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)

For prefabricated repair assemblies, see 2B350.k. - 1. ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight; - 2. Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight); - 3. Glass (including vitrified or enamelled coating or glass lining); - 4. Nickel or ‘alloys’ with more than 40 % nickel by weight; - 5. Tantalum or tantalum ‘alloys’; - 6. Titanium or titanium ‘alloys’; - 7. Zirconium or zirconium ‘alloys’; or - 8. Niobium (columbium) or niobium ‘alloys’;

• b. Agitators designed for use in reaction vessels or reactors specified in 2B350.a.; and impellers, blades or shafts designed for such agitators, where all surfaces of the agitator that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:
• 1. ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;
• 1. Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);
• 1. Glass (including vitrified or enamelled coatings or glass lining);
• 1. Nickel or ‘alloys’ with more than 40 % nickel by weight;
• 1. Tantalum or tantalum ‘alloys’;
• 1. Titanium or titanium ‘alloys’;
• 1. Zirconium or zirconium ‘alloys’; or
• 1. Niobium (columbium) or niobium ‘alloys’;

- c. Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0,1 m³ (100 litres) where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

NB:

For prefabricated repair assemblies, see 2B350.k.

• 1. ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;
• 1. Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);
• 1. Glass (including vitrified or enamelled coatings or glass lining);
• 1. Nickel or ‘alloys’ with more than 40 % nickel by weight;
• 1. Tantalum or tantalum ‘alloys’;
• 1. Titanium or titanium ‘alloys’;
• 1. Zirconium or zirconium ‘alloys’; or
• 1. Niobium (columbium) or niobium ‘alloys’;

• d. Heat exchangers or condensers with a heat transfer surface area greater than 0,15 m², and less than 20 m²; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:
• 1. ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;
• 1. Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);
• 1. Glass (including vitrified or enamelled coatings or glass lining);
• 1. Graphite or ‘carbon graphite’;
• 1. Nickel or ‘alloys’ with more than 40 % nickel by weight;
• 1. Tantalum or tantalum ‘alloys’;
• 1. Titanium or titanium ‘alloys’;
• 1. Zirconium or zirconium ‘alloys’;
• 1. Silicon carbide;
• 1. Titanium carbide; or
• 1. Niobium (columbium) or niobium ‘alloys’;

• e. Distillation or absorption columns of internal diameter greater than 0,1 m; and liquid distributors, vapour distributors or liquid collectors designed for such distillation or absorption columns, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:
• 1. ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;
• 1. Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);
• 1. Glass (including vitrified or enamelled coatings or glass lining);
• 1. Graphite or ‘carbon graphite’;
• 1. Nickel or ‘alloys’ with more than 40 % nickel by weight;
• 1. Tantalum or tantalum ‘alloys’;
• 1. Titanium or titanium ‘alloys’;
• 1. Zirconium or zirconium ‘alloys’; or
• 1. Niobium (columbium) or niobium ‘alloys’;

• f. Remotely operated filling equipment in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:
• 1. ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight; or
• 1. Nickel or ‘alloys’ with more than 40 % nickel by weight;

• g. Valves and components, as follows:
• 1. Valves, having both of the following:
• a. A ‘nominal size’ greater than DN 10 or NPS 3/8; and
• b. All surfaces that come in direct contact with the chemical(s) being produced, processed, or contained are made from ‘corrosion resistant materials’;
• 1. Valves, other than those specified in 2B350.g.1., having all of the following;
• a. A ‘nominal size’ equal to or greater than DN 25 or NPS 1 and equal to or less than DN 100 or NPS 4;
• b. Casings (valve bodies) or preformed casing liners;
• c. A closure element designed to be interchangeable; and
• d. All surfaces of the casing (valve body) or preformed case liner that come in direct contact with the chemical(s) being produced, processed, or contained are made from ‘corrosion resistant materials’;
• 1. Components, designed for valves specified in 2B350.g.1. or 2B350.g.2., in which all surfaces that come in direct contact with the chemical(s) being produced, processed, or contained are made from ‘corrosion resistant materials’, as follows:
• a. Casings (valve bodies);
• b. Preformed casing liners; Technical Notes: 1.

For the purposes of 2B350.g., ‘corrosion resistant materials’ means any of the following materials: - a. Nickel or alloys with more than 40 % nickel by weight; - b. Alloys with more than 25 % nickel and 20 % chromium by weight; - c. Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight); - d. Glass or glass-lined (including vitrified or enamelled coating); - e. Tantalum or tantalum alloys; - f. Titanium or titanium alloys; - g. Zirconium or zirconium alloys; - h. Niobium (columbium) or niobium alloys; or - i. Ceramic materials as follows: - 1. Silicon carbide with a purity of 80 % or more by weight; - 2. Aluminium oxide (alumina) with a purity of 99,9 % or more by weight; - 3. Zirconium oxide (zirconia). 2.

The ‘nominal size’ is defined as the smaller of the inlet and outlet diameters. 3.

Nominal sizes (DN) of valves are in accordance with ISO 6708:1995. Nominal Pipe Sizes (NPS) are in accordance with ASME B36.10 or B36.19 or national equivalents.

• h. Multi-walled piping incorporating a leak detection port, in which all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:
• 1. ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;
• 1. Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);
• 1. Glass (including vitrified or enamelled coatings or glass lining);
• 1. Graphite or ‘carbon graphite’;
• 1. Nickel or ‘alloys’ with more than 40 % nickel by weight;
• 1. Tantalum or tantalum ‘alloys’;
• 1. Titanium or titanium ‘alloys’;
• 1. Zirconium or zirconium ‘alloys’; or
• 1. Niobium (columbium) or niobium ‘alloys’;

• i. Multiple-seal and seal-less pumps, with manufacturer’s specified maximum flow-rate greater than 0,6 m³/hour, or vacuum pumps with manufacturer’s specified maximum flow-rate greater than 5 m³/hour (under standard temperature (273 K (0°C)) and pressure (101,3 kPa) conditions), other than those specified in 2B233; and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:
• 1. ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;
• 1. Ceramics;
• 1. Ferrosilicon (high silicon iron alloys);
• 1. Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);
• 1. Glass (including vitrified or enamelled coatings or glass lining);
• 1. Graphite or ‘carbon graphite’;
• 1. Nickel or ‘alloys’ with more than 40 % nickel by weight;
• 1. Tantalum or tantalum ‘alloys’;
• 1. Titanium or titanium ‘alloys’;
• 1. Zirconium or zirconium ‘alloys’; or
• 1. Niobium (columbium) or niobium ‘alloys’; Technical Note: In 2B350.i., the term seal refers to only those seals that come into direct contact with the chemical(s) being processed (or are designed to), and provide a sealing function where a rotary or reciprocating drive shaft passes through a pump body.

• j. Incinerators designed to destroy chemicals specified in entry 1C350, having specially designed waste supply systems, special handling facilities and an average combustion chamber temperature greater than 1 273 K (1 000 °C), in which all surfaces in the waste supply system that come into direct contact with the waste products are made from or lined with any of the following materials:
• 1. ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;
• 1. Ceramics; or
• 1. Nickel or ‘alloys’ with more than 40 % nickel by weight;

• k. Prefabricated repair assemblies having metallic surfaces that come in direct contact with the chemical(s) being processed which are made from tantalum or tantalum alloys as follows, and specially designed components therefor:
• 1. Designed for mechanical attachment to glass-lined reaction vessels or reactors specified in 2B350.a.; or
• 1. Designed for mechanical attachment to glass-lined storage tanks, containers or receivers specified in 2B350.c.

• Note:

For the purposes of 2B350, the materials used for gaskets, packing, seals, screws, washers or other materials performing a sealing function do not determine the status of control, provided that such components are designed to be interchangeable.

Technical Notes:

• 1.

‘Carbon graphite’ is a composition consisting of amorphous carbon and graphite, in which the graphite content is eight percent or more by weight.

• 2.

For the listed materials in the above entries, the term ‘alloy’ when not accompanied by a specific elemental concentration is understood as identifying those alloys where the identified metal is present in a higher percentage by weight than any other element.

2B351Toxic gas monitors and monitoring systems and their dedicated detecting components, other than those specified in 1A004, as follows; and detectors; sensor devices; and replaceable sensor cartridges therefor:

• a. Designed for continuous operation and usable for the detection of chemical warfare agents or chemicals specified in 1C350, at concentrations of less than 0,3 mg/m³; or

• b. Designed for the detection of cholinesterase-inhibiting activity.

2B352Biological manufacturing and handling equipment, as follows:

• a. Containment facilities and related equipment as follows:
• 1. Complete containment facilities that meet the criteria for P3 or P4 (BL3, BL4, L3, L4) containment as specified in the WHO Laboratory Biosafety Manual (3^rd edition, Geneva, 2004);
• 1. Equipment designed for fixed installation in containment facilities specified in 2B352.a., as follows:
• a. Double-door pass-through decontamination autoclaves;
• b. Breathing air suit decontamination showers;
• c. Mechanical-seal or inflatable-seal walkthrough doors;

• b. Fermenters and components as follows:
• 1. Fermenters capable of cultivation of ‘microorganisms’ or of live cells for the production of viruses or toxins, without the propagation of aerosols, having a total internal volume of 20 litres or more;
• 1. Components designed for fermenters specified in 2B352.b.1. as follows:
• a. Cultivation chambers designed to be sterilised or disinfected in situ;
• b. Cultivation chamber holding devices;
• c. Process control units capable of simultaneously monitoring and controlling two or more fermentation system parameters (e.g., temperature, pH, nutrients, agitation, dissolved oxygen, air flow, foam control); Technical Notes: 1.

For the purposes of 2B352.b. fermenters include bioreactors, single-use (disposable) bioreactors, chemostats and continuous-flow systems. 2.

Cultivation chamber holding devices include single-use cultivation chambers with rigid walls.

• c. Centrifugal separators, capable of continuous separation without the propagation of aerosols, having all of the following characteristics:
• 1. Flow rate exceeding 100 litres per hour;
• 1. Components of polished stainless steel or titanium;
• 1. One or more sealing joints within the steam containment area; and
• 1. Capable of in-situ steam sterilisation in a closed state; Technical Note: Centrifugal separators include decanters.

• d. Cross (tangential) flow filtration equipment and components as follows:
• 1. Cross (tangential) flow filtration equipment capable of separation of ‘microorganisms’, viruses, toxins or cell cultures having all of the following characteristics:
• a. A total filtration area equal to or greater than 1 m²; and
• b. Having any of the following characteristics:
• 1. Capable of being sterilised or disinfected in-situ; or
• 1. Using disposable or single-use filtration components; Technical Note: In 2B352.d.1.b. sterilised denotes the elimination of all viable microbes from the equipment through the use of either physical (e.g. steam) or chemical agents. Disinfected denotes the destruction of potential microbial infectivity in the equipment through the use of chemical agents with a germicidal effect. Disinfection and sterilisation are distinct from sanitisation, the latter referring to cleaning procedures designed to lower the microbial content of equipment without necessarily achieving elimination of all microbial infectivity or viability. Note:

2B352.d. does not control reverse osmosis and hemodialysis equipment, as specified by the manufacturer. - 2. Cross (tangential) flow filtration components (e.g. modules, elements, cassettes, cartridges, units or plates) with filtration area equal to or greater than 0,2 m² for each component and designed for use in cross (tangential) flow filtration equipment specified in 2B352.d.;

• e. Steam, gas or vapour sterilisable freeze-drying equipment with a condenser capacity of 10 kg of ice or more in 24 hours and less than 1 000  kg of ice in 24 hours;

• f. Protective and containment equipment, as follows:
• 1. Protective full or half suits, or hoods dependent upon a tethered external air supply and operating under positive pressure; Note:

2B352.f.1. does not control suits designed to be worn with self-contained breathing apparatus.

• 1. Biocontainment chambers, isolators, or biological safety cabinets having all of the following characteristics, for normal operation:
• a. Fully enclosed workspace where the operator is separated from the work by a physical barrier;
• b. Able to operate at negative pressure;
• c. Means to safely manipulate items in the workspace;
• d. Supply and exhaust air to and from the workspace is HEPA filtered; Note 1:

2B352.f.2. includes Class III biosafety cabinets, as described in the latest edition of the WHO Laboratory Biosafety Manual or constructed in accordance with national standards, regulations or guidance. Note 2:

2B352.f.2. does not include isolators specially designed for barrier nursing or transportation of infected patients.

• g. Aerosol inhalation equipment designed for aerosol challenge testing with ‘microorganisms’, viruses or ‘toxins’ as follows:
• 1. Whole-body exposure chambers having a capacity of 1 m³ or more;
• 1. Nose-only exposure apparatus utilising directed aerosol flow and having capacity for exposure of any of the following:
• a. 12 or more rodents; or
• b. 2 or more animals other than rodents;
• 1. Closed animal restraint tubes designed for use with nose-only exposure apparatus utilising directed aerosol flow;

• h. Spray drying equipment capable of drying toxins or pathogenic ‘microorganisms’ having all of the following:
• 1. A water evaporation capacity of ≥ 0,4 kg/h and ≤ 400 kg/h;
• 1. The ability to generate a typical mean product particle size of ≤ 10 μm with existing fittings or by minimal modification of the spray-dryer with atomization nozzles enabling generation of the required particle size; and
• 1. Capable of being sterilised or disinfected in situ;

• i. Nucleic acid assemblers and synthesisers, which are partly or entirely automated, and designed to generate continuous nucleic acids greater than 1,5 kilobases in length with error rates less than 5 % in a single run.

2CMaterials

None.

2DSoftware

2D001 ‘Software’, other than that specified in 2D002, as follows:

• a. ‘Software’ specially designed or modified for the ‘development’ or ‘production’ of equipment specified in 2A001 or 2B001

• b. ‘Software’ specially designed or modified for the ‘use’ of equipment specified in 2A001.c., 2B001 or 2B003 to 2B009.

• Note:

2D001 does not control part programming ‘software’ that generates ‘numerical control’ codes for machining various parts.

2D002 ‘Software’ for electronic devices, even when residing in an electronic device or system, enabling such devices or systems to function as a ‘numerical control’ unit, capable of coordinating simultaneously more than four axes for ‘contouring control’.

• Note 1:

2D002 does not control ‘software’ specially designed or modified for the operation of items not specified in Category 2.

• Note 2:

2D002 does not control ‘software’ for items specified in 2B002. See 2D001 and 2D003 for ‘software’ for items specified in 2B002.

• Note 3:

2D002 does not control ‘software’ that is exported with, and the minimum necessary for the operation of, items not specified in Category 2.

2D003

‘Software’, designed or modified for the operation of equipment specified in 2B002, that converts optical design, workpiece measurements and material removal functions into ‘numerical control’ commands to achieve the desired workpiece form.

2D101 ‘Software’ specially designed or modified for the ‘use’ of equipment specified in 2B104, 2B105, 2B109, 2B116, 2B117 or 2B119 to 2B122.

• NB:

SEE ALSO 9D004.

2D201 ‘Software’ specially designed for the ‘use’ of equipment specified in 2B204, 2B206, 2B207, 2B209, 2B219 or 2B227.

2D202 ‘Software’ specially designed or modified for the ‘development’, ‘production’ or ‘use’ of equipment specified in 2B201.

• Note:

2D202 does not control part programming ‘software’ that generates ‘numerical control’ command codes but does not allow direct use of equipment for machining various parts.

2D351 ‘Software’, other than that specified in 1D003, specially designed for ‘use’ of equipment specified in 2B351.

2ETechnology

2E001 ‘Technology’ according to the General Technology Note for the ‘development’ of equipment or ‘software’ specified in 2A, 2B or 2D.

• Note:

2E001 includes ‘technology’ for the integration of probe systems into coordinate measurement machines specified in 2B006.a.

2E002 ‘Technology’ according to the General Technology Note for the ‘production’ of equipment specified in 2A or 2B.

2E003Other ‘technology’, as follows:

• a. Not used;

• b. ‘Technology’ for metal-working manufacturing processes, as follows:
• 1. ‘Technology’ for the design of tools, dies or fixtures specially designed for any of the following processes:
• a. ‘Superplastic forming’;
• b. ‘Diffusion bonding’; or
• c. ‘Direct-acting hydraulic pressing’;
• 1. Technical data consisting of process methods or parameters as listed below used to control:
• a. ‘Superplastic forming’ of aluminium alloys, titanium alloys or ‘superalloys’:
• 1. Surface preparation;
• 1. Strain rate;
• 1. Temperature;
• 1. Pressure;
• b. ‘Diffusion bonding’ of ‘superalloys’ or titanium alloys:
• 1. Surface preparation;
• 1. Temperature;
• 1. Pressure;
• c. ‘Direct-acting hydraulic pressing’of aluminium alloys or titanium alloys:
• 1. Pressure;
• 1. Cycle time;
• d. ‘Hot isostatic densification’ of titanium alloys, aluminium alloys or ‘superalloys’:
• 1. Temperature;
• 1. Pressure;
• 1. Cycle time; Technical Notes:
• 1. ‘Direct-acting hydraulic pressing’ is a deformation process which uses a fluid-filled flexible bladder in direct contact with the workpiece.
• 2. ‘Hot isostatic densification’ is a process of pressurising a casting at temperatures exceeding 375 K (102 °C) in a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal force in all directions to reduce or eliminate internal voids in the casting.

• c. ‘Technology’ for the ‘development’ or ‘production’ of hydraulic stretch-forming machines and dies therefor, for the manufacture of airframe structures;

• d. Not used;

• e. ‘Technology’ for the ‘development’ of integration ‘software’ for incorporation of expert systems for advanced decision support of shop floor operations into ‘numerical control’ units;

• f. ‘Technology’ for the application of inorganic overlay coatings or inorganic surface modification coatings (specified in column 3 of the following table) to non-electronic substrates (specified in column 2 of the following table), by processes specified in column 1 of the following table and defined in the Technical Note. Note:

The table and Technical Note appear after entry 2E301. NB:

This table should be read to specify the ‘technology’ for a particular Coating Process only when the Resultant Coating in column 3 is in a paragraph directly across from the relevant Substrate under column 2. For example, Chemical Vapour Deposition (CVD) coating process technical data are included for the application of silicides to carbon-carbon, ceramic and metal ‘matrix’ ‘composites’ substrates, but are not included for the application of silicides to ‘cemented tungsten carbide’ (16), ‘silicon carbide’ (18) substrates. In the second case, the resultant coating is not listed in the paragraph under column 3 directly across from the paragraph under column 2 listing ‘cemented tungsten carbide’ (16), ‘silicon carbide’ (18).

2E101 ‘Technology’ according to the General Technology Note for the ‘use’ of equipment or ‘software’ specified in 2B004, 2B009, 2B104, 2B109, 2B116, 2B119 to 2B122 or 2D101.

2E201 ‘Technology’ according to the General Technology Note for the ‘use’ of equipment or ‘software’ specified in 2A225, 2A226, 2B001, 2B006, 2B007.b., 2B007.c., 2B008, 2B009, 2B201, 2B204, 2B206, 2B207, 2B209, 2B225 to 2B233, 2D201 or 2D202.

2E301 ‘Technology’ according to the General Technology Note for the ‘use’ of goods specified in 2B350 to 2B352.

Table

Deposition techniques

1. Coating Process (1) [^E0012]	2. Substrate	3. Resultant Coating
A. Chemical Vapour Deposition (CVD)	‘Superalloys’	Aluminides for internal passages
	Ceramics (19) and Low expansion glasses (14)	Silicides Carbides Dielectric layers (15) Diamond Diamond-like carbon (17)
	Carbon-carbon, Ceramic and Metal ‘matrix’‘composites’	Silicides Carbides Refractory metals Mixtures thereof (4) Dielectric layers (15) Aluminides Alloyed aluminides (2) Boron nitride
	Cemented tungsten carbide (16), Silicon carbide (18)	Carbides Tungsten Mixtures thereof (4) Dielectric layers (15)
	Molybdenum and Molybdenum alloys	Dielectric layers (15)
	Beryllium and Beryllium alloys	Dielectric layers (15) Diamond Diamond-like carbon (17)
	Sensor window materials (9)	Dielectric layers (15) Diamond Diamond-like carbon (17)
B. Thermal-Evaporation Physical Vapour Deposition (TE-PVD)
B.1.  Physical Vapour Deposition (PVD): Electron-Beam (EB-PVD)	‘Superalloys’	Alloyed silicides Alloyed aluminides (2) MCrAlX (5) Modified zirconia (12) Silicides Aluminides Mixtures thereof (4)
	Ceramics (19) and Low expansion glasses (14)	Dielectric layers (15)
	Corrosion resistant steel (7)	MCrAlX (5) Modified zirconia (12) Mixtures thereof (4)
	Carbon-carbon, Ceramic and Metal ‘matrix’‘composites’	Silicides Carbides Refractory metals Mixtures thereof (4) Dielectric layers (15) Boron nitride
	Cemented tungsten carbide (16), Silicon carbide (18)	Carbides Tungsten Mixtures thereof (4) Dielectric layers (15)
	Molybdenum and Molybdenum alloys	Dielectric layers (15)
	Beryllium and Beryllium alloys	Dielectric layers (15) Borides Beryllium
	Sensor window materials (9)	Dielectric layers (15)
	Titanium alloys (13)	Borides Nitrides
B.2.  Ion assisted resistive heating Physical Vapour Deposition (PVD) (Ion Plating)	Ceramics (19) and Low-expansion glasses	Dielectric layers (15) Diamond-like carbon (17)
	Carbon-carbon, Ceramic and Metal ‘matrix’‘composites’	Dielectric layers (15)
	Cemented tungsten carbide (16), Silicon carbide	Dielectric layers (15)
	Molybdenum and Molybdenum alloys	Dielectric layers (15)
	Beryllium and Beryllium alloys	Dielectric layers (15)
	Sensor window materials (9)	Dielectric layers (15) Diamond-like carbon (17)
B.3.  Physical Vapour Deposition (PVD): ‘Laser’ Vaporization	Ceramics (19) and Low expansion glasses (14)	Silicides Dielectric layers (15) Diamond-like carbon (17)
	Carbon-carbon, Ceramic and Metal ‘matrix’‘composites’	Dielectric layers (15)
	Cemented tungsten carbide (16), Silicon carbide	Dielectric layers (15)
	Molybdenum and Molybdenum alloys	Dielectric layers (15)
	Beryllium and Beryllium alloys	Dielectric layers (15)
	Sensor window materials (9)	Dielectric layers (15) Diamond-like carbon (17)
B.4.  Physical Vapour Deposition (PVD): Cathodic Arc Discharge	‘Superalloys’	Alloyed silicides Alloyed aluminides (2) MCrAlX (5)
	Polymers (11) and Organic ‘matrix’‘composites’	Borides Carbides Nitrides Diamond-like carbon (17)
C. Pack cementation (see A above for out-of-pack cementation) (10)	Carbon-carbon, Ceramic and Metal ‘matrix’‘composites’	Silicides Carbides Mixtures thereof (4)
	Titanium alloys (13)	Silicides Aluminides Alloyed aluminides (2)
	Refractory metals and alloys (8)	Silicides Oxides
D. Plasma spraying	‘Superalloys’	MCrAlX (5) Modified zirconia (12) Mixtures thereof (4) Abradable Nickel-Graphite Abradable materials containing Ni-Cr-Al Abradable Al-Si-Polyester Alloyed aluminides (2)
	Aluminium alloys (6)	MCrAlX (5) Modified zirconia (12) Silicides Mixtures thereof (4)
	Refractory metals and alloys (8)	Aluminides Silicides Carbides
	Corrosion resistant steel (7)	MCrAlX (5) Modified zirconia (12) Mixtures thereof (4)
	Titanium alloys (13)	Carbides Aluminides Silicides Alloyed aluminides (2) Abradable Nickel-Graphite Abradable materials containing Ni-Cr-Al Abradable Al-Si-Polyester
E. Slurry Deposition	Refractory metals and alloys (8)	Fused silicides Fused aluminides except for resistance heating elements
	Carbon-carbon, Ceramic and Metal ‘matrix’‘composites’	Silicides Carbides Mixtures thereof (4)
F. Sputter Deposition	‘Superalloys’	Alloyed silicides Alloyed aluminides (2) Noble metal modified aluminides (3) MCrAlX (5) Modified zirconia (12) Platinum Mixtures thereof (4)
	Ceramics and Low- expansion glasses (14)	Silicides Platinum Mixtures thereof (4) Dielectic layers (15) Diamond-like carbon (17)
	Titanium alloys (13)	Borides Nitrides Oxides Silicides Aluminides Alloyed aluminides (2) Carbides
	Carbon-carbon, Ceramic and Metal ‘matrix’‘composites’	Silicides Carbides Refractory metals Mixtures thereof (4) Dielectric layers (15) Boron nitride
	Cemented tungsten carbide (16), Silicon carbide (18)	Carbides Tungsten Mixtures thereof (4) Dielectric layers (15) Boron nitride
	Molybdenum and Molybdenum alloys	Dielectric layers (15)
	Beryllium and Beryllium alloys	Borides Dielectric layers (15) Beryllium
	Sensor window materials (9)	Dielectric layers (15) Diamond-like carbon (17)
	Refractory metals and alloys (8)	Aluminides Silicides Oxides Carbides
G. Ion Implantation	High temperature bearing steels	Additions of Chromium Tantalum or Niobium (Columbium)
	Titanium alloys (13)	Borides Nitrides
	Beryllium and Beryllium alloys	Borides
	Cemented tungsten carbide (16)	Carbides Nitrides

The numbers in parenthesis refer to the Notes following this Table.

TABLE - DEPOSITION TECHNIQUES - NOTES

• 1. The term ‘coating process’ includes coating repair and refurbishing as well as original coating.

• 1. The term ‘alloyed aluminide coating’ includes single or multiple-step coatings in which an element or elements are deposited prior to or during application of the aluminide coating, even if these elements are deposited by another coating process. It does not, however, include the multiple use of single-step pack cementation processes to achieve alloyed aluminides.

• 1. The term ‘noble metal modified aluminide’ coating includes multiple-step coatings in which the noble metal or noble metals are laid down by some other coating process prior to application of the aluminide coating.

• 1. The term ‘mixtures thereof’ includes infiltrated material, graded compositions, co-deposits and multilayer deposits and are obtained by one or more of the coating processes specified in the Table.

• 1. ‘MCrAlX’ refers to a coating alloy where M equals cobalt, iron, nickel or combinations thereof and X equals hafnium, yttrium, silicon, tantalum in any amount or other intentional additions over 0,01 % by weight in various proportions and combinations, except:
• a. CoCrAlY coatings which contain less than 22 % by weight of chromium, less than 7 % by weight of aluminium and less than 2 % by weight of yttrium;
• b. CoCrAlY coatings which contain 22 to 24 % by weight of chromium, 10 to 12 % by weight of aluminium and 0,5 to 0,7 % by weight of yttrium; or
• c. NiCrAlY coatings which contain 21 to 23 % by weight of chromium, 10 to 12 % by weight of aluminium and 0,9 to 1,1 % by weight of yttrium.

• 1. The term ‘aluminium alloys’ refers to alloys having an ultimate tensile strength of 190 MPa or more measured at 293 K (20 °C).

• 1. The term ‘corrosion resistant steel’ refers to AISI (American Iron and Steel Institute) 300 series or equivalent national standard steels.

• 1. ‘Refractory metals and alloys’ include the following metals and their alloys: niobium (columbium), molybdenum, tungsten and tantalum.

- 9. ‘Sensor window materials’, as follows: alumina, silicon, germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond, gallium phosphide, sapphire and the following metal halides: sensor window materials of more than 40 mm diameter for zirconium fluoride and hafnium fluoride.

• 1. Category 2 does not include ‘technology’ for single-step pack cementation of solid airfoils.

• 1. ‘Polymers’, as follows: polyimide, polyester, polysulphide, polycarbonates and polyurethanes.

• 1. ‘Modified zirconia’ refers to additions of other metal oxides (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) to zirconia in order to stabilise certain crystallographic phases and phase compositions. Thermal barrier coatings made of zirconia, modified with calcia or magnesia by mixing or fusion, are not controlled.

• 1. ‘Titanium alloys’ refers only to aerospace alloys having an ultimate tensile strength of 900 MPa or more measured at 293 K (20 °C).

• 1. ‘Low-expansion glasses’ refers to glasses which have a coefficient of thermal expansion of 1 × 10^–7 K^–1 or less measured at 293 K (20 °C).

- 15. ‘Dielectric layers’ are coatings constructed of multi-layers of insulator materials in which the interference properties of a design composed of materials of various refractive indices are used to reflect, transmit or absorb various wavelength bands. Dielectric layers refers to more than four dielectric layers or dielectric/metal ‘composite’ layers.

• 1. ‘Cemented tungsten carbide’ does not include cutting and forming tool materials consisting of tungsten carbide/(cobalt, nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-chromium and chromium carbide/nickel.

• 1. ‘Technology’ for depositing diamond-like carbon on any of the following is not controlled: magnetic disk drives and heads, equipment for the manufacture of disposables, valves for faucets, acoustic diaphragms for speakers, engine parts for automobiles, cutting tools, punching-pressing dies, office automation equipment, microphones or medical devices or moulds, for casting or moulding of plastics, manufactured from alloys containing less than 5 % beryllium.

• 1. ‘Silicon carbide’ does not include cutting and forming tool materials.

• 1. Ceramic substrates, as used in this entry, does not include ceramic materials containing 5 % by weight, or greater, clay or cement content, either as separate constituents or in combination.

TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE

Processes specified in Column 1 of the Table are defined as follows:

• a. Chemical Vapour Deposition (CVD) is an overlay coating or surface modification coating process wherein a metal, alloy, ‘composite’, dielectric or ceramic is deposited upon a heated substrate. Gaseous reactants are decomposed or combined in the vicinity of a substrate resulting in the deposition of the desired elemental, alloy or compound material on the substrate. Energy for this decomposition or chemical reaction process may be provided by the heat of the substrate, a glow discharge plasma, or ‘laser’ irradiation. N.B.1

CVD includes the following processes: directed gas flow out-of-pack deposition, pulsating CVD, controlled nucleation thermal deposition (CNTD), plasma enhanced or plasma assisted CVD processes. N.B.2

Pack denotes a substrate immersed in a powder mixture. N.B.3

The gaseous reactants used in the out-of-pack process are produced using the same basic reactions and parameters as the pack cementation process, except that the substrate to be coated is not in contact with the powder mixture.

• b. Thermal Evaporation-Physical Vapour Deposition (TE-PVD) is an overlay coating process conducted in a vacuum with a pressure less than 0,1 Pa wherein a source of thermal energy is used to vaporize the coating material. This process results in the condensation, or deposition, of the evaporated species onto appropriately positioned substrates. The addition of gases to the vacuum chamber during the coating process to synthesize compound coatings is an ordinary modification of the process. The use of ion or electron beams, or plasma, to activate or assist the coating’s deposition is also a common modification in this technique. The use of monitors to provide in-process measurement of optical characteristics and thickness of coatings can be a feature of these processes. Specific TE-PVD processes are as follows:
• 1. Electron Beam PVD uses an electron beam to heat and evaporate the material which forms the coating;
• 1. Ion Assisted Resistive Heating PVD employs electrically resistive heating sources in combination with impinging ion beam(s) to produce a controlled and uniform flux of evaporated coating species;
• 1. ‘Laser’ Vaporization uses either pulsed or continuous wave ‘laser’ beams to vaporize the material which forms the coating;
• 1. Cathodic Arc Deposition employs a consumable cathode of the material which forms the coating and has an arc discharge established on the surface by a momentary contact of a ground trigger. Controlled motion of arcing erodes the cathode surface creating a highly ionized plasma. The anode can be either a cone attached to the periphery of the cathode, through an insulator, or the chamber. Substrate biasing is used for non line-of-sight deposition; NB:

This definition does not include random cathodic arc deposition with non-biased substrates. - 5. Ion Plating is a special modification of a general TE-PVD process in which a plasma or an ion source is used to ionize the species to be deposited, and a negative bias is applied to the substrate in order to facilitate the extraction of the species from the plasma. The introduction of reactive species, evaporation of solids within the process chamber, and the use of monitors to provide in-process measurement of optical characteristics and thicknesses of coatings are ordinary modifications of the process.

• c. Pack Cementation is a surface modification coating or overlay coating process wherein a substrate is immersed in a powder mixture (a pack), that consists of:
• 1. The metallic powders that are to be deposited (usually aluminium, chromium, silicon or combinations thereof);
• 1. An activator (normally a halide salt); and
• 1. An inert powder, most frequently alumina. The substrate and powder mixture is contained within a retort which is heated to between 1 030 K (757 °C) and 1 375 K (1 102  °C) for sufficient time to deposit the coating.

• d. Plasma Spraying is an overlay coating process wherein a gun (spray torch) which produces and controls a plasma accepts powder or wire coating materials, melts them and propels them towards a substrate, whereon an integrally bonded coating is formed. Plasma spraying constitutes either low pressure plasma spraying or high velocity plasma spraying. N.B.1

Low pressure means less than ambient atmospheric pressure. N.B.2

High velocity refers to nozzle-exit gas velocity exceeding 750 m/s calculated at 293 K (20 °C) at 0,1 MPa.

- e. Slurry Deposition is a surface modification coating or overlay coating process wherein a metallic or ceramic powder with an organic binder is suspended in a liquid and is applied to a substrate by either spraying, dipping or painting, subsequent air or oven drying, and heat treatment to obtain the desired coating.

• f. Sputter Deposition is an overlay coating process based on a momentum transfer phenomenon, wherein positive ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on an appropriately positioned substrate. N.B.1

The Table refers only to triode, magnetron or reactive sputter deposition which is used to increase adhesion of the coating and rate of deposition and to radio frequency (RF) augmented sputter deposition used to permit vaporisation of non-metallic coating materials. N.B.2

Low-energy ion beams (less than 5 keV) can be used to activate the deposition.

• g. Ion Implantation is a surface modification coating process in which the element to be alloyed is ionized, accelerated through a potential gradient and implanted into the surface region of the substrate. This includes processes in which ion implantation is performed simultaneously with electron beam physical vapour deposition or sputter deposition.

CATEGORY 3 – ELECTRONICS

3ASystems, Equipment and Components

• Note 1:

The control status of equipment and components described in 3A001 or 3A002, other than those described in 3A001.a.3. to 3A001.a.10., or 3A001.a.12. to 3A001.a.14., which are specially designed for or which have the same functional characteristics as other equipment is determined by the control status of the other equipment.

• Note 2:

The control status of integrated circuits described in 3A001.a.3. to 3A001.a.9., or 3A001.a.12. to 3A001.a.14., which are unalterably programmed or designed for a specific function for another equipment is determined by the control status of the other equipment.

• NB:

When the manufacturer or applicant cannot determine the control status of the other equipment, the control status of the integrated circuits is determined in 3A001.a.3. to 3A001.a.9., and 3A001.a.12. to 3A001.a.14.

• Note 3:

The status of wafers (finished or unfinished), in which the function has been determined, is to be evaluated against the parameters of 3A001.a., 3A001.b., 3A001.d., 3A001.e.4., 3A001.g., 3A001.h., or 3A001.i.

3A001Electronic items as follows:

• a. General purpose integrated circuits, as follows: Note:

Integrated circuits include the following types: - — ‘Monolithic integrated circuits’; - — ‘Hybrid integrated circuits’; - — ‘Multichip integrated circuits’; - — ‘Film type integrated circuits’, including silicon-on-sapphire integrated circuits; - — ‘Optical integrated circuits’; - — ‘Three dimensional integrated circuits’; - — ‘Monolithic Microwave Integrated Circuits’ (‘MMICs’). - 1. Integrated circuits designed or rated as radiation hardened to withstand any of the following: - a. A total dose of 5 × 10³ Gy (silicon) or higher; - b. A dose rate upset of 5 × 10⁶ Gy (silicon)/s or higher; or - c. A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 10¹³ n/cm² or higher on silicon, or its equivalent for other materials; Note:

3A001.a.1.c. does not control Metal Insulator Semiconductors (MIS). - 2. ‘Microprocessor microcircuits’, ‘microcomputer microcircuits’, microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, analogue-to-digital converters, integrated circuits that contain analogue-to-digital converters and store or process the digitised data, digital-to-analogue converters, electro-optical or ‘optical integrated circuits’ designed for ‘signal processing’, field programmable logic devices, custom integrated circuits for which either the function is unknown or the control status of the equipment in which the integrated circuit will be used is unknown, Fast Fourier Transform (FFT) processors, Static Random-Access Memories (SRAMs), or ‘non-volatile memories’, having any of the following: - a. Rated for operation at an ambient temperature above 398 K (125 °C); - b. Rated for operation at an ambient temperature below 218 K (– 55 °C); or - c. Rated for operation over the entire ambient temperature range from 218 K (– 55 °C) to 398 K (125 °C); Note:

3A001.a.2. does not control integrated circuits designed for civil automobiles or railway train applications. Technical Note: ‘Non-volatile memories’ are memories with data retention over a period of time after a power shutdown. - 3. ‘Microprocessor microcircuits’, ‘microcomputer microcircuits’ and microcontroller microcircuits, manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz; Note:

3A001.a.3. includes digital signal processors, digital array processors and digital coprocessors. - 4. Not used; - 5. Analogue-to-Digital Converter (ADC) and Digital-to-Analogue Converter (DAC) integrated circuits, as follows: - a. ADCs having any of the following: NB:

SEE ALSO 3A101 - 1. 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); - 2. A resolution of 10 bit or more, but less than 12 bit, with a ‘sample rate’ greater than 600 Mega Samples Per Second (MSPS); - 3. A resolution of 12 bit or more, but less than 14 bit, with a ‘sample rate’ greater than 400 MSPS; - 4. A resolution of 14 bit or more, but less than 16 bit, with a ‘sample rate’ greater than 250 MSPS; or - 5. A resolution of 16 bit or more with a ‘sample rate’ greater than 65 MSPS; NB:

For integrated circuits that contain analogue-to-digital converters and store or process the digitized data, see 3A001.a.14. 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 that represents the measured analogue input. Effective Number of Bits (ENOB) is not used to determine the resolution of the ADC. 3.

For ‘multiple channel ADCs’, the ‘sample rate’ is not aggregated and the ‘sample rate’ is the maximum rate of any single channel. 4.

For ‘interleaved ADCs’ or for ‘multiple channel ADCs’ that are specified to have an interleaved mode of operation, the ‘sample rates’ are aggregated and the ‘sample rate’ is the maximum combined total rate of all of the interleaved channels. - b. Digital-to-Analogue Converters (DAC) having any of the following: - 1. A resolution of 10 bit or more but less than 12 bit, with an ‘adjusted update rate’ exceeding 3 500 MSPS; or - 2. A resolution of 12 bit or more and having any of the following: - a. An ‘adjusted update rate’ exceeding 1 250 MSPS but not exceeding 3 500 MSPS, and having any of the following: - 1. A settling time less than 9 ns to arrive at or within 0,024 % of full scale from a full scale step; or - 2. A ‘Spurious Free Dynamic Range’ (SFDR) greater than 68 dBc (carrier) when synthesising a full scale analogue signal of 100 MHz or the highest full scale analogue signal frequency specified below 100 MHz; or - b. An ‘adjusted update rate’ exceeding 3 500 MSPS; Technical Notes: 1.

‘Spurious Free Dynamic Range’ (SFDR) is defined as the ratio of the RMS value of the carrier frequency (maximum signal component) at the input of the DAC to the RMS value of the next largest noise or harmonic distortion component at its output.

2.

SFDR is determined directly from the specification table or from the characterisation plots of SFDR versus frequency. 3.

A signal is defined to be full scale when its amplitude is greater than -3 dBfs (full scale). 4.

‘Adjusted update rate’ for DACs: - a. For conventional (non-interpolating) DACs, the ‘adjusted update rate’ is the rate at which the digital signal is converted to an analogue signal and the output analogue values are changed by the DAC. For DACs where the interpolation mode may be bypassed (interpolation factor of one), the DAC should be considered as a conventional (non-interpolating) DAC. - b. For interpolating DACs (oversampling DACs), the ‘adjusted update rate’ is defined as the DAC update rate divided by the smallest interpolating factor. For interpolating DACs, the ‘adjusted update rate’ may be referred to by different terms including: - — input data rate - — input word rate - — input sample rate - — maximum total input bus rate - — maximum DAC clock rate for DAC clock input. - 6. Electro-optical and ‘optical integrated circuits’, designed for ‘signal processing’ and having all of the following: - a. One or more than one internal ‘laser’ diode; - b. One or more than one internal light detecting element; and - c. Optical waveguides; - 7. Field programmable logic devices having any of the following: - a. A maximum number of single-ended digital input/outputs of greater than 700; or - b. An ‘aggregate one-way peak serial transceiver data rate’ of 500 Gb/s or greater; Note:

3A001.a.7. includes:

• — Complex Programmable Logic Devices (CPLDs)
• — Field Programmable Gate Arrays (FPGAs)
• — Field Programmable Logic Arrays (FPLAs)
• — Field Programmable Interconnects (FPICs) NB:

For integrated circuits having field programmable logic devices that are combined with an analogue-to-digital converter, see 3A001.a.14. Technical Notes: 1.

Maximum number of digital input/outputs in 3A001.a.7.a. is also referred to as the maximum user input/outputs or maximum available input/outputs, whether the integrated circuit is packaged or bare die. 2.

‘Aggregate one-way peak serial transceiver data rate’ is the product of the peak serial one-way transceiver data rate times the number of transceivers on the FPGA. - 8. Not used; - 9. Neural network integrated circuits; - 10. Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following: - a. More than 1 500 terminals; - b. A typical ‘basic gate propagation delay time’ of less than 0,02 ns; or - c. An operating frequency exceeding 3 GHz; - 11. Digital integrated circuits, other than those described in 3A001.a.3. to 3A001.a.10. and 3A001.a.12., based upon any compound semiconductor and having any of the following: - a. An equivalent gate count of more than 3 000 (2 input gates); or - b. A toggle frequency exceeding 1,2 GHz; - 12. Fast Fourier Transform (FFT) processors having a rated execution time for an N-point complex FFT of less than (N log2 N)/20 480 ms, where N is the number of points; Technical Note: When N is equal to 1 024 points, the formula in 3A001.a.12. gives an execution time of 500 μs. - 13. Direct Digital Synthesizer (DDS) integrated circuits having any of the following: - a. A Digital-to-Analogue Converter (DAC) clock frequency of 3,5 GHz or more and a DAC resolution of 10 bit or more, but less than 12 bit; or - b. A DAC clock frequency of 1,25 GHz or more and a DAC resolution of 12 bit or more; Technical Note: The DAC clock frequency may be specified as the master clock frequency or the input clock frequency. - 14. Integrated circuits that perform or are programmable to perform all of the following: - a. Analogue-to-digital conversions meeting any of the following: - 1. 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); - 2. A resolution of 10 bit or more, but less than 12 bit, with a ‘sample rate’ greater than 1,0 GSPS; - 3. A resolution of 12 bit or more, but less than 14 bit, with a ‘sample rate’ greater than 1,0 GSPS; - 4. 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 - 5. A resolution of 16 bit or more with a ‘sample rate’ greater than 180 MSPS; and - b. Any of the following: - 1. Storage of digitised data; or - 2. Processing of digitised data; N.B.1.

For analogue-to-digital converter integrated circuits see 3A001.a.5.a. N.B.2.

For field programmable logic devices see 3A001.a.7. Technicals Notes: 1.

A resolution of n bit corresponds to a quantisation of 2 ⁿ 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 integrated circuits with non-interleaving ‘multiple channel ADCs’, the ‘sample rate’ is not aggregated and the ‘sample rate’ is the maximum rate of any single channel. 4.

For integrated circuits with ‘interleaved ADCs “or with "multiple channel ADCs" that are specified to have an interleaved mode of operation, the "sample rates" are aggregated and the ”sample rate’ is the maximum combined total rate of all of the interleaved channels.

• b. Microwave or millimetre wave items as follows: Technical Note: For purposes of 3A001.b., 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. ‘Vacuum electronic devices’ and cathodes, as follows: Note 1:

3A001.b.1. does not control ‘vacuum electronic devices’ designed or rated for operation in any frequency band and having all of the following: - a. Does not exceed 31,8 GHz; and - b. Is ‘allocated by the ITU’ for radio-communications services, but not for radio-determination. Note 2:

3A001.b.1. does not control non-‘space-qualified’ ‘vacuum electronic devices’ having all of the following: - a. An average output power equal to or less than 50 W; and - b. Designed or rated for operation in any frequency band and having all of the following: - 1. Exceeds 31,8 GHz but does not exceed 43,5 GHz; and - 2. Is ‘allocated by the ITU’ for radio-communications services, but not for radio-determination. - a. Travelling-wave ‘vacuum electronic devices’, pulsed or continuous wave, as follows: - 1. Devices operating at frequencies exceeding 31,8 GHz; - 2. Devices having a cathode heater with a turn on time to rated RF power of less than 3 seconds; - 3. Coupled cavity devices, or derivatives thereof, with a ‘fractional bandwidth’ of more than 7 % or a peak power exceeding 2,5 kW; - 4. Devices based on helix, folded waveguide, or serpentine waveguide circuits, or derivatives thereof, having any of the following: - a. An ‘instantaneous bandwidth’ of more than one octave, and average power (expressed in kW) times frequency (expressed in GHz) of more than 0,5; - b. An ‘instantaneous bandwidth’ of one octave or less, and average power (expressed in kW) times frequency (expressed in GHz) of more than 1; - c. Being ‘space-qualified’; or - d. Having a gridded electron gun; - 5. Devices with a ‘fractional bandwidth’ greater than or equal to 10 %, with any of the following: - a. An annular electron beam; - b. A non-axisymmetric electron beam; or - c. Multiple electron beams; - b. Crossed-field amplifier ‘vacuum electronic devices’ with a gain of more than 17 dB; - c. Thermionic cathodes designed for ‘vacuum electronic devices’ producing an emission current density at rated operating conditions exceeding 5 A/cm² or a pulsed (non-continuous) current density at rated operating conditions exceeding 10 A/cm²; - d. ‘Vacuum electronic devices’ with the capability to operate in a ‘dual mode’. Technical Note: ‘Dual mode’ means the ‘vacuum electronic device’ beam current can be intentionally changed between continuous-wave and pulsed mode operation by use of a grid and produces a peak pulse output power greater than the continuous-wave output power. - 2. ‘Monolithic Microwave Integrated Circuits’ (‘MMIC’) amplifiers that are any of the following: NB:

For ‘MMIC’ amplifiers that have an integrated phase shifter see 3A001.b.12.

• a. 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:
• 1. 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;
• 1. 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;
• 1. 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
• 1. 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;
• b. 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:
• 1. A peak saturated power output greater than 10 W (40 dBm) at any frequency exceeding 6,8 GHz up to and including 8,5 GHz; or
• 1. A peak saturated power output greater than 5 W (37 dBm) at any frequency exceeding 8,5 GHz up to and including 16 GHz;
• c. 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 %;
• d. 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;
• e. 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 %;
• f. 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 %;
• g. 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
• h. Rated for operation with a peak saturated power output greater than 0,1 nW (– 70 dBm) at any frequency exceeding 90 GHz; Note 1:

Not used. Note 2:

The control status of the ‘MMIC’ whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.2.a. to 3A001.b.2.h., is determined by the lowest peak saturated power output threshold. Note 3:

Notes 1 and 2 in 3A mean that 3A001.b.2. does not control ‘MMICs’ if they are specially designed for other applications, e.g., telecommunications, radar, automobiles. - 3. Discrete microwave transistors that are any of the following: - a. Rated for operation at frequencies exceeding 2,7 GHz up to and including 6,8 GHz and having any of the following: - 1. A peak saturated power output greater than 400 W (56 dBm) at any frequency exceeding 2,7 GHz up to and including 2,9 GHz; - 2. A peak saturated power output greater than 205 W (53,12 dBm) at any frequency exceeding 2,9 GHz up to and including 3,2 GHz; - 3. A peak saturated power output greater than 115 W (50,61 dBm) at any frequency exceeding 3,2 GHz up to and including 3,7 GHz; or - 4. A peak saturated power output greater than 60 W (47,78 dBm) at any frequency exceeding 3,7 GHz up to and including 6,8 GHz; - b. Rated for operation at frequencies exceeding 6,8 GHz up to and including 31,8 GHz and having any of the following: - 1. A peak saturated power output greater than 50 W (47 dBm) at any frequency exceeding 6,8 GHz up to and including 8,5 GHz; - 2. A peak saturated power output greater than 15 W (41,76 dBm) at any frequency exceeding 8,5 GHz up to and including 12 GHz; - 3. A peak saturated power output greater than 40 W (46 dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; or - 4. A peak saturated power output greater than 7 W (38,45 dBm) at any frequency exceeding 16 GHz up to and including 31,8 GHz; - c. Rated for operation with a peak saturated power output greater than 0,5 W (27 dBm) at any frequency exceeding 31,8 GHz up to and including 37 GHz; - d. 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; - e. Rated for operation with a peak saturated power output greater than 0,1 nW (– 70 dBm) at any frequency exceeding 43,5 GHz; or - f. Other than those specified in 3A001.b.3.a. to 3A001.b.3.e and rated for operation with a peak saturated power output greater than 5 W (37,0 dBm) at all frequencies exceeding 8,5 GHz up to and including 31,8 GHz; Note 1:

The control status of a transistor in 3A001.b.3.a. through 3A001.b.3.e. whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.3.a. to 3A001.b.3.e., is determined by the lowest peak saturated power output threshold. Note 2:

3A001.b.3. includes bare dice, dice mounted on carriers, or dice mounted in packages. Some discrete transistors may also be referred to as power amplifiers, but the status of these discrete transistors is determined by 3A001.b.3. - 4. Microwave solid state amplifiers and microwave assemblies/modules containing microwave solid state amplifiers, that are any of the following: - a. 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: - 1. A peak saturated power output greater than 500 W (57 dBm) at any frequency exceeding 2,7 GHz up to and including 2,9 GHz; - 2. A peak saturated power output greater than 270 W (54,3 dBm) at any frequency exceeding 2,9 GHz up to and including 3,2 GHz; - 3. A peak saturated power output greater than 200 W (53 dBm) at any frequency exceeding 3,2 GHz up to and including 3,7 GHz; or - 4. A peak saturated power output greater than 90 W (49,54 dBm) at any frequency exceeding 3,7 GHz up to and including 6,8 GHz; - b. Rated for operation at frequencies exceeding 6,8 GHz up to and including 31,8 GHz with a ‘fractional bandwidth’ greater than 10 %, and having any of the following: - 1. A peak saturated power output greater than 70 W (48,54 dBm) at any frequency exceeding 6,8 GHz up to and including 8,5 GHz; - 2. A peak saturated power output greater than 50 W (47 dBm) at any frequency exceeding 8,5 GHz up to and including 12 GHz; - 3. A peak saturated power output greater than 30 W (44,77 dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; or - 4. A peak saturated power output greater than 20 W (43 dBm) at any frequency exceeding 16 GHz up to and including 31,8 GHz; - c. Rated for operation with a peak saturated power output greater than 0,5 W (27 dBm) at any frequency exceeding 31,8 GHz up to and including 37 GHz; - d. Rated for operation with a peak saturated power output greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to and including 43,5 GHz, and with a ‘fractional bandwidth’ of greater than 10 %; - e. Rated for operation at frequencies exceeding 43,5 GHz and having any of the following: - 1. A peak saturated power output greater than 0,2 W (23 dBm) at any frequency exceeding 43,5 GHz up to and including 75 GHz, and with a ‘fractional bandwidth’ of greater than 10 %; - 2. A peak saturated power output greater than 20 mW (13 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a ‘fractional bandwidth’ of greater than 5 %; or - 3. A peak saturated power output greater than 0,1 nW (– 70 dBm) at any frequency exceeding 90 GHz; or - f. Not used N.B.1.

For ‘MMIC’ amplifiers see 3A001.b.2.

N.B.2.

For ‘transmit/receive modules’ and ‘transmit modules’ see 3A001.b.12. N.B.3.

For converters and harmonic mixers, designed to extend the operating or frequency range of signal analysers, signal generators, network analysers or microwave test receivers, see 3A001.b.7. Note 1:

Not used. Note 2:

The control status of an item whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.4.a. to 3A001.b.4.e., is determined by the lowest peak saturated power output threshold. - 5. Electronically or magnetically tunable band-pass or band-stop filters, having more than 5 tunable resonators capable of tuning across a 1,5:1 frequency band (fmax/fmin) in less than 10 μs and having any of the following: - a. A band-pass bandwidth of more than 0,5 % of centre frequency; or - b. A band-stop bandwidth of less than 0,5 % of centre frequency; - 6. Not used; - 7. Converters and harmonic mixers that are any of the following: - a. Designed to extend the frequency range of ‘signal analysers’ beyond 90 GHz; - b. Designed to extend the operating range of signal generators as follows: - 1. Beyond 90 GHz; - 2. To an output power greater than 100 mW (20 dBm) anywhere within the frequency range exceeding 43,5 GHz but not exceeding 90 GHz; - c. Designed to extend the operating range of network analysers as follows: - 1. Beyond 110 GHz; - 2. To an output power greater than 31,62 mW (15 dBm) anywhere within the frequency range exceeding 43,5 GHz but not exceeding 90 GHz; - 3. To an output power greater than 1 mW (0 dBm) anywhere within the frequency range exceeding 90 GHz but not exceeding 110 GHz; or - d. Designed to extend the frequency range of microwave test receivers beyond 110 GHz; - 8. Microwave power amplifiers containing ‘vacuum electronic devices’ specified in 3A001.b.1. and having all of the following: - a. Operating frequencies above 3 GHz; - b. An average output power to mass ratio exceeding 80 W/kg; and - c. A volume of less than 400 cm³; Note:

3A001.b.8. does not control equipment designed or rated for operation in any frequency band which is ‘allocated by the ITU’ for radio-communications services, but not for radio-determination. - 9. Microwave power modules (MPM) consisting of, at least, a travelling wave ‘vacuum electronic device’, a ‘monolithic microwave integrated circuit’ (‘MMIC’) and an integrated electronic power conditioner and having all of the following: - a. A ‘turn-on time’ from off to fully operational in less than 10 seconds; - b. A volume less than the maximum rated power in Watts multiplied by 10 cm³/W; and - c. An ‘instantaneous bandwidth’ greater than 1 octave (fmax > 2fmin) and having any of the following: - 1. For frequencies equal to or less than 18 GHz, an RF output power greater than 100 W; or - 2. A frequency greater than 18 GHz; Technical Notes: 1.

To calculate the volume in 3A001.b.9.b., the following example is provided: for a maximum rated power of 20 W, the volume would be: 20 W × 10 cm³/W = 200 cm³. 2.

The’ turn-on time’ in 3A001.b.9.a. refers to the time from fully-off to fully operational, i.e., it includes the warm-up time of the MPM. - 10. Oscillators or oscillator assemblies, specified to operate with a single sideband (SSB) phase noise, in dBc/Hz, less (better) than -(126 + 20log10F – 20log10f) anywhere within the range of 10 Hz ≤ F ≤ 10 kHz; Technical Note: In 3A001.b.10., F is the offset from the operating frequency in Hz and f is the operating frequency in MHz. - 11. ‘Frequency synthesiser’‘electronic assemblies’ having a ‘frequency switching time’ as specified by any of the following: - a. Less than 143 ps; - b. Less than 100 μs for any frequency change exceeding 2,2 GHz within the synthesised 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 synthesised frequency range exceeding 31,8 GHz but not exceeding 37 GHz; - e. Less than 100 μs for any frequency change exceeding 2,2 GHz within the synthesised frequency range exceeding 37 GHz but not exceeding 90 GHz; or - f. Not used; - g. Less than 1 ms within the synthesized frequency range exceeding 90 GHz; Technical Note: A ‘frequency synthesiser’ is any kind of frequency source, regardless of the actual technique used, providing a multiplicity of simultaneous or alternative output frequencies, from one or more outputs, controlled by, derived from or disciplined by a lesser number of standard (or master) frequencies. NB:

For general purpose ‘signal analysers’, signal generators, network analysers and microwave test receivers, see 3A002.c., 3A002.d., 3A002.e. and 3A002.f., respectively. - 12. ‘Transmit/receive modules’, ‘transmit/receive MMICs’, ‘transmit modules’, and ‘transmit MMICs’, rated for operation at frequencies above 2,7 GHz and having all of the following: - a. A peak saturated power output (in watts), Psat, greater than 505,62 divided by the maximum operating frequency (in GHz) squared [Psat> 505,62 WGHz²/fGHz ²] for any channel; - b. A ‘fractional bandwidth’ of 5 % or greater for any channel; - c. Any planar side with length d (in cm) equal to or less than 15 divided by the lowest operating frequency in GHz [d ≤ 15cmGHzN/fGHz] where N is the number of transmit or transmit/receive channels; and - d. An electronically variable phase shifter per channel. Technical Notes: 1.*

A ‘transmit/receive module’: is a multifunction ‘electronic assembly’ that provides bi-directional amplitude and phase control for transmission and reception of signals. 2.

A ‘transmit module’: is an ‘electronic assembly’ that provides amplitude and phase control for transmission of signals. 3.

A ‘transmit/receive MMIC’: is a multifunction ‘MMIC’ that provides bi-directional amplitude and phase control for transmission and reception of signals. 4.

A ‘transmit MMIC’: is a ‘MMIC’ that provides amplitude and phase control for transmission of signals. 5.

2,7 GHz should be used as the lowest operating frequency (fGHz) in the formula in 3A001.b.12.c. for transmit/receive or transmit modules that have a rated operation range extending downward to 2,7 GHz and below [d≤ 15cmGHzN/2,7 GHz]. 6.

3A001.b.12. applies to ‘transmit/receive modules’ or ‘transmit modules’ with or without a heat sink. The value of d in 3A001.b.12.c. does not include any portion of the ‘transmit/receive module’ or ‘transmit module’ that functions as a heat sink. 7.

‘Transmit/receive modules’, or ‘transmit modules’, or ‘transmit/receive MMICs’ or ‘transmit MMICs’ may or may not have N integrated radiating antenna elements where N is the number of transmit or transmit/receive channels.

• c. Acoustic wave devices as follows and specially designed components therefor:
• 1. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices, having any of the following:
• a. A carrier frequency exceeding 6 GHz;
• b. A carrier frequency exceeding 1 GHz, but not exceeding 6 GHz and having any of the following:
• 1. A ‘frequency side-lobe rejection’ exceeding 65 dB;
• 1. A product of the maximum delay time and the bandwidth (time in μs and bandwidth in MHz) of more than 100;
• 1. A bandwidth greater than 250 MHz; or
• 1. A dispersive delay of more than 10 μs; or
• c. A carrier frequency of 1 GHz or less and having any of the following:
• 1. A product of the maximum delay time and the bandwidth (time in μs and bandwidth in MHz) of more than 100;
• 1. A dispersive delay of more than 10 μs; or
• 1. A ‘frequency side-lobe rejection’ exceeding 65 dB and a bandwidth greater than 100 MHz; Technical Note: ‘Frequency side-lobe rejection’ is the maximum rejection value specified in data sheet.
• 1. Bulk (volume) acoustic wave devices which permit the direct processing of signals at frequencies exceeding 6 GHz;
• 1. Acoustic-optic ‘signal processing’ devices employing interaction between acoustic waves (bulk wave or surface wave) and light waves which permit the direct processing of signals or images, including spectral analysis, correlation or convolution; Note:

3A001.c. does not control acoustic wave devices that are limited to a single band pass, low pass, high pass or notch filtering, or resonating function.