiality’ means "cryptography" that employs digital techniques and performs any cryptographic function other than any of the following:

• a. "Authentication";

• b. Digital signature;

• c. Data integrity;

• d. Non-repudiation;

• e. Digital rights management, including the execution of copy-protected "software";

• f. Encryption or decryption in support of entertainment, mass commercial broadcasts or medical records management; or

• g. Key management in support of any function described in paragraph a. to f. above.

• 2. For the purposes of 5A002.a., ‘described security algorithm’ means any of the following:

• a. A "symmetric algorithm" employing a key length in excess of 56 bits, not including parity bits;

• b. An "asymmetric algorithm" where the security of the algorithm is based on any of the following:

• 1. Factorisation of integers in excess of 512 bits (e.g., RSA);

• 2. Computation of discrete logarithms in a multiplicative group of a finite field of size greater than 512 bits (e.g., Diffie-Hellman over Z/pZ); or

• 3. Discrete logarithms in a group other than mentioned in paragraph b.2. in excess of 112 bits (e.g., Diffie-Hellman over an elliptic curve); or

• c. An "asymmetric algorithm" where the security of the algorithm is based on any of the following:

• 1. Shortest vector or closest vector problems associated with lattices (e.g., NewHope, Frodo, NTRUEncrypt, Kyber, Titanium);

• 2. Finding isogenies between Supersingular elliptic curves (e.g., Supersingular Isogeny Key Encapsulation); or

• 3. Decoding random codes (e.g., McEliece, Niederreiter).

Technical Note:

An algorithm described by Technical Note 2.c. may be referred to as being post-quantum, quantum-safe or quantum-resistant.

• Note 1: When necessary as determined by the appropriate authority in the exporter's country, details of items must be accessible and provided to the authority upon request, in order to establish any of the following:

• a. Whether the item meets the criteria of 5A002.a.1. to 5A002.a.4.; or

• b. Whether the cryptographic capability for data confidentiality specified in 5A002.a. is usable without "cryptographic activation".

• Note 2: 5A002.a. does not control any of the following items, or specially designed "information security" components therefor:

• a. Smart cards and smart card ‘readers/writers’ as follows:

• 1. A smart card or an electronically readable personal document (e.g., token coin, e-passport) that meets any of the following:

• a. The cryptographic capability meets all of the following:

• 1. It is restricted for use in any of the following:

• a. Equipment or systems not described by 5A002.a.1. to 5A002.a.4.;

• b. Equipment or systems not using ‘cryptography for data confidentiality’ having a ‘described security algorithm’; or

• c. Equipment or systems, excluded from 5A002.a., by paragraphs b. to f. of this Note; and

• 2. It cannot be reprogrammed for any other use; or:

- b. Having all of the following:

• 1. It is specially designed and limited to allow protection of ‘personal data’ stored within;

• 2. Has been, or can only be, personalised for public or commercial transactions or individual identification; and

• 3. Where the cryptographic capability is not user-accessible;

Technical Note:

‘Personal data’ includes any data specific to a particular person or entity, such as the amount of money stored and data necessary for "authentication".

- 2. ‘Readers/writers’ specially designed or modified, and limited, for items specified in paragraph a.1. of this Note.

Technical Note:

‘Readers/writers’ include equipment that communicates with smart cards or electronically readable documents through a network.

• b. Cryptographic equipment specially designed and limited for banking use or ‘money transactions’;

Technical Note:

‘Money transactions’ in 5A002.a. Note 2.b. includes the collection and settlement of fares or credit functions.

• c. Portable or mobile radiotelephones for civil use (e.g., for use with commercial civil cellular radio communication systems) that are not capable of transmitting encrypted data directly to another radiotelephone or equipment (other than Radio Access Network (RAN) equipment), nor of passing encrypted data through RAN equipment (e.g., Radio Network Controller (RNC) or Base Station Controller (BSC));

• d. Cordless telephone equipment not capable of end-to-end encryption where the maximum effective range of unboosted cordless operation (i.e. a single, unrelayed hop between terminal and home base station) is less than 400 metres according to the manufacturer's specifications;

• e. Portable or mobile radiotelephones and similar client wireless devices for civil use, that implement only published or commercial cryptographic standards (except for anti-piracy functions, which may be non-published) and also meet the provisions of paragraphs a.2. to a.4. of the Cryptography Note (Note 3 in Category 5, Part 2), that have been customised for a specific civil industry application with features that do not affect the cryptographic functionality of these original non-customised devices;

• f. Items, where the "information security" functionality is limited to wireless "personal area network" functionality, implementing only published or commercial cryptographic standards;

• g. Mobile telecommunications Radio Access Network (RAN) equipment designed for civil use, which also meet the provisions of paragraphs a.2. to a.4. of the Cryptography Note (Note 3 in Category 5, Part 2), having an RF output power limited to 0,1W (20 dBm) or less, and supporting 16 or fewer concurrent users;

• h. Routers, switches, gateways or relays, where the "information security" functionality is limited to the tasks of "Operations, Administration or Maintenance" ("OAM") implementing only published or commercial cryptographic standards; or

• i. General purpose computing equipment or servers, where the "information security" functionality meets all of the following:

• 1. Uses only published or commercial cryptographic standards; and

• 2. Is any of the following:

• a. Integral to a CPU that meets the provisions of Note 3 to Category 5, Part 2;

• b. Integral to an operating system that is not specified in 5D002; or

• c. Limited to "OAM" of the equipment.

- j. Items specially designed for a ‘connected civil industry application’, meeting all of the following:

• 1. Being any of the following:

• a. A network-capable endpoint device meeting any of the following:

• 1. The "information security" functionality is limited to securing ‘non-arbitrary data’ or the tasks of "Operations, Administration or Maintenance" ("OAM"); or

• 2. The device is limited to a specific ‘connected civil industry application’; or

• b. Networking equipment meeting all of the following:

- 1. Being specially designed to communicate with the devices specified in paragraph j.1.a. above; and

- 2. The "information security" functionality is limited to supporting the ‘connected civil industry application’ of devices specified in paragraph j.1.a. above, or the tasks of "OAM" of this networking equipment or of other items specified in paragraph j. of this Note; and

- 2. Where the "information security" functionality implements only published or commercial cryptographic standards, and the cryptographic functionality cannot easily be changed by the user.

Technical Notes:

• 1. ‘Connected civil industry application’ means a network connected consumer or civil industry application other than "information security", digital communication, general purpose networking or computing.

• 2. ‘Non-arbitrary data’ means sensor or metering data directly related to the stability, performance or physical measurement of a system (e.g., temperature, pressure, flow rate, mass, volume, voltage, physical location etc.), that cannot be changed by the user of the device.

• b. Being a ‘cryptographic activation token’;

Technical Note:

A ‘cryptographic activation token’ is an item designed or modified for any of the following:

• 1. Converting, by means of "cryptographic activation", an item not specified in Category 5, Part 2 into an item specified in 5A002.a. or 5D002.c.1., and not released by the Cryptography Note (Note 3 in Category 5, Part 2); or

• 2. Enabling, by means of "cryptographic activation", additional functionality specified in 5A002.a. of an item already specified in Category 5, Part 2.

• c. Designed or modified to use or perform "quantum cryptography";

Technical Note:

"Quantum cryptography" is also known as Quantum Key Distribution (QKD).

• d. Designed or modified to use cryptographic techniques to generate channelising codes, scrambling codes or network identification codes, for systems using ultra-wideband modulation techniques and having any of the following:

• 1. A bandwidth exceeding 500 MHz; or

• 1. A "fractional bandwidth" of 20 % or more;

• e. Designed or modified to use cryptographic techniques to generate the spreading code for "spread spectrum" systems, other than those specified in 5A002.d., including the hopping code for "frequency hopping" systems.

5A003 Systems, equipment and components, for non-cryptographic "information security", as follows:

• a. Communications cable systems designed or modified to use mechanical, electrical or electronic means to detect surreptitious intrusion;

• Note: 5A003.a. only controls physical layer security. For the purpose of 5A003.a., the physical layer includes Layer 1 of the Reference Model of Open Systems Interconnection (OSI) (ISO/IEC 7498-1).

• b. Specially designed or modified to reduce the compromising emanations of information-bearing signals beyond what is necessary for health, safety or electromagnetic interference standards.

5A004 Systems, equipment and components for defeating, weakening or bypassing "information security", as follows:

• a. Designed or modified to perform ‘cryptanalytic functions’.

• Note: 5A004.a. includes systems or equipment, designed or modified to perform ‘cryptanalytic functions’ by means of reverse engineering.

Technical Note:

‘Cryptanalytic functions’ are functions designed to defeat cryptographic mechanisms in order to derive confidential variables or sensitive data, including clear text, passwords or cryptographic keys.

• b. Items, not specified in 4A005 or 5A004.a., designed to perform all of the following:

• 1. ‘Extract raw data’ from a computing or communications device; and

• 1. Circumvent "authentication" or authorisation controls of the device, in order to perform the function described in 5A004.b.1.

Technical Note:

‘Extract raw data’ from a computing or communications device means to retrieve binary data from a storage medium (e.g., RAM, flash or hard disk) of the device without interpretation by the device’s operating system or filesystem.

• Note 1: 5A004.b. does not control systems or equipment specially designed for the "development" or "production" of a computing or communications device.

• Note 2: 5A004.b. does not include:

• a. Debuggers, hypervisors;

• b. Items limited to logical data extraction;

• c. Data extraction items using chip-off or JTAG; or

• d. Items specially designed and limited to jail-breaking or rooting.

5B2 Test, Inspection and Production Equipment

5B002

"Information security" test, inspection and "production" equipment, as follows:

• a. Equipment specially designed for the "development" or "production" of equipment specified in 5A002, 5A003, 5A004 or 5B002.b.;

• b. Measuring equipment specially designed to evaluate and validate the "information security" functions of the equipment specified in 5A002, 5A003 or 5A004, or of "software" specified in 5D002.a. or 5D002.c.

5C2 Materials

None.

5D2 Software

5D002

"Software" as follows:

• a. "Software" specially designed or modified for the "development", "production" or "use" of any of the following:

• 1. Equipment specified in 5A002 or "software" specified in 5D002.c.1.;

• 1. Equipment specified in 5A003 or "software" specified in 5D002.c.2.; or

• 1. Equipment or "software", as follows:

• a. Equipment specified in 5A004.a. or "software" specified in 5D002.c.3.a.;

• b. Equipment specified in 5A004.b. or "software" specified in 5D002.c.3.b.

• b. "Software" having the characteristics of a ‘cryptographic activation token’ specified in 5A002.b.;

• c. "Software" having the characteristics of, or performing or simulating the functions of, any of the following:

• 1. Equipment specified in 5A002.a., 5A002.c., 5A002.d. or 5A002.e.;

• Note: 5D002.c.1. does not control "software" limited to the tasks of "OAM" implementing only published or commercial cryptographic standards.

• 1. Equipment specified in 5A003; or

• 1. Equipment, as follows:

• a. Equipment specified in 5A004.a.;

• b. Equipment specified in 5A004.b.

• Note: 5D002.c.3.b. does not control "intrusion software".

• d. Not used.

5E2 Technology

5E002

"Technology" as follows:

• a. "Technology" according to the General Technology Note for the "development", "production" or "use" of equipment specified in 5A002, 5A003, 5A004 or 5B002, or of "software" specified in 5D002.a. or 5D002.c.

• Note: 5E002.a. does not control "technology" for items specified in 5A004.b., 5D002.a.3.b. or 5D002.c.3.b.

• b. "Technology" having the characteristics of a ‘cryptographic activation token’ specified in 5A002.b.

• Note: 5E002 includes "information security" technical data resulting from procedures carried out to evaluate or determine the implementation of functions, features or techniques specified in Category 5, Part 2.

PART VIII

Category 6

CATEGORY 6 - SENSORS AND LASERS

6A Systems, Equipment and Components

6A001 Acoustic systems, equipment and components, as follows:

• a. Marine acoustic systems, equipment and specially designed components therefor, as follows:

• 1. Active (transmitting or transmitting-and-receiving) systems, equipment and specially designed components therefor, as follows:

• Note: 6A001.a.1. does not control equipment as follows:

• a. Depth sounders operating vertically below the apparatus, not including a scanning function exceeding ± 20^o, and limited to measuring the depth of water, the distance of submerged or buried objects or fish finding;

• b. Acoustic beacons, as follows:

• 1. Acoustic emergency beacons;

• 2. Pingers specially designed for relocating or returning to an underwater position.

• a. Acoustic seabed survey equipment as follows:

• 1. Surface vessel survey equipment designed for seabed topographic mapping and having all of the following:

• a. Designed to take measurements at an angle exceeding 20^o from the vertical;

• b. Designed to measure seabed topography at seabed depths exceeding 600 m;

• c. ‘Sounding resolution’ less than 2; and

• d. ‘Enhancement’ of the depth "accuracy" through compensation for all the following:

• 1. Motion of the acoustic sensor;

• 1. In-water propagation from sensor to the seabed and back; and

• 1. Sound speed at the sensor;

Technical Notes:

• 1. ‘Sounding resolution’ is the swath width (degrees) divided by the maximum number of soundings per swath.

• 2. ‘Enhancement’ includes the ability to compensate by external means.

• 1. Underwater survey equipment designed for seabed topographic mapping and having any of the following:

Technical Note:

The acoustic sensor pressure rating determines the depth rating of the equipment specified in 6A001.a.1.a.2.

• a. Having all of the following:

• 1. Designed or modified to operate at depths exceeding 300 m; and

• 1. ‘Sounding rate’ greater than 3 800 m/s; or

Technical Note:

‘Sounding rate’ is the product of the maximum speed (m/s) at which the sensor can operate and the maximum number of soundings per swath assuming 100 % coverage. For systems that produce soundings in two directions (3D sonars), the maximum of the ‘sounding rate’ in either direction should be used.

• b. Survey equipment, not specified in 6A001.a.1.a.2.a., having all of the following:

• 1. Designed or modified to operate at depths exceeding 100 m;

• 1. Designed to take measurements at an angle exceeding 20^o from the vertical;

• 1. Having any of the following:

• a. Operating frequency below 350 kHz; or

• b. Designed to measure seabed topography at a range exceeding 200 m from the acoustic sensor; and

• 1. ‘Enhancement’ of the depth "accuracy" through compensation of all of the following:

• a. Motion of the acoustic sensor;

• b. In-water propagation from sensor to the seabed and back; and

• c. Sound speed at the sensor;

• 1. Side Scan Sonar (SSS) or Synthetic Aperture Sonar (SAS), designed for seabed imaging and having all of the following, and specially designed transmitting and receiving acoustic arrays therefor:

• a. Designed or modified to operate at depths exceeding 500 m;

• b. An ‘area coverage rate’ of greater than 570 m²/s while operating at the maximum range that it can operate with an ‘along track resolution’ of less than 15 cm; and

• c. An ‘across track resolution’ of less than 15 cm;

Technical Notes:

• 1. ‘Area coverage rate’ (m²/s) is twice the product of the sonar range (m) and the maximum speed (m/s) at which the sensor can operate at that range.

• 2. ‘Along track resolution’ (cm), for SSS only, is the product of azimuth (horizontal) beamwidth (degrees) and sonar range (m) and 0,873.

• 3. ‘Across track resolution’ (cm) is 75 divided by the signal bandwidth (kHz).

• b. Systems or transmitting and receiving arrays, designed for object detection or location, having any of the following:

• 1. A transmitting frequency below 10 kHz;

• 1. Sound pressure level exceeding 224 dB (reference 1 μPa at 1 m) for equipment with an operating frequency in the band from 10 kHz to 24 kHz inclusive;

• 1. Sound pressure level exceeding 235 dB (reference 1 μPa at 1 m) for equipment with an operating frequency in the band between 24 kHz and 30 kHz;

• 1. Forming beams of less than 1^o on any axis and having an operating frequency of less than 100 kHz;

• 1. Designed to operate with an unambiguous display range exceeding 5 120 m; or

• 1. Designed to withstand pressure during normal operation at depths exceeding 1 000 m and having transducers with any of the following:

• a. Dynamic compensation for pressure; or

• b. Incorporating other than lead zirconate titanate as the transduction element;

• c. Acoustic projectors (including transducers), incorporating piezoelectric, magnetostrictive, electrostrictive, electrodynamic or hydraulic elements operating individually or in a designed combination and having any of the following:

• Note 1: The control status of acoustic projectors, including transducers, specially designed for other equipment not specified in 6A001 is determined by the control status of the other equipment.

• Note 2: 6A001.a.1.c. does not control electronic sources which direct the sound vertically only, or mechanical (e.g., air gun or vapour-shock gun) or chemical (e.g., explosive) sources.

• Note 3: Piezoelectric elements specified in 6A001.a.1.c. include those made from lead-magnesium-niobate/lead-titanate (Pb(Mg1/3Nb2/3)O3-PbTiO3, or PMN-PT) single crystals grown from solid solution or lead-indium-niobate/lead-magnesium niobate/lead-titanate (Pb(In1/2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3-PbTiO3, or PIN-PMN-PT) single crystals grown from solid solution.

• 1. Operating at frequencies below 10 kHz and having any of the following:

• a. Not designed for continuous operation at 100 % duty cycle and having a radiated ‘free-field Source Level (SLRMS)’ exceeding (10log(f) + 169,77) dB (reference 1 μPa at 1 m) where f is the frequency in Hertz of maximum Transmitting Voltage Response (TVR) below 10kHz; or

• b. Designed for continuous operation at 100 % duty cycle and having a continuously radiated ‘free-field Source Level (SLRMS)’ at 100 % duty cycle exceeding (10log(f) + 159,77) dB (reference 1 μPa at 1 m) where f is the frequency in Hertz of maximum Transmitting Voltage Response (TVR) below 10kHz; or

Technical Note:

The ‘free-field Source Level ( SLRMS)’ is defined along the maximum response axis and in the far field of the acoustic projector. It can be obtained from the Transmitting Voltage Response using the following equation: SLRMS = (TVR + 20log VRMS) dB (ref 1μPa at 1 m), where SLRMS is the source level, TVR is the Transmitting Voltage Response and VRMS is the Driving Voltage of the Projector.

• 1. Not used;

• 1. Side-lobe suppression exceeding 22 dB;

• d. Acoustic systems and equipment, designed to determine the position of surface vessels or underwater vehicles and having all the following, and specially designed components therefor:

• 1. Detection range exceeding 1 000 m; and

• 1. Determined position error of less than 10 m rms (root mean square) when measured at a range of 1 000 m;

• Note: 6A001.a.1.d. includes:

• a. Equipment using coherent "signal processing" between two or more beacons and the hydrophone unit carried by the surface vessel or underwater vehicle;

• b. Equipment capable of automatically correcting speed-of-sound propagation errors for calculation of a point.

• e. Active individual sonars, specially designed or modified to detect, locate and automatically classify swimmers or divers, having all of the following, and specially designed transmitting and receiving acoustic arrays therefor:

• 1. Detection range exceeding 530 m;

• 1. Determined position error of less than 15 m rms (root mean square) when measured at a range of 530 m; and

• 1. Transmitted pulse signal bandwidth exceeding 3 kHz;

• N.B. For diver detection systems specially designed or modified for military use, see the Military Goods Controls.

• Note: For 6A001.a.1.e., where multiple detection ranges are specified for various environments, the greatest detection range is used.

• 1. Passive systems, equipment and specially designed components therefor, as follows:

• Note: 6A001.a.2. also controls receiving equipment, whether or not related in normal application to separate active equipment, and specially designed components therefor.

• a. Hydrophones having any of the following:

• Note: The control status of hydrophones specially designed for other equipment is determined by the control status of the other equipment.

Technical Notes:

• 1. Hydrophones consist of one or more sensing elements producing a single acoustic output channel. Those that contain multiple elements can be referred to as a hydrophone group.

• 2. For the purposes of 6A001.a.2.a., underwater acoustic transducers designed to operate as passive receivers are hydrophones.

• 1. Incorporating continuous flexible sensing elements;

• 1. Incorporating flexible assemblies of discrete sensing elements with either a diameter or length less than 20 mm and with a separation between elements of less than 20 mm;

• 1. Having any of the following sensing elements:

• a. Optical fibres;

• b. ‘Piezoelectric polymer films’ other than polyvinylidene-fluoride (PVDF) and its co-polymers {P(VDF-TrFE) and P(VDF-TFE)};

• c. ‘Flexible piezoelectric composites’;

• d. Lead-magnesium-niobate/lead-titanate (i.e., Pb(Mg1/3Nb2/3)O3-PbTiO3, or PMN-PT) piezoelectric single crystals grown from solid solution; or

• e. Lead-indium-niobate/lead-magnesium niobate/lead-titanate (i.e., Pb(In1/2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3-PbTiO3, or PIN-PMN-PT) piezoelectric single crystals grown from solid solution;

• 1. A ‘hydrophone sensitivity’ better than -180 dB at any depth with no acceleration compensation;

• 1. Designed to operate at depths exceeding 35 m with acceleration compensation; or

• 1. Designed for operation at depths exceeding 1 000 m and having a ‘hydrophone sensitivity’ better than – 230 dB below 4 kHz;

Technical Notes:

• 1. ‘Piezoelectric polymer film’ sensing elements consist of polarised polymer film that is stretched over and attached to a supporting frame or spool (mandrel).

• 2. ‘Flexible piezoelectric composite’ sensing elements consist of piezoelectric ceramic particles or fibres combined with an electrically insulating, acoustically transparent rubber, polymer or epoxy compound, where the compound is an integral part of the sensing elements.

• 3. ‘Hydrophone sensitivity’ is defined as twenty times the logarithm to the base 10 of the ratio of rms output voltage to a 1 V rms reference, when the hydrophone sensor, without a pre-amplifier, is placed in a plane wave acoustic field with an rms pressure of 1 μPa. For example, a hydrophone of – 160 dB (reference 1 V per μPa) would yield an output voltage of 10^–8 V in such a field, while one of – 180 dB sensitivity would yield only 10^–9 V output. Thus, – 160 dB is better than – 180 dB.

• b. Towed acoustic hydrophone arrays having any of the following:

Technical Note:

Hydrophone arrays consist of a number of hydrophones providing multiple acoustic output channels.

• 1. Hydrophone group spacing of less than 12,5 m or ‘able to be modified’ to have hydrophone group spacing of less than 12,5 m;

• 1. Designed or ‘able to be modified’ to operate at depths exceeding 35 m;

Technical note:

‘Able to be modified’ in 6A001.a.2.b.1. and 2. means having provisions to allow a change of the wiring or interconnections to alter hydrophone group spacing or operating depth limits. These provisions are: spare wiring exceeding 10 % of the number of wires, hydrophone group spacing adjustment blocks or internal depth limiting devices that are adjustable or that control more than one hydrophone group.

• 1. Heading sensors specified in 6A001.a.2.d.;

• 1. Longitudinally reinforced array hoses;

• 1. An assembled array of less than 40 mm in diameter;

• 1. Not used;

• 1. Hydrophone characteristics specified in 6A001.a.2.a.; or

• 1. Accelerometer-based hydro-acoustic sensors specified in 6A001.a.2.g.;

• c. Processing equipment, specially designed for towed acoustic hydrophone arrays, having "user-accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes;

• d. Heading sensors having all of the following:

• 1. An "accuracy" of better than 0,5^o; and