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)

• 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.

5E1Technology

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;
• 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 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. NB:

For ‘technology’ for the ‘development’ or ‘production’ of non-telecommunications equipment employing a laser, see 6E. - 3. Equipment employing ‘optical switching’ and having a switching time less than 1 ms; - 4. 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 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;
• 1. 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;
• 1. 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 %;
• 1. 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;
• 1. 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 %;
• 1. 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 %;
• 1. 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
• 1. 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.

5A2Systems, Equipment and Components

5A002 ‘Information security’ systems, equipment and components, as follows:

• NB:

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.; NB:

For operating systems, see also 5D002.a.1. and 5D002.c.1. - 4. 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 0,1 W (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.

5A003Systems, equipment and components, for non-cryptographic ‘information security’, as follows:

• a. Communications cable systems designed or modified using 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.

5A004Systems, 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. Note1:

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

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.

5B2Test, 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.

5C2Materials

None.

5D2Software

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. - 2. Equipment specified in 5A003; or - 3. 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.

5E2Technology

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.

CATEGORY 6 – SENSORS AND LASERS

6ASystems, Equipment and Components

6A001Acoustic 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; - 2. In-water propagation from sensor to the seabed and back; and - 3. 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. - 2. 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 - 2. ‘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; - 2. Designed to take measurements at an angle exceeding 20^o from the vertical; - 3. 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 - 4. ‘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; - 3. 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; - 2. 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; - 3. 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; - 4. Forming beams of less than 1° on any axis and having an operating frequency of less than 100 kHz; - 5. Designed to operate with an unambiguous display range exceeding 5 120  m; or - 6. 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. - 2. Not used; - 3. 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 - 2. 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; - 2. Determined position error of less than 15 m rms (root mean square) when measured at a range of 530 m; and - 3. Transmitted pulse signal bandwidth exceeding 3 kHz; NB:

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. - 2. 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; - 2. 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; - 3. 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; - 4. A ‘hydrophone sensitivity’ better than -180 dB at any depth with no acceleration compensation; - 5. Designed to operate at depths exceeding 35 m with acceleration compensation; or - 6. 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; - 2. 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. - 3. Heading sensors specified in 6A001.a.2.d.; - 4. Longitudinally reinforced array hoses; - 5. An assembled array of less than 40 mm in diameter; - 6. Not used; - 7. Hydrophone characteristics specified in 6A001.a.2.a.; or - 8. 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 - 2. Designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m; NB:

For inertial heading systems, see 7A003.c. - e. Bottom or bay-cable hydrophone arrays, having any of the following: - 1. Incorporating hydrophones specified in 6A001.a.2.a.; - 2. Incorporating multiplexed hydrophone group signal modules having all of the following characteristics: - a. Designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m; and - b. Capable of being operationally interchanged with towed acoustic hydrophone array modules; or - 3. Incorporating accelerometer-based hydro-acoustic sensors specified in 6A001.a.2.g.; - f. Processing equipment, specially designed for bottom or bay cable systems, 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; - g. Accelerometer-based hydro-acoustic sensors having all of the following: - 1. Composed of three accelerometers arranged along three distinct axes; - 2. Having an overall ‘acceleration sensitivity’ better than 48 dB (reference 1 000 mV rms per 1g); - 3. Designed to operate at depths greater than 35 meters; and - 4. Operating frequency below 20 kHz. Note:

6A001.a.2.g. does not control particle velocity sensors or geophones. Technical Notes: 1.

Accelerometer-based hydro-acoustic sensors are also known as vector sensors. 2.

‘Acceleration 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 hydro-acoustic sensor, without a preamplifier, is placed in a plane wave acoustic field with an rms acceleration of 1 g (i.e., 9,81 m/s²).

• b. Correlation-velocity and Doppler-velocity sonar log equipment, designed to measure the horizontal speed of the equipment carrier relative to the sea bed, as follows:
• 1. Correlation-velocity sonar log equipment having any of the following characteristics:
• a. Designed to operate at distances between the carrier and the sea bed exceeding 500 m; or
• b. Having speed ‘accuracy’ better than 1 % of speed;
• 1. Doppler-velocity sonar log equipment having speed ‘accuracy’ better than 1 % of speed. Note 1:

6A001.b. does not control depth sounders limited to any of the following: - a. Measuring the depth of water; - b. Measuring the distance of submerged or buried objects; or - c. Fish finding. Note 2:

6A001.b. does not control equipment specially designed for installation on surface vessels.

- c. Not used.

6A002Optical sensors or equipment and components therefor, as follows:

- NB:

SEE ALSO 6A102.

• a. Optical detectors as follows:
• 1. ‘Space-qualified’ solid-state detectors as follows: Note: For the purpose of 6A002.a.1., solid-state detectors include ‘focal plane arrays’.
• a. ‘Space-qualified’ solid-state detectors having all of the following:
• 1. A peak response in the wavelength range exceeding 10 nm but not exceeding 300 nm; and
• 1. A response of less than 0,1 % relative to the peak response at a wavelength exceeding 400 nm;
• b. ‘Space-qualified’ solid-state detectors having all of the following:
• 1. A peak response in the wavelength range exceeding 900 nm but not exceeding 1 200 nm; and
• 1. A response ‘time constant’ of 95 ns or less;
• c. ‘Space-qualified’ solid-state detectors having a peak response in the wavelength range exceeding 1 200 nm but not exceeding 30 000 nm;
• d. ‘Space-qualified’‘focal plane arrays’ having more than 2 048 elements per array and having a peak response in the wavelength range exceeding 300 nm but not exceeding 900 nm;
• 1. Image intensifier tubes and specially designed components therefor, as follows: Note:

6A002.a.2. does not control non-imaging photomultiplier tubes having an electron sensing device in the vacuum space limited solely to any of the following: - a. A single metal anode; or - b. Metal anodes with a centre to centre spacing greater than 500 μm. Technical Note: ‘Charge multiplication’ is a form of electronic image amplification and is defined as the generation of charge carriers as a result of an impact ionization gain process. ‘Charge multiplication’ sensors may take the form of an image intensifier tube, solid state detector or ‘focal plane array’. - a. Image intensifier tubes having all of the following: - 1. A peak response in the wavelength range exceeding 400 nm but not exceeding 1 050  nm; - 2. Electron image amplification using any of the following: - a. A microchannel plate with a hole pitch (centre-to-centre spacing) of 12 μm or less; or - b. An electron sensing device with a non-binned pixel pitch of 500 μm or less, specially designed or modified to achieve ‘charge multiplication’ other than by a microchannel plate; and - 3. Any of the following photocathodes: - a. Multialkali photocathodes (e.g., S-20 and S-25) having a luminous sensitivity exceeding 350 μA/lm; - b. GaAs or GaInAs photocathodes; or - c. Other ‘III/V compound’ semiconductor photocathodes having a maximum ‘radiant sensitivity’ exceeding 10 mA/W; - b. Image intensifier tubes having all of the following: - 1. A peak response in the wavelength range exceeding 1 050  nm but not exceeding 1 800  nm; - 2. Electron image amplification using any of the following: - a. A microchannel plate with a hole pitch (centre-to-centre spacing) of 12 μm or less; or - b. An electron sensing device with a non-binned pixel pitch of 500 μm or less, specially designed or modified to achieve ‘charge multiplication’ other than by a microchannel plate; and - 3. ‘III/V compound’ semiconductor (e.g., GaAs or GaInAs) photocathodes and transferred electron photocathodes, having a maximum ‘radiant sensitivity’ exceeding 15 mA/W; - c. Specially designed components as follows: - 1. Microchannel plates having a hole pitch (centre-to-centre spacing) of 12 μm or less; - 2. An electron sensing device with a non-binned pixel pitch of 500 μm or less, specially designed or modified to achieve ‘charge multiplication’ other than by a microchannel plate; - 3. ‘III/V compound’ semiconductor (e.g., GaAs or GaInAs) photocathodes and transferred electron photocathodes; Note:

6A002.a.2.c.3. does not control compound semiconductor photocathodes designed to achieve a maximum ‘radiant sensitivity’ of any of the following: - a. 10 mA/W or less at the peak response in the wavelength range exceeding 400 nm but not exceeding 1 050  nm; or - b. 15 mA/W or less at the peak response in the wavelength range exceeding 1 050  nm but not exceeding 1 800  nm. - 3. Non-‘space-qualified’‘focal plane arrays’ as follows: NB:

*‘Microbolometer’ non-‘space-qualified’

‘focal plane arrays’ are only specified in 6A002.a.3.f. Technical Note: Linear or two-dimensional multi-element detector arrays are referred to as ‘focal plane arrays’; Note 1:*

6A002.a.3. includes photoconductive arrays and photovoltaic arrays. Note 2:

6A002.a.3. does not control: - a. Multi-element (not to exceed 16 elements) encapsulated photoconductive cells using either lead sulphide or lead selenide; - b. Pyroelectric detectors using any of the following: - 1. Triglycine sulphate and variants; - 2. Lead-lanthanum-zirconium titanate and variants; - 3. Lithium tantalate; - 4. Polyvinylidene fluoride and variants; or - 5. Strontium barium niobate and variants; - c. ‘Focal plane arrays’ specially designed or modified to achieve ‘charge multiplication’ and limited by design to have a maximum ‘radiant sensitivity’ of 10 mA/W or less for wavelengths exceeding 760 nm, having all of the following: - 1. Incorporating a response limiting mechanism designed not to be removed or modified; and - 2. Any of the following: - a. The response limiting mechanism is integral to or combined with the detector element; or - b. The ‘focal plane array’ is only operable with the response limiting mechanism in place. Technical Note: A response limiting mechanism integral to the detector element is designed not to be removed or modified without rendering the detector inoperable. - d. Thermopile arrays having less than 5 130 elements. Technical Note: ‘Charge multiplication’ is a form of electronic image amplification and is defined as the generation of charge carriers as a result of an impact ionization gain process. ‘Charge multiplication’ sensors may take the form of an image intensifier tube, solid state detector or ‘focal plane array’. - a. Non-‘space-qualified’‘focal plane arrays’ having all of the following: - 1. Individual elements with a peak response within the wavelength range exceeding 900 nm but not exceeding 1 050  nm; and - 2. Any of the following: - a. A response ‘time constant’ of less than 0,5 ns; or - b. Specially designed or modified to achieve ‘charge multiplication’ and having a maximum ‘radiant sensitivity’ exceeding 10 mA/W; - b. Non-‘space-qualified’‘focal plane arrays’ having all of the following: - 1. Individual elements with a peak response in the wavelength range exceeding 1 050  nm but not exceeding 1 200  nm; and - 2. Any of the following: - a. A response ‘time constant’ of 95 ns or less; or - b. Specially designed or modified to achieve ‘charge multiplication’ and having a maximum ‘radiant sensitivity’ exceeding 10 mA/W; - c. Non-‘space-qualified’ non-linear (2-dimensional) ‘focal plane arrays’ having individual elements with a peak response in the wavelength range exceeding 1 200  nm but not exceeding 30 000  nm; NB:

Silicon and other material based ‘microbolometer’ non-‘space-qualified’ ‘focal plane arrays’ are only specified in 6A002.a.3.f. - d. Non-‘space-qualified’ linear (1-dimensional) ‘focal plane arrays’ having all of the following: - 1. Individual elements with a peak response in the wavelength range exceeding 1 200  nm but not exceeding 3 000  nm; and - 2. Any of the following: - a. A ratio of ‘scan direction’ dimension of the detector element to the ‘cross-scan direction’ dimension of the detector element of less than 3,8; or - b. Signal processing in the detector elements; Note:

6A002.a.3.d. does not control ‘focal plane arrays’ (not to exceed 32 elements) having detector elements limited solely to germanium material. Technical Note: For the purposes of 6A002.a.3.d., ‘cross-scan direction’ is defined as the axis parallel to the linear array of detector elements and the ‘scan direction’ is defined as the axis perpendicular to the linear array of detector elements. - e. Non-‘space-qualified’ linear (1-dimensional) ‘focal plane arrays’ having individual elements with a peak response in the wavelength range exceeding 3 000  nm but not exceeding 30 000  nm; - f. Non-‘space-qualified’ non-linear (2-dimensional) infrared ‘focal plane arrays’ based on ‘microbolometer’ material having individual elements with an unfiltered response in the wavelength range equal to or exceeding 8 000  nm but not exceeding 14 000  nm; Technical Note: For the purposes of 6A002.a.3.f., ‘microbolometer’ is defined as a thermal imaging detector that, as a result of a temperature change in the detector caused by the absorption of infrared radiation, is used to generate any usable signal. - g. Non-‘space-qualified’‘focal plane arrays’ having all of the following: - 1. Individual detector elements with a peak response in the wavelength range exceeding 400 nm but not exceeding 900 nm; - 2. Specially designed or modified to achieve ‘charge multiplication’ and having a maximum ‘radiant sensitivity’ exceeding 10 mA/W for wavelengths exceeding 760 nm; and - 3. Greater than 32 elements;

• b. ‘Monospectral imaging sensors’ and ‘multispectral imaging sensors’, designed for remote sensing applications and having any of the following:
• 1. An Instantaneous-Field-Of-View (IFOV) of less than 200 μrad (microradians); or
• 1. Specified for operation in the wavelength range exceeding 400 nm but not exceeding 30 000 nm and having all the following;
• a. Providing output imaging data in digital format; and
• b. Having any of the following characteristics:
• 1. ‘Space-qualified’; or
• 1. Designed for airborne operation, using other than silicon detectors, and having an IFOV of less than 2,5 mrad (milliradians); Note: 6A002.b.1. does not control ‘monospectral imaging sensors’ with a peak response in the wavelength range exceeding 300 nm but not exceeding 900 nm and only incorporating any of the following non–‘space-qualified’ detectors or non–‘space-qualified’ ‘focal plane arrays’:
• 1. Charge Coupled Devices (CCD) not designed or modified to achieve ‘charge multiplication’; or
• 1. Complementary Metal Oxide Semiconductor (CMOS) devices not designed or modified to achieve ‘charge multiplication’.

• c. ‘Direct view’ imaging equipment incorporating any of the following:
• 1. Image intensifier tubes specified in 6A002.a.2.a. or 6A002.a.2.b.;
• 1. ‘Focal plane arrays’ specified in 6A002.a.3.; or
• 1. Solid state detectors specified in 6A002.a.1.; Technical Note: ‘Direct view’ refers to imaging equipment that presents a visual image to a human observer without converting the image into an electronic signal for television display, and that cannot record or store the image photographically, electronically or by any other means. Note: 6A002.c. does not control equipment as follows, when incorporating other than GaAs or GaInAs photocathodes:
• a. Industrial or civilian intrusion alarm, traffic or industrial movement control or counting systems;
• b. Medical equipment;
• c. Industrial equipment used for inspection, sorting or analysis of the properties of materials;
• d. Flame detectors for industrial furnaces;
• e. Equipment specially designed for laboratory use.

• d. Special support components for optical sensors, as follows:
• 1. ‘Space-qualified’ cryocoolers;
• 1. Non-‘space-qualified’ cryocoolers having a cooling source temperature below 218 K (– 55 °C), as follows:
• a. Closed cycle type with a specified Mean-Time-To-Failure (MTTF) or Mean-Time-Between-Failures (MTBF), exceeding 2 500 hours;
• b. Joule-Thomson (JT) self-regulating minicoolers having bore (outside) diameters of less than 8 mm;
• 1. Optical sensing fibres specially fabricated either compositionally or structurally, or modified by coating, to be acoustically, thermally, inertially, electromagnetically or nuclear radiation sensitive; Note: 6A002.d.3. does not control encapsulated optical sensing fibres specially designed for bore hole sensing applications.

• e. Not used.

• f. ‘Read-out integrated circuits’ (‘ROIC’) specially designed for ‘focal plane arrays’ specified in 6A002.a.3. Note: 6A002.f. does not control ‘read-out integrated circuits’ specially designed for civil automotive applications. Technical Note: A ‘Read-Out Integrated Circuit’ (‘ROIC’) is an integrated circuit designed to underlie or be bonded to a ‘focal plane array’ (‘FPA’) and used to read-out (i.e., extract and register) signals produced by the detector elements. At a minimum the 'ROIC' reads the charge from the detector elements by extracting the charge and applying a multiplexing function in a manner that retains the relative spatial position and orientation information of the detector elements for processing inside or outside the ‘ROIC’.

6A003Cameras, systems or equipment, and components therefor, as follows:

• NB:

SEE ALSO 6A203.

• a. Instrumentation cameras and specially designed components therefor, as follows: Note:

Instrumentation cameras, specified in 6A003.a.3. to 6A003.a.5., with modular structures should be evaluated by their maximum capability, using plug-ins available according to the camera manufacturer’s specifications. - 1. Not used; - 2. Not used; - 3. Electronic streak cameras having temporal resolution better than 50 ns; - 4. Electronic framing cameras having a speed exceeding 1 000 000 frames/s; - 5. Electronic cameras having all of the following: - a. An electronic shutter speed (gating capability) of less than 1 μs per full frame; and - b. A read out time allowing a framing rate of more than 125 full frames per second; - 6. Plug-ins having all of the following characteristics: - a. Specially designed for instrumentation cameras which have modular structures and which are specified in 6A003.a.; and - b. Enabling these cameras to meet the characteristics specified in 6A003.a.3., 6A003.a.4., or 6A003.a.5., according to the manufacturer’s specifications;

• b. Imaging cameras as follows: Note:

6A003.b. does not control television or video cameras, specially designed for television broadcasting. - 1. Video cameras incorporating solid state sensors, having a peak response in the wavelength range exceeding 10 nm, but not exceeding 30 000  nm and having all of the following: - a. Having any of the following: - 1. More than 4 × 10⁶‘active pixels’ per solid state array for monochrome (black and white) cameras; - 2. More than 4 × 10⁶‘active pixels’ per solid state array for colour cameras incorporating three solid state arrays; or - 3. More than 12 × 10⁶‘active pixels’ for solid state array colour cameras incorporating one solid state array; and - b. Having any of the following: - 1. Optical mirrors specified in 6A004.a.; - 2. Optical control equipment specified in 6A004.d.; or - 3. The capability for annotating internally generated ‘camera tracking data’; Technical Notes: 1.

For the purpose of this entry, digital video cameras should be evaluated by the maximum number of ‘active pixels’ used for capturing moving images. 2.

For the purpose of this entry, ‘camera tracking data’ is the information necessary to define camera line of sight orientation with respect to the earth. This includes: 1) the horizontal angle the camera line of sight makes with respect to the earth’s magnetic field direction and; 2) the vertical angle between the camera line of sight and the earth’s horizon. - 2. Scanning cameras and scanning camera systems, having all of the following: - a. A peak response in the wavelength range exceeding 10 nm, but not exceeding 30 000  nm; - b. Linear detector arrays with more than 8 192 elements per array; and - c. Mechanical scanning in one direction; Note:

6A003.b.2. does not control scanning cameras and scanning camera systems, specially designed for any of the following: - a. Industrial or civilian photocopiers; - b. Image scanners specially designed for civil, stationary, close proximity scanning applications (e.g., reproduction of images or print contained in documents, artwork or photographs); or - c. Medical equipment. - 3. Imaging cameras incorporating image intensifier tubes specified in 6A002.a.2.a. or 6A002.a.2.b.; - 4. Imaging cameras incorporating ‘focal plane arrays’ having any of the following: - a. Incorporating ‘focal plane arrays’ specified in 6A002.a.3.a. to 6A002.a.3.e.; - b. Incorporating ‘focal plane arrays’ specified in 6A002.a.3.f.; or - c. Incorporating ‘focal plane arrays’ specified in 6A002.a.3.g.; Note 1:

Imaging cameras specified in 6A003.b.4. include ‘focal plane arrays’ combined with sufficient ‘signal processing’ electronics, beyond the read out integrated circuit, to enable as a minimum the output of an analogue or digital signal once power is supplied. Note 2:

6A003.b.4.a. does not control imaging cameras incorporating linear ‘focal plane arrays’ with 12 elements or fewer, not employing time-delay-and-integration within the element and designed for any of the following: - a. Industrial or civilian intrusion alarm, traffic or industrial movement control or counting systems; - b. Industrial equipment used for inspection or monitoring of heat flows in buildings, equipment or industrial processes; - c. Industrial equipment used for inspection, sorting or analysis of the properties of materials; - d. Equipment specially designed for laboratory use; or - e. Medical equipment. Note 3:

6A003.b.4.b. does not control imaging cameras having any of the following: - a. A maximum frame rate equal to or less than 9 Hz; - b. Having all of the following: - 1. Having a minimum horizontal or vertical ‘Instantaneous-Field-of-View (IFOV)’ of at least 2 mrad (milliradians); - 2. Incorporating a fixed focal-length lens that is not designed to be removed; - 3. Not incorporating a ‘direct view’ display, and - 4. Having any of the following: - a. No facility to obtain a viewable image of the detected field-of-view, or - b. The camera is designed for a single kind of application and designed not to be user modified; or - c. The camera is specially designed for installation into a civilian passenger land vehicle and having all of the following: - 1. The placement and configuration of the camera within the vehicle are solely to assist the driver in the safe operation of the vehicle; - 2. Is only operable when installed in any of the following: - a. The civilian passenger land vehicle for which it was intended and the vehicle weighs less than 4 500  kg (gross vehicle weight); or - b. A specially designed, authorized maintenance test facility; and - 3. Incorporates an active mechanism that forces the camera not to function when it is removed from the vehicle for which it was intended. Technical Notes: 1.

‘Instantaneous Field of View (IFOV)’ specified in 6A003.b.4. Note 3.b. is the lesser figure of the ‘Horizontal IFOV’ or the ‘Vertical IFOV’. ‘Horizontal IFOV’ = horizontal Field of View (FOV)/number of horizontal detector elements ‘Vertical IFOV’ = vertical Field of View (FOV)/number of vertical detector elements. 2.

‘Direct view’ in 6A003.b.4. Note 3.b. refers to an imaging camera operating in the infrared spectrum that presents a visual image to a human observer using a near-to-eye micro display incorporating any light-security mechanism. Note 4:

6A003.b.4.c. does not control imaging cameras having any of the following: - a. Having all of the following: - 1. Where the camera is specially designed for installation as an integrated component into indoor and wall-plug-operated systems or equipment, limited by design for a single kind of application, as follows; - a. Industrial process monitoring, quality control, or analysis of the properties of materials; - b. Laboratory equipment specially designed for scientific research; - c. Medical equipment; - d. Financial fraud detection equipment; and - 2. Is only operable when installed in any of the following: - a. The system(s) or equipment for which it was intended; or - b. A specially designed, authorised maintenance facility; and - 3. Incorporates an active mechanism that forces the camera not to function when it is removed from the system(s) or equipment for which it was intended; - b. Where the camera is specially designed for installation into a civilian passenger land vehicle or passenger and vehicle ferries, and having all of the following: - 1. The placement and configuration of the camera within the vehicle or ferry is solely to assist the driver or operator in the safe operation of the vehicle or ferry; - 2. Is only operable when installed in any of the following: - a. The civilian passenger land vehicle for which it was intended and the vehicle weighs less than 4 500  kg (gross vehicle weight); - b. The passenger and vehicle ferry for which it was intended and having a length overall (LOA) 65 m or greater; or - c. A specially designed, authorised maintenance test facility; and - 3. Incorporates an active mechanism that forces the camera not to function when it is removed from the vehicle for which it was intended; - c. Limited by design to have a maximum ‘radiant sensitivity’ of 10 mA/W or less for wavelengths exceeding 760 nm, having all of the following: - 1. Incorporating a response limiting mechanism designed not to be removed or modified; - 2. Incorporates an active mechanism that forces the camera not to function when the response limiting mechanism is removed; and - 3. Not specially designed or modified for underwater use: or - d. Having all of the following: - 1. Not incorporating a ‘direct view’ or electronic image display; - 2. Has no facility to output a viewable image of the detected field of view; - 3. The ‘focal plane array’ is only operable when installed in the camera for which it was intended; and - 4. The ‘focal plane array’ incorporates an active mechanism that forces it to be permanently inoperable when removed from the camera for which it was intended - 5. Imaging cameras incorporating solid-state detectors specified in 6A002.a.1.

6A004Optical equipment and components, as follows:

• a. Optical mirrors (reflectors) as follows: Technical Note: For the purpose of 6A004.a., Laser Induced Damage Threshold (LIDT) is measured according to ISO 21254-1:2011. NB:

For optical mirrors specially designed for lithography equipment, see 3B001. - 1. ‘Deformable mirrors’ having an active optical aperture greater than 10 mm and having any of the following, and specially designed components therefor, - a. Having all the following: - 1. A mechanical resonant frequency of 750 Hz or more; and - 2. More than 200 actuators; or - b. A Laser Induced Damage Threshold (LIDT) being any of the following: - 1. Greater than 1 kW/cm² using a ‘CW laser’; or - 2. Greater than 2 J/cm² using 20 ns ‘laser’ pulses at 20 Hz repetition rate; Technical Note: ‘Deformable mirrors’ are mirrors having any of the following: - a. A single continuous optical reflecting surface which is dynamically deformed by the application of individual torques or forces to compensate for distortions in the optical waveform incident upon the mirror; or - b. Multiple optical reflecting elements that can be individually and dynamically repositioned by the application of torques or forces to compensate for distortions in the optical waveform incident upon the mirror. ‘Deformable mirrors’ are also known as adaptive optic mirrors. - 2. Lightweight monolithic mirrors having an average ‘equivalent density’ of less than 30 kg/ m² and a total mass exceeding 10 kg; Note: 6A004.a.2. does not control mirrors specially designed to direct solar radiation for terrestrial heliostat installations. - 3. Lightweight ‘composite’ or foam mirror structures having an average ‘equivalent density’ of less than 30 kg/m² and a total mass exceeding 2 kg; Note: 6A004.a.3. does not control mirrors specially designed to direct solar radiation for terrestrial heliostat installations. - 4. Mirrors specially designed for beam steering mirror stages specified in 6A004.d.2.a. with a flatness of λ/10 or better (λ is equal to 633 nm)and having any of the following - a. Diameter or major axis length greater than or equal to 100 mm; or - b. Having all of the following: - 1. Diameter or major axis length greater than 50 mm but less than 100 mm; and - 2. A Laser Induced Damage Threshold (LIDT) being any of the following: - a. Greater than 10 kW/cm² using a ‘CW laser’; or - b. Greater than 20 J/cm² using 20 ns ‘laser’ pulses at 20 Hz repetition rate;

- b. Optical components made from zinc selenide (ZnSe) or zinc sulphide (ZnS) with transmission in the wavelength range exceeding 3 000  nm but not exceeding 25 000  nm and having any of the following:

• 1. Exceeding 100 cm³ in volume; or
• 1. Exceeding 80 mm in diameter or length of major axis and 20 mm in thickness (depth);

• c. ‘Space-qualified’ components for optical systems, as follows:
• 1. Components lightweighted to less than 20 % ‘equivalent density’ compared with a solid blank of the same aperture and thickness;
• 1. Raw substrates, processed substrates having surface coatings (single-layer or multi-layer, metallic or dielectric, conducting, semiconducting or insulating) or having protective films;
• 1. Segments or assemblies of mirrors designed to be assembled in space into an optical system with a collecting aperture equivalent to or larger than a single optic 1 m in diameter;
• 1. Components manufactured from ‘composite’ materials having a coefficient of linear thermal expansion, in any coordinate direction, equal to or less than 5 × 10^–6/K;

• d. Optical control equipment as follows:
• 1. Equipment specially designed to maintain the surface figure or orientation of the ‘space-qualified’ components specified in 6A004.c.1. or 6A004.c.3.;
• 1. Steering, tracking, stabilisation and resonator alignment equipment as follows
• a. Beam steering mirror stages designed to carry mirrors having diameter or major axis length greater than 50 mm and having all of the following, and specially designed electronic control equipment therefor:
• 1. A maximum angular travel of ± 26 mrad or more;
• 1. A mechanical resonant frequency of 500 Hz or more; and
• 1. An angular ‘accuracy’ of 10 μrad (microradians) or less (better);
• b. Resonator alignment equipment having bandwidths equal to or more than 100 Hz and an ‘accuracy’ of 10 μrad or less (better);
• 1. Gimbals having all of the following:
• a. A maximum slew exceeding 5°;
• b. A bandwidth of 100 Hz or more;
• c. Angular pointing errors of 200 μrad (microradians) or less; and
• d. Having any of the following:
• 1. Exceeding 0,15 m but not exceeding 1 m in diameter or major axis length and capable of angular accelerations exceeding 2 rad (radians)/s²; or
• 1. Exceeding 1 m in diameter or major axis length and capable of angular accelerations exceeding 0,5 rad (radians)/s²;
• 1. Not used

• e. ‘Aspheric optical elements’ having all of the following:
• 1. Largest dimension of the optical-aperture greater than 400 mm;
• 1. Surface roughness less than 1 nm (rms) for sampling lengths equal to or greater than 1 mm; and
• 1. Coefficient of linear thermal expansion’s absolute magnitude less than 3 × 10^–6/K at 25 °C. Technical Notes: 1.

An ‘aspheric optical element’ is any element used in an optical system whose imaging surface or surfaces are designed to depart from the shape of an ideal sphere. 2.

Manufacturers are not required to measure the surface roughness listed in 6A004.e.2. unless the optical element was designed or manufactured with the intent to meet, or exceed, the control parameter. Note