LegalizeRegulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast)
a. Designed for operation at an ambient temperature below 1 K (-272,15 °C); b. Designed for operation at any frequency from 2 GHz up to and including 15 GHz; and c. A noise figure less (better) than 0,015 dB at any frequency from 2 GHz up to and including 15 GHz at 1 K (-272,15 °C). Note:
Parametric signal amplifiers include Travelling Wave Parametric Amplifiers (TWPAs). Technical Note: For the purposes of 3A501.b.13., parametric signal amplifiers may also be referred to as Quantum-limited amplifiers (QLAs).
3A502General purpose "electronic assemblies", modules and equipment, as follows:
i. "Electronic assemblies", modules or equipment, containing one or more 'user configurable' Field Programmable Logic Devices (FPLDs) and having an 'aggregate lookup table input count' of greater than or equal to 1 800 000 . N.B.
For items having FPLDs that are combined with an Analogue-to-Digital Converter (ADC), rated for extended operating temperatures or are radiation hardened, or have cryptographic functionality, see 3A002.h., 4A001.a., and 5A002.a. respectively. Technical Notes: For the purposes of 3A502.i.: 1. 'User configurable' means a user can configure or modify the logic cells or interconnects between logic cells within the FPLD logic fabric to prescribe the specific function that the 3A502.i. item performs. 2. 'Aggregate lookup table input count' is the sum of the number of independent inputs available to each programmable lookup table (LUT), as accumulated across all physical LUTs contained within a FPLD or other programmable item. An example is: a circuit board containing 2 FPGAs, each having 150 000 programmable LUTs with 6 inputs, would have an 'aggregate lookup table input count' of 2 × 150 000 × 6 = 1 800 000 .
3A504Cryogenic cooling systems and components, as follows:
a. Systems rated to provide a cooling power greater than or equal to 600 μW at or below a temperature of 0,1 K (-273,05 °C) for a period of greater than 48 hours;
b. Two-stage pulse tube cryocoolers rated to maintain a temperature below 4 K (-269,15 °C) and provide a cooling power greater than or equal to 1,5 W at or below a temperature of 4,2 K (-268,95 °C).
3B001Equipment for the manufacturing of semiconductor devices or materials, as follows and specially designed components and accessories therefor:
N.B.
SEE ALSO 2B226
a. Equipment designed for epitaxial growth as follows:
Equipment designed or modified to produce a layer of any material other than silicon with a thickness uniform to less than ± 2,5 % across a distance of 75 mm or more;
Note:
3B001.a.1. includes Atomic Layer Epitaxy (ALE) equipment.
Metal Organic Chemical Vapour Deposition (MOCVD) reactors designed for compound semiconductor epitaxial growth of material having two or more of the following elements: aluminium, gallium, indium, arsenic, phosphorus, antimony, oxygen or nitrogen;
Molecular beam epitaxial growth equipment using gas or solid sources;
N.B.
For equipment designed for epitaxial growth of silicon (Si) or silicon germanium (SiGe), see 3B501.a.4.
b. Equipment designed for ion implantation and having any of the following:
Not used;
Being designed and optimised to operate at a beam energy of 20 keV or more and a beam current of 10 mA or more for hydrogen, deuterium or helium implant;
Direct write capability;
A beam energy of 65 keV or more and a beam current of 45 mA or more for high energy oxygen implant into a heated semiconductor material "substrate"; or
Being designed and optimised to operate at a beam energy of 20 keV or more and a beam current of 10 mA or more for silicon implant into a semiconductor material "substrate" heated to 600 °C or greater;
c. Not used;
d. Not used;
e. Automatic loading multi-chamber central wafer handling systems having all of the following:
Interfaces for wafer input and output, to which more than two functionally different 'semiconductor process tools' specified in 3B001.a.1., 3B001.a.2., 3B001.a.3. or 3B001.b. are designed to be connected; and
Designed to form an integrated system in a vacuum environment for 'sequential multiple wafer processing';
Note:
3B001.e. does not control automatic robotic wafer handling systems specially designed for parallel wafer processing. Technical Notes: 1.
For the purposes of 3B001.e.1., 'semiconductor process tools' refers to modular tools that provide physical processes for semiconductor "production" that are functionally different, such as deposition, implant or thermal processing. 2.
For the purposes of 3B001.e.2., 'sequential multiple wafer processing' means the capability to process each wafer in different 'semiconductor process tools', such as by transferring each wafer from one tool to a second tool and on to a third tool with the automatic loading multi-chamber central wafer handling systems.
f. Lithography equipment as follows:
Align and expose step and repeat (direct step on wafer) or step and scan (scanner) equipment for wafer processing using photo-optical or X-ray methods and having any of the following:
a. A light source wavelength shorter than 193 nm; or b. Capable of producing a pattern with a 'Minimum Resolvable Feature size' (MRF) of 45 nm or less; Technical Note: For the purposes of 3B001.f.1.b., the 'Minimum Resolvable Feature size' (MRF) is calculated by the following formula: MRF = where the K factor = 0,35. N.B.
SEE ALSO 3B501.f.
Imprint lithography equipment capable of producing features of 45 nm or less;
Note:
3B001.f.2. includes: — Micro contact printing tools; — Hot embossing tools; — Nano-imprint lithography tools; — Step and flash imprint lithography (S-FIL) tools.
Equipment specially designed for mask making having all of the following:
a. A deflected focussed electron beam, ion beam or "laser" beam; and b. Having any of the following:
A full-width half-maximum (FWHM) spot size smaller than 65 nm and an image placement less than 17 nm (mean + 3 sigma); or
Not used;
A second-layer overlay error of less than 23 nm (mean + 3 sigma) on the mask;
Equipment designed for device processing using direct writing methods, having all of the following:
a. A deflected focused electron beam; and b. Having any of the following:
A minimum beam size equal to or smaller than 15 nm; or
An overlay error less than 27 nm (mean + 3 sigma);
g. Masks and reticles, designed for integrated circuits specified in 3A001;
h. Multi-layer masks with a phase shift layer not specified in 3B001.g. and designed to be used by lithography equipment having a light source wavelength less than 245 nm; Note:
3B001.h. does not control multi-layer masks with a phase shift layer designed for the fabrication of memory devices not specified in 3A001. N.B.
For masks and reticles, specially designed for optical sensors, see 6B002.
i. Imprint lithography templates designed for integrated circuits specified in 3A001;
j. Mask "substrate blanks" with multilayer reflector structure consisting of molybdenum and silicon, and having all of the following:
Specially designed for ‘Extreme Ultraviolet’ (‘EUV’) lithography; and
Compliant with SEMI Standard P37.
Technical Note: For the purposes of 3B001.j., 'Extreme Ultraviolet' ('EUV') refers to electromagnetic spectrum wavelengths greater than 5 nm and less than 124 nm.
3B002Test equipment specially designed for testing finished or unfinished semiconductor devices as follows and specially designed components and accessories therefor:
a. For testing S-parameters of items specified in 3A001.b.3.;
b. Not used;
c. For testing items specified in 3A001.b.2.
3B501Equipment for the manufacturing of semiconductor devices or materials, as follows and specially designed components and accessories therefor:
a. Equipment designed for epitaxial growth as follows:
Equipment designed for epitaxial growth of silicon (Si) or silicon germanium (SiGe), and having all of the following:
a. At least one preclean chamber designed to provide a surface preparation means to clean the surface of the wafer; and b. An epitaxial deposition chamber designed to operate at a temperature below 958 K (685 °C). Note:
3B501.a.4. includes Atomic Layer Epitaxy (ALE) equipment.
f. Lithography equipment as follows:
Align and expose step and repeat (direct step on wafer) or step and scan (scanner) equipment for wafer processing using photo-optical or X-ray methods and having any of the following:
a. Not used; b. Having all of the following:
A light source wavelength equal to or longer than 193 nm;
Capable of producing a pattern with a 'Minimum Resolvable Feature size' ('MRF') of 45 nm or less; and
A maximum 'dedicated chuck overlay' value of less than or equal to 1,50 nm
Technical Notes: For the purposes of 3B501.f.1.b.: 1. The 'Minimum Resolvable Feature size' (‘MRF’) is calculated by the following formula: where, the K factor = 0,25. 'MRF' is also known as resolution. 2. 'Dedicated chuck overlay' is the alignment accuracy of a new pattern to an existing pattern printed on a wafer by the same lithographic system. 'Dedicated chuck overlay' is also known as single machine overlay. N.B.
SEE ALSO 3B001.f.1.
k. Equipment designed for dry etching having any of the following:
Equipment designed or modified for isotropic dry etching, having a largest 'silicon germanium-to-silicon (SiGe:Si) etch selectivity' of greater than or equal to 100:1; or
Equipment designed or modified for anisotropic dry etching, having all of the following;
a. Radio Frequency (RF) power source(s) with at least one pulsed RF output; b. One or more fast gas switching valve(s) with switching time less than 300 milliseconds; and c. Electrostatic chuck with twenty or more individually controllable variable temperature elements. Note 1:
3B501.k. includes etching by 'radicals', ions, sequential reactions, or non-sequential reaction. Note 2:
3B501.k.2. includes etching using RF pulse excited plasma, pulsed duty cycle excited plasma, pulsed voltage on electrodes modified plasma, cyclic injection and purging of gases combined with a plasma, plasma atomic layer etching, or plasma quasi-atomic layer etching.
Technical Notes: For the purposes of 3B501.k.: 1.
'Silicon germanium-to-silicon (SiGe:Si) etch selectivity' is measured for a germanium concentration of greater than or equal to 30 % (Si0,70 Ge0,30).
2.
'Radical' is defined as an atom, molecule, or ion that has an unpaired electron in an open electron shell configuration.
l. ‘Extreme Ultraviolet’ (‘EUV’) masks and ‘EUV’ reticles, designed for integrated circuits, not specified by 3B001.g., and having a mask "substrate blank" specified by 3B001.j.; Technical Notes: 1.
For the purposes of 3B501.l., masks or reticles with a mounted pellicle are considered masks and reticles. 2.
For the purposes of 3B501.l., 'Extreme Ultraviolet' ('EUV') refers to electromagnetic spectrum wavelengths greater than 5 nm and less than 124 nm.
m. 'Pellicles' specially designed for ‘EUV’ lithography. Technical Notes: 1.
For the purposes of 3B501.m., a 'pellicle' is a membrane integrated with a frame, designed to protect a mask or reticle from particle contamination. 2.
For the purposes of 3B501.m., 'Extreme Ultraviolet' ('EUV') refers to electromagnetic spectrum wavelengths greater than 5 nm and less than 124 nm.
n. Semiconductor manufacturing deposition equipment as follows:
Atomic Layer Deposition (ALD) equipment as follows:
a. Equipment designed for the deposition of tungsten to fill an entire interconnect or in a channel less than 40 nm wide; b. Equipment designed for 'area selective deposition' of a metal or metal nitride sidewall barrier using an organometallic compound precursor; Technical Note: For the purposes of 3B501.n.1.b., 'area selective deposition' refers to the deposition of material on the sidewall but not the bottom of a feature. c. Equipment designed for the deposition of a 'work function metal' composed of titanium aluminium carbide (TiAlC) and having a work function greater than 4,0 eV, and having all of the following:
More than one metal source of which one is functioning as an aluminium precursor source; and
A precursor vessel designed to operate at a temperature greater than or equal to 303,15 K (30 °C);
Technical Note: For the purposes of 3B501.n.1.c., 'work function metal' is a material that controls the threshold voltage of a transistor.
Equipment designed for cobalt electroplating or cobalt electroless-plating deposition processes;
Equipment designed for Chemical Vapour Deposition (CVD) of cobalt fill metal;
Equipment designed for 'selective bottom-up' Chemical Vapour Deposition (CVD) of tungsten fill metal;
Technical Note: For the purposes of 3B501.n.4., 'selective bottom-up' refers to the preferential deposition of material on the bottom relative to the sidewall.
Equipment designed for void-free plasma enhanced deposition of a layer with a dielectric constant less than 3,3, in 'gaps' having an 'aspect ratio' equal to or greater than 1:1 and a width less than 25 nm;
Technical Notes: For the purposes of 3B501.n.5.: 1.
A 'gap' is the space between metal lines. 2.
The 'aspect ratio' (depth : width) is defined as the ratio of the depth to the width of the gap between the metal lines.
Equipment designed for the deposition of a ruthenium layer using an organometallic compound precursor, while maintaining the wafer substrate at a temperature greater than 293,15 K (20 °C) and less than 773,15 K (500 °C);
Equipment designed for multistep processing in multiple chambers and maintaining high vacuum or inert environment during transfer between process steps, as follows:
a. Equipment designed to fabricate a metal contact by performing all of the following processes:
Surface treatment plasma process using hydrogen, hydrogen and nitrogen, or ammonia (NH3), while maintaining the wafer substrate at a temperature greater than 373,15 K (100 °C) and less than 773,15 K (500 °C);
Surface treatment plasma process using oxygen or ozone, while maintaining the wafer substrate at a temperature greater than 313,15 K (40 °C) and less than 773,15 K (500 °C); and
Deposition of a tungsten layer while maintaining the wafer substrate at a temperature greater than 373,15 K (100 °C) and less than 773,15 K (500 °C);
b. Equipment designed to fabricate a metal contact by performing all of the following processes:
Surface treatment plasma process using a remote plasma generator and an ion filter; and
Deposition of a cobalt layer selectively onto copper using an organometallic compound precursor;
c. Equipment designed to fabricate a metal contact by performing all of the following processes:
Deposition of a titanium nitride (TiN) or tungsten carbide (WC) layer, using an organometallic compound precursor, while maintaining the wafer substrate at a temperature greater than 293,15 K (20 °C) and less than 773,15 K (500 °C);
Deposition of a cobalt layer using a physical sputter deposition technique and having a process pressure greater than 1,33 × 10-1 Pa (1 mTorr) and less than 1,33 × 101 Pa (100 mTorr), while maintaining the wafer substrate at temperature less than 773,15 K (500 °C); and
Deposition of a cobalt layer using an organometallic compound precursor and having a process pressure greater than 1,33 × 102 Pa (1 Torr) and less than 1,33 × 104 Pa (100 Torr), while maintaining the wafer substrate at temperature greater than 293,15 K (20 °C) and less than 773,15 K (500 °C);
d. Equipment designed to fabricate copper interconnects by performing all of the following processes:
Deposition of a cobalt or ruthenium layer using an organometallic compound precursor and having a process pressure greater than 1,33 × 102 Pa (1 Torr) and less than 1,33 × 104 Pa (100 Torr), while maintaining the wafer substrate at a temperature greater than 293,15 K (20 °C) and less than 773,15 K (500 °C); and
Deposition of a copper layer using a Physical Vapour Deposition (PVD) technique having a process pressure greater than 1,33 × 10-1 Pa (1 mTorr) and less than 1,33 × 101 Pa (100 mTorr), while maintaining the wafer substrate at a temperature less than 773,15 K (500 °C);
Equipment designed to fabricate a metal contact by multistep processing within a single chamber by performing all of the following:
a. Deposition of a tungsten layer, using an organometallic compound precursor, while maintaining the wafer substrate temperature greater than 373,15 K (100 °C) and less than 773,15 K (500 °C); and b. Surface treatment plasma process using hydrogen, hydrogen and nitrogen, or ammonia (NH3).
3B503Scanning Electron Microscope (SEM) equipment designed for imaging semiconductor devices or integrated circuits, having all of the following:
a. Stage placement accuracy less (better) than 30 nm;
b. Stage positioning measurement performed using laser interferometry;
c. Position calibration within a Field Of View (FOV) based on laser interferometer length-scale measurement;
d. Collects and stores images having more than 2 × 108 pixels;
e. FOV overlap of less than 5 percent in vertical and horizontal directions;
f. Stitching overlap of FOV less than 50 nm; and
g. Accelerating voltage more than 21 kV.
Note 1:
3B503 includes SEM equipment designed for chip design recovery.
Note 2:
3B503 does not apply to SEM equipment designed to accept a Semiconductor Equipment and Materials International (SEMI) standard wafer carrier, such as a 200 mm or larger Front Opening Unified Pod (FOUP).
3B504Cryogenic wafer probing equipment, having all of the following:
a. Designed to test devices at temperatures less than or equal to 4,5 K (-268,65 °C); and
b. Designed to accommodate wafer diameters greater than or equal to 100 mm.
3C001Hetero-epitaxial materials, not specified in 3C507, consisting of a "substrate" having stacked epitaxially grown multiple layers of any of the following:
a. Silicon (Si);
b. Germanium (Ge);
c. Silicon carbide (SiC);
d. "III/V compounds" of gallium or indium;
e. Gallium Oxide (Ga2O3); or
f. Diamond.
Note:
3C001.d. does not control a "substrate" having one or more P-type epitaxial layers of GaN, InGaN, AlGaN, InAlN, InAlGaN, GaP, GaAs, AlGaAs, InP, InGaP, AlInP or InGaAlP, independent of the sequence of the elements, except if the P-type epitaxial layer is between N-type layers.
3C002Resist materials as follows and "substrates" coated with the following resists:
a. Resists designed for semiconductor lithography as follows:
Positive resists adjusted (optimised) for use at wavelengths less than 193 nm but equal to or greater than 15 nm;
Resists adjusted (optimised) for use at wavelengths less than 15 nm but greater than 1 nm;
b. All resists designed for use with electron beams or ion beams, with a sensitivity of 0,01 μcoulomb/mm2 or better;
c. Not used;
d. All resists optimised for surface imaging technologies;
e. All resists designed or optimised for use with imprint lithography equipment specified in 3B001.f.2. that use either a thermal or photo-curable process.
3C003Organo-inorganic compounds as follows:
a. Organo-metallic compounds of aluminium, gallium or indium, having a purity (metal basis) greater (better) than 99,999 %;
b. Organo-arsenic, organo-antimony and organo-phosphorus compounds, having a purity (inorganic element basis) greater (better) than 99,999 %.
Note:
3C003 only controls compounds whose metallic, partly metallic or non-metallic element is directly linked to carbon in the organic part of the molecule.
3C004Hydrides of phosphorus, arsenic or antimony, having a purity greater (better) than 99,999 %, even diluted in inert gases or hydrogen.
Note:
3C004 does not control hydrides containing 20 % molar or more of inert gases or hydrogen.
3C005High resistivity materials as follows:
a. Silicon carbide (SiC), gallium nitride (GaN), aluminium nitride (AlN), aluminium gallium nitride (AlGaN), gallium oxide (Ga2O3) or diamond semiconductor "substrates", or ingots, boules, or other preforms of those materials, having resistivities greater than 10 000 ohm-cm at 20 °C;
b. Polycrystalline "substrates" or polycrystalline ceramic "substrates", having resistivities greater than 10 000 ohm-cm at 20 °C and having at least one non-epitaxial single-crystal layer of silicon (Si), silicon carbide (SiC), gallium nitride (GaN), aluminium nitride (AlN), aluminium gallium nitride (AlGaN), gallium oxide (Ga2O3) or diamond on the surface of the "substrate".
N.B.
For materials consisting of a "substrate" specified by 3C005 with at least one epitaxial layer, see 3C001 or 3C006.
3C006Materials, not specified in 3C001, consisting of a "substrate" specified in 3C005 with at least one epitaxial layer of silicon carbide (SiC), gallium nitride (GaN), aluminium nitride (AlN), aluminium gallium nitride (AlGaN), gallium oxide (Ga2O3) or diamond.
3C507Epitaxial materials consisting of a "substrate" having at least one epitaxially grown layer of any of the following:
a. Silicon having an isotopic impurity less than 0,08 % of silicon isotopes other than silicon-28 or silicon-30; or
b. Germanium having an isotopic impurity less than 0,08 % of germanium isotopes other than germanium-70, germanium-72, germanium-74, or germanium-76.
3C508Fluorides, hydrides, or chlorides, of silicon or germanium, containing any of the following:
a. Silicon having an isotopic impurity less than 0,08 % of silicon isotopes other than silicon-28 or silicon-30; or
b. Germanium having an isotopic impurity less than 0,08 % of germanium isotopes other than germanium-70, germanium-72, germanium-74, or germanium-76.
3C509Silicon, silicon oxides, germanium or germanium oxides, containing any of the following:
a. Silicon having an isotopic impurity less than 0,08 % of silicon isotopes other than silicon-28 or silicon-30; or
b. Germanium having an isotopic impurity less than 0,08 % of germanium isotopes other than germanium-70, germanium-72, germanium-74, or germanium-76.
Note:
3C509 includes "substrates", lumps, ingots, boules and preforms.
3D001"Software" specially designed for the "development" or "production" of equipment specified in 3A001.b. to 3A002.h., 3A501.b.13. or 3B.
3D002"Software" specially designed for the "use" of equipment specified in 3B001.a. to 3B001.f., 3B002, 3A225, 3B501.a.4., 3B501.f.1., 3B501.k. or 3B501.n.
3D003'Computational lithography' "software" specially designed for the "development" of patterns on EUV-lithography masks or reticles.
For the purposes of 3D003, 'computational lithography' is the use of computer modelling to predict, correct, optimise and verify imaging performance of the lithography process over a range of patterns, processes, and system conditions.
3D004"Software" specially designed for the "development" of equipment specified in 3A003.
3D005"Software" specially designed to restore normal operation of a microcomputer, "microprocessor microcircuit" or "microcomputer microcircuit" within 1 ms after an Electromagnetic Pulse (EMP) or Electrostatic Discharge (ESD) disruption, without loss of continuation of operation.
3D006'Electronic Computer-Aided Design' ('ECAD') "software" specially designed for the "development" of integrated circuits having any "Gate-All-Around Field-Effect Transistor" ("GAAFET") structure, and having any of the following:
a. Specially designed for implementing 'Register Transfer Level' ('RTL') to 'Geometrical Database Standard II' ('GDSII') or equivalent standard; or
b. Specially designed for optimisation of power or timing rules.
For the purposes of 3D006:
1. 'Electronic Computer-Aided Design' ('ECAD') is a category of "software" tools used for designing, analysing, optimising, and validating the performance of integrated circuit or printed circuit board.
2. 'Register Transfer Level' ('RTL') is a design abstraction which models a synchronous digital circuit in terms of the flow of digital signals between hardware registers, and the logical operations performed on those signals.
3. 'Geometrical Database Standard II' ('GDSII') is a database file format for data exchange of integrated circuit or integrated circuit layout artwork.
3D101"Software" specially designed or modified for the "use" of equipment specified in 3A101.b.
3D225"Software" specially designed to enhance or release the performance of frequency changers or generators to meet the characteristics of 3A225.
3D507"Software" designed to extract 'GDSII' or equivalent standard layout data and perform layer-to-layer alignment from Scanning Electron Microscope (SEM) images, and generate multi-layer 'GDSII' data or the circuit netlist.
For the purposes of 3D507, 'GDSII' ('Graphic Design System II') is a database file format for data exchange of integrated circuit artwork or integrated circuit layout artwork.
3E001"Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 3A, 3B or 3C.
Note 1:
3E001 does not control "technology" for equipment or components specified in 3A003.
Note 2:
3E001 does not control "technology" for integrated circuits specified in 3A001.a.3. to 3A001.a.12., having all of the following:
a. Using "technology" at or above 0,130 μm; and
b. Incorporating multi-layer structures with three or fewer metal layers.
Note 3:
3E001 does not control 'Process Design Kits' ('PDKs') unless they include libraries implementing functions or technologies for items specified in 3A001.
For the purposes of 3E001 Note 3, a 'Process Design Kit' ('PDK') is a software tool provided by a semiconductor manufacturer to ensure that the required design practices and rules are taken into account in order to successfully produce a specific integrated circuit design in a specific semiconductor process, in accordance with technological and manufacturing constraints (each semiconductor manufacturing process has its particular 'PDK').
3E002"Technology" according to the General Technology Note, other than that specified in 3E001, for the "development" or "production" of a "microprocessor microcircuit", "microcomputer microcircuit" or microcontroller microcircuit core, having an arithmetic logic unit with an access width of 32 bits or more and any of the following features or characteristics:
a. A 'vector processor unit' designed to perform more than two calculations on 'floating-point' vectors (one-dimensional arrays of 32-bit or larger numbers) simultaneously; Technical Note: For the purposes of 3E002.a., a 'vector processor unit' is a processor element with built-in instructions that perform multiple calculations on 'floating-point' vectors (one-dimensional arrays of 32-bit or larger numbers) simultaneously, having at least one vector arithmetic logic unit and vector registers of at least 32 elements each.
b. Designed to perform more than four 64-bit or larger 'floating-point' operation results per cycle; or
c. Designed to perform more than eight 16-bit 'fixed-point' multiply-accumulate results per cycle (e.g., digital manipulation of analogue information that has been previously converted into digital form, also known as digital "signal processing"). Technical Notes: 1.
For the purposes of 3E002.a. and 3E002.b., 'floating-point' is defined by IEEE-754. 2.
For the purposes of 3E002.c., 'fixed-point' refers to a fixed-width real number with both an integer component and a fractional component, and which does not include integer-only formats.
Note 1:
3E002 does not control "technology" for multimedia extensions.
Note 2:
3E002 does not control "technology" for micro-processor cores, having all of the following:
a. Using "technology" at or above 0,130 μm; and
b. Incorporating multi-layer structures with five or fewer metal layers.
Note 3:
3E002 includes "technology" for the "development" or "production" of digital signal processors and digital array processors.
3E003Other "technology" for the "development" or "production" of the following:
a. Vacuum microelectronic devices;
b. Hetero-structure semiconductor electronic devices such as High Electron Mobility Transistors (HEMTs), Heterojunction Bipolar Transistors (HBTs), quantum well and super lattice devices; Note:
3E003.b. does not control "technology" for HEMTs operating at frequencies lower than 31,8 GHz and HBTs operating at frequencies lower than 31,8 GHz.
c. "Superconductive" electronic devices;
d. Substrates of diamond for electronic components;
e. Substrates of silicon-on-insulator (SOI) for integrated circuits in which the insulator is silicon dioxide;
f. Substrates of silicon carbide for electronic components;
g. "Vacuum electronic devices" operating at frequencies of 31,8 GHz or higher;
h. Substrates of gallium oxide for electronic components.
3E004"Technology" "required" for the slicing, grinding and polishing of 300 mm diameter silicon wafers to achieve a 'Site Front least sQuares Range' ('SFQR') less than or equal to 20 nm at any site of 26 mm × 8 mm on the front surface of the wafer and an edge exclusion less than or equal to 2 mm.
For the purposes of 3E004 'SFQR' is the range of maximum deviation and minimum deviation from front reference plane, calculated by least square method with all front surface data including site boundary within a site.
3E101"Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 3A001.a.1. or 2., 3A101, 3A102 or 3D101.
3E102"Technology" according to the General Technology Note for the "development" of "software" specified in 3D101.
3E201"Technology" according to the General Technology Note for the "use" of equipment specified in 3A001.e.2., 3A001.e.3., 3A001.g., 3A201, 3A225 to 3A234.
3E225"Technology", in the form of codes or keys, to enhance or release the performance of frequency changers or generators to meet the characteristics of 3A225.
3E505"Technology" according to the General Technology Note for the "development" or "production" of integrated circuits or devices, using "Gate-All-Around Field-Effect Transistor" ("GAAFET") structures.
Note 1:
3E505 includes 'process recipes'.
Note 2:
3E505 does not apply for tool qualification or maintenance.
Note 3: 3E505 does not apply to 'Process Design Kits' ('PDKs') unless they include libraries implementing functions or technologies for items specified in 3A001 or 3A501.
1.
For the purposes of 3E505, a 'process recipe' is a set of conditions and parameters for a particular process step.
2.
For the purposes 3E505, a 'Process Design Kit' ('PDK') is a software tool provided by a semiconductor manufacturer to ensure that the required design practices and rules are taken into account in order to successfully produce a specific integrated circuit design in a specific semiconductor process, in accordance with technological and manufacturing constraints (each semiconductor manufacturing process has its particular 'PDK').
PART VI
Category 4
CATEGORY 4 - COMPUTERS
Note 1:
Computers, related equipment and "software" performing telecommunications or "local area network" functions must also be evaluated against the performance characteristics of Category 5, Part 1 (Telecommunications).
Note 2:
Control units which directly interconnect the buses or channels of central processing units, 'main storage' or disk controllers are not regarded as telecommunications equipment described in Category 5, Part 1 (Telecommunications).
N.B.
For the control status of "software" specially designed for packet switching, see 5D001.
Technical Note:
For the purposes of Note 2, 'main storage' is the primary storage for data or instructions for rapid access by a central processing unit. It consists of the internal storage of a "digital computer" and any hierarchical extension thereto, such as cache storage or non-sequentially accessed extended storage.
4A001Electronic computers and related equipment, having any of the following and "electronic assemblies" and specially designed components therefor:
N.B.
SEE ALSO 4A101.
a. Specially designed to have any of the following:
Rated for operation at an ambient temperature below 228 K (-45 °C) or above 358 K (85 °C); or
Note:
4A001.a.1. does not control computers specially designed for civil automobile, railway train or "civil aircraft" applications.
Radiation hardened to exceed any of the following specifications:
a. Total Dose 5× 103 Gy (silicon); b. Dose Rate Upset 5× 106 Gy (silicon)/s; or c. Single Event Upset 1× 10-8 Error/bit/day; Note:
4A001.a.2. does not control computers specially designed for "civil aircraft" applications.
b. Not used.
4A003"Digital computers", "electronic assemblies", and related equipment therefor, as follows and specially designed components therefor:
Note 1:
4A003 includes the following:
— 'Vector processors';
— Array processors;
— Digital signal processors;
— Logic processors;
— Equipment designed for "image enhancement".
Note 2:
The control status of the "digital computers" and related equipment described in 4A003 is determined by the control status of other equipment or systems provided:
a. The "digital computers" or related equipment are essential for the operation of the other equipment or systems;
b. The "digital computers" or related equipment are not a "principal element" of the other equipment or systems; and N.B.1. The control status of "signal processing" or "image enhancement" equipment specially designed for other equipment with functions limited to those required for the other equipment is determined by the control status of the other equipment even if it exceeds the "principal element" criterion. N.B.2. For the control status of "digital computers" or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications).
c. The "technology" for the "digital computers" and related equipment is determined by 4E.
a. Not used;
b. "Digital computers" having an "Adjusted Peak Performance" ("APP") exceeding 70 Weighted TeraFLOPS (WT);
c. "Electronic assemblies" specially designed or modified for enhancing performance by aggregation of processors so that the "APP" of the aggregation exceeds the limit specified in 4A003.b.; Note 1:
4A003.c. controls only "electronic assemblies" and programmable interconnections not exceeding the limit specified in 4A003.b. when shipped as unintegrated "electronic assemblies". Note 2:
4A003.c. does not control "electronic assemblies" specially designed for a product or family of products whose maximum configuration does not exceed the limit specified in 4A003.b.
d. Not used;
e. Not used;
f. Not used;
g. Equipment specially designed for aggregating the performance of "digital computers" by providing external interconnections which allows communications at unidirectional data rates exceeding 2,0 Gbyte/s per link. Note:
4A003.g. does not control internal interconnection equipment (e.g. backplanes, buses), passive interconnection equipment, 'network access controllers' or 'communications channel controllers'. Technical Notes: For the purposes of 4A003.g. Note: 1. A 'network access controller' is a physical interface to a distributed switching network. It uses a common medium which operates throughout at the same "digital transfer rate" using arbitration (e.g., token or carrier sense) for transmission. Independently from any other, it selects data packets or data groups (e.g., IEEE 802) addressed to it. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access. 2. A 'communications channel controller' is the physical interface which controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.
4A004Computers as follows and specially designed related equipment, "electronic assemblies" and components therefor:
a. 'Systolic array computers';
b. 'Neural computers';
c. 'Optical computers'.
1.
For the purposes of 4A004.a., 'systolic array computers' are computers where the flow and modification of the data is dynamically controllable at the logic gate level by the user.
2.
For the purposes of 4A004.b., 'neural computers' are computational devices designed or modified to mimic the behaviour of a neuron or a collection of neurons, i.e., computational devices which are distinguished by their hardware capability to modulate the weights and numbers of the interconnections of a multiplicity of computational components based on previous data.
3.
For the purposes of 4A004.c., 'optical computers' are computers designed or modified to use light to represent data and whose computational logic elements are based on directly coupled optical devices.
4A005Systems, equipment, and components therefor, specially designed or modified for the generation, command and control, or delivery of "intrusion software".
4A101Analogue computers, "digital computers" or digital differential analysers, other than those specified in 4A001.a.1., which are ruggedized and designed or modified for use in space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
4A102Hybrid computers specially designed for modelling, simulation or design integration of space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
Note:
This control only applies when the equipment is supplied with "software" specified in 7D103 or 9D103.
4A506Quantum computers and related "electronic assemblies" and components therefor, as follows:
a. Quantum computers, as follows:
Quantum computers supporting 34 or more, but fewer than 100, 'fully controlled', 'connected' and 'working' 'physical qubits', and having a 'C-NOT error' of less than or equal to 10-4;
Quantum computers supporting 100 or more, but fewer than 200, 'fully controlled', 'connected' and 'working' 'physical qubits', and having a 'C-NOT error' of less than or equal to 10-3;
Quantum computers supporting 200 or more, but fewer than 350, 'fully controlled', 'connected' and 'working' 'physical qubits', and having a 'C-NOT error' of less than or equal to 2 × 10-3;
Quantum computers supporting 350 or more, but fewer than 500, 'fully controlled', 'connected' and 'working' 'physical qubits', and having a 'C-NOT error' of less than or equal to 3 × 10-3;
Quantum computers supporting 500 or more, but fewer than 700, 'fully controlled', 'connected' and 'working' 'physical qubits', and having a 'C-NOT error' of less than or equal to 4 × 10-3;
Quantum computers supporting 700 or more, but fewer than 1 100 , 'fully controlled', 'connected' and 'working' 'physical qubits', and having a 'C-NOT error' of less than or equal to 5 × 10-3;
Quantum computers supporting 1 100 or more, but fewer than 2 000 , 'fully controlled', 'connected' and 'working' 'physical qubits', and having a 'C-NOT error' of less than or equal to 6 × 10-3;
Quantum computers supporting 2 000 or more 'fully controlled', 'connected' and 'working' 'physical qubits';
b. Qubit devices and qubit circuits, containing or supporting arrays of 'physical qubits', and specially designed for items specified by 4A506.a.;
c. Quantum control components and quantum measurement devices, specially designed for items specified by 4A506.a.; Note 1:
4A506 applies to circuit model (or gate-based) and one-way (or measurement-based) quantum computers. This entry does not apply to adiabatic (or annealing) quantum computers. Note 2:
Items specified by 4A506 may not necessarily physically contain any qubits. For example, quantum computers based on photonic schemes do not permanently contain a physical item that can be identified as a qubit. Instead, the photonic qubits are generated while the computer is operating and then later discarded. Note 3:
Items specified by 4A506.b. include semiconductor, superconducting, and photonic qubit chips and chip arrays; surface ion trap arrays; other qubit confinement technologies; and coherent interconnects between such items. Note 4:
4A506.c. applies to items designed for calibrating, initialising, manipulating or measuring the resident qubits of a quantum computer.
For the purposes of 4A506:
1.
A 'physical qubit' is a two-level quantum system used to represent the elementary unit of quantum logic by means of manipulations and measurements that are not error corrected. 'Physical qubits' are distinguished from logical qubits, in that logical qubits are error-corrected qubits comprised of many 'physical qubits'.
2.
'Fully controlled' means the 'physical qubit' can be calibrated, initialised, gated, and read out, as necessary.
3.
'Connected' means that two-qubit gate operations can be performed between any arbitrary pair of the available 'working' 'physical qubits'. This does not necessarily entail all-to-all connectivity.
4.
'Working' means that the ’physical qubit’ performs universal quantum computational work according to the system specifications for qubit operational fidelity.
5.
Supporting 34 or more ’fully controlled’, ’connected’, ’working’ ’physical qubits’ refers to the capability of a quantum computer to confine, control, measure and process the quantum information embodied in 34 or more ’physical qubits’.
6.
‘C-NOT error’ is the average physical gate error for the nearest-neighbour two-‘physical qubit’ Controlled-NOT (C-NOT) gates.
4A507Computers, "electronic assemblies", and components containing one or more integrated circuits, specified by 3A501.a.16.
4A507 includes "digital computers" and hybrid computers.
None.
None.
Note:
The control status of "software" for equipment described in other Categories is dealt with in the appropriate Category.
4D001"Software" as follows:
a. "Software" specially designed or modified for the "development" or "production" of equipment or "software" specified in 4A001 to 4A004, 4A507 or 4D;
b. "Software", other than that specified in 4D001.a., specially designed or modified for the "development" or "production" of equipment as follows:
"Digital computers" having an "Adjusted Peak Performance" ("APP") exceeding 24 Weighted TeraFLOPS (WT);
"Electronic assemblies" specially designed or modified for enhancing performance by aggregation of processors so that the "APP" of the aggregation exceeds the limit in 4D001.b.1.;
Items specified by 4A506.b. or 4A506.c.
4D002Not used.
4D003Not used.
4D004"Software" specially designed or modified for the generation, command and control, or delivery of "intrusion software".
Note:
4D004 does not control "software" specially designed and limited to provide "software" updates or upgrades meeting all the following:
a. The update or upgrade operates only with the authorisation of the owner or administrator of the system receiving it; and
b. After the update or upgrade, the "software" updated or upgraded is not any of the following: 1. "Software" specified in 4D004; or 2. "Intrusion software".
4E001"Technology" as follows:
a. "Technology" according to the General Technology Note, for the "development", "production" or "use" of equipment or "software" specified in 4A or 4D;
b. "Technology", according to the General Technology Note, other than that specified in 4E001.a., for the "development" or "production" of equipment as follows:
"Digital computers" having an "Adjusted Peak Performance" ("APP") exceeding 24 Weighted TeraFLOPS (WT);
"Electronic assemblies" specially designed or modified for enhancing performance by aggregation of processors so that the "APP" of the aggregation exceeds the limit in 4E001.b.1.;
Items specified by 4A506.b. or 4A506.c.
c. "Technology" for the "development" of "intrusion software". Note 1:
4E001.a. and 4E001.c. do not control "vulnerability disclosure" or "cyber incident response". Note 2:
Note 1 does not diminish the rights of the competent authority of the EU Member State in which the exporter is established to ascertain compliance with 4E001.a. and 4E001.c.
"APP" is an adjusted peak rate at which "digital computers" perform 64-bit or larger floating point additions and multiplications.
"APP" is expressed in Weighted TeraFLOPS (WT), in units of 1012 adjusted floating point operations per second.
n number of processors in the "digital computer"
i processor number (i,...n)
ti processor cycle time (ti = 1/Fi)
Fi processor frequency
Ri peak floating point calculating rate
Wi architecture adjustment factor
For each processor i, determine the peak number of 64-bit or larger floating point operations, FPOi, performed per cycle for each processor in the "digital computer".
Note:
In determining FPO, include only 64-bit or larger floating point additions or multiplications. All floating point operations must be expressed in operations per processor cycle; operations requiring multiple cycles may be expressed in fractional results per cycle. For processors not capable of performing calculations on floating point operands of 64-bit or more, the effective calculating rate R is zero.
Calculate the floating point rate R for each processor Ri = FPOi/ti.
Calculate "APP" as "APP" = W1 × R1 + W2 × R2 + … + Wn × Rn.
For 'vector processors', Wi = 0,9. For non-'vector processors', Wi = 0,3.
Note 1:
For processors that perform compound operations in a cycle, such as addition and multiplication, each operation is counted.
Note 2:
For a pipelined processor the effective calculating rate R is the faster of the pipelined rate, once the pipeline is full, or the non-pipelined rate.
Note 3:
The calculating rate R of each contributing processor is to be calculated at its maximum value theoretically possible before the "APP" of the combination is derived. Simultaneous operations are assumed to exist when the computer manufacturer claims concurrent, parallel, or simultaneous operation or execution in a manual or brochure for the computer.
Note 4:
Do not include processors that are limited to input/output and peripheral functions (e.g., disk drive, communication and video display) when calculating "APP".
Note 5:
"APP" values are not to be calculated for processor combinations (inter)connected by "Local Area Networks", Wide Area Networks, I/O shared connections/devices, I/O controllers and any communication interconnection implemented by "software".
Note 6:
"APP" values must be calculated for processor combinations containing processors specially designed to enhance performance by aggregation, operating simultaneously and sharing memory.
1.
Aggregate all processors and accelerators operating simultaneously and located on the same die.
2.
Processor combinations share memory when any processor is capable of accessing any memory location in the system through the hardware transmission of cache lines or memory words, without the involvement of any software mechanism, which may be achieved using "electronic assemblies" specified in 4A003.c.
Note 7:
A 'vector processor' is defined as a processor with built-in instructions that perform multiple calculations on floating-point vectors (one-dimensional arrays of 64-bit or larger numbers) simultaneously, having at least 2 vector functional units and at least 8 vector registers of at least 64 elements each.
PART VII
Category 5
CATEGORY 5 - TELECOMMUNICATIONS AND "INFORMATION SECURITY"
Note 1:
The control status of components, test and "production" equipment and "software" therefor which are specially designed for telecommunications equipment or systems is determined in Category 5, Part 1.
N.B.
For "lasers" specially designed for telecommunications equipment or systems, see 6A005.
Note 2:
"Digital computers", related equipment or "software", when essential for the operation and support of telecommunications equipment described in this Category, are regarded as specially designed components, provided they are the standard models customarily supplied by the manufacturer. This includes operation, administration, maintenance, engineering or billing computer systems.
5A001Telecommunications systems, equipment, components and accessories as follows:
a. Any type of telecommunications equipment having any of the following characteristics, functions or features:
Specially designed to withstand transitory electronic effects or electromagnetic pulse effects, both arising from a nuclear explosion;
Specially hardened to withstand gamma, neutron or ion radiation;
Specially designed to operate below 218 K (-55 °C); or
Specially designed to operate above 397 K (124 °C);
Note 1:
5A001.a.3. and 5A001.a.4. control only electronic equipment. Note 2:
5A001.a.2., 5A001.a.3. and 5A001.a.4. do not control equipment designed or modified for use on board "spacecraft".
b. Telecommunication systems and equipment, and specially designed components and accessories therefor, having any of the following characteristics, functions or features:
Being underwater untethered communications systems having any of the following:
a. An acoustic carrier frequency outside the range from 20 kHz to 60 kHz; b. Using an electromagnetic carrier frequency below 30 kHz; c. Using electronic beam steering techniques; or d. Using "lasers" or light-emitting diodes (LEDs) with an output wavelength greater than 400 nm and less than 700 nm, in a "local area network";
Being radio equipment operating in the 1,5 MHz to 87,5 MHz band and having all of the following:
a. Automatically predicting and selecting frequencies and "total digital transfer rates" per channel to optimise the transmission; and b. Incorporating a linear power amplifier configuration having a capability to support multiple signals simultaneously at an output power of 1 kW or more in the frequency range of 1,5 MHz or more but less than 30 MHz, or 250 W or more in the frequency range of 30 MHz or more but not exceeding 87,5 MHz, over an "instantaneous bandwidth" of one octave or more and with an output harmonic and distortion content of less(better) than -80 dB;
Being radio equipment employing "spread spectrum" techniques, including "frequency hopping" techniques, other than those specified in 5A001.b.4. and having any of the following:
a. User programmable spreading codes; or b. A total transmitted bandwidth which is 100 or more times the bandwidth of any one information channel and in excess of 50 kHz; Note:
5A001.b.3.b. does not control radio equipment specially designed for use with any of the following: a. Civil cellular radio-communications systems; or b. Fixed or mobile "satellite" earth stations for commercial civil telecommunications. Note:
5A001.b.3 does not control equipment designed to operate at an output power of 1 W or less.
Being radio equipment employing ultra-wideband modulation techniques, having user programmable channelising codes, scrambling codes or network identification codes and having any of the following:
a. A bandwidth exceeding 500 MHz; or b. A "fractional bandwidth" of 20 % or more;
Being digitally controlled radio receivers having all of the following:
a. More than 1 000 channels; b. A 'channel switching time' of less than 1 ms; c. Automatic searching or scanning of a part of the electromagnetic spectrum; and d. Identification of the received signals or the type of transmitter; or Note:
5A001.b.5. does not control radio equipment specially designed for use with civil cellular radio-communications systems. Technical Note: For the purposes of 5A001.b.5.b., 'channel switching time' means the time (i.e., delay) to change from one receiving frequency to another, to arrive at or within ±0,05 % of the final specified receiving frequency. Items having a specified frequency range of less than ±0,05 % around their centre frequency are defined to be incapable of channel frequency switching.
Employing functions of digital "signal processing" to provide 'voice coding' output at rates of less than 700 bit/s;
Technical Notes: 1.
For variable rate 'voice coding', 5A001.b.6. applies to the 'voice coding' output of continuous speech. 2.
For the purposes of 5A001.b.6., 'voice coding' is defined as the technique to take samples of human voice and then convert these samples into a digital signal, taking into account specific characteristics of human speech.
c. Optical fibres of more than 500 m in length and specified by the manufacturer as being capable of withstanding a 'proof test' tensile stress of 2 × 109 N/m2 or more; N.B. For underwater umbilical cables, see 8A002.a.3. Technical Note: For the purposes of 5A001.c., 'proof test' is the on-line or off-line production screen testing that dynamically applies a prescribed tensile stress over a 0,5 to 3 m length of fibre at a running rate of 2 to 5 m/s while passing between capstans approximately 150 mm in diameter. The ambient temperature is a nominal 293 K (20 °C) and relative humidity 40 %. Equivalent national standards may be used for executing the proof test.
d. 'Electronically steerable phased array antennae' as follows:
Rated for operation above 31,8 GHz but not exceeding 57 GHz, and having an Effective Radiated Power (ERP) equal to or greater than +20 dBm (22,15 dBm Effective Isotropic Radiated Power (EIRP));
Rated for operation above 57 GHz but not exceeding 66 GHz, and having an ERP equal to or greater than +24 dBm (26,15 dBm EIRP);
Rated for operation above 66 GHz but not exceeding 90 GHz, and having an ERP equal to or greater than +20 dBm (22,15 dBm EIRP);
Rated for operation above 90 GHz;
Note 1:
5A001.d. does not control 'electronically steerable phased array antennae' for landing systems with instruments meeting ICAO standards covering Microwave Landing Systems (MLS). Note 2:
5A001.d. does not control antennae specially designed for any of the following: a. Civil cellular or WLAN radio-communications systems; b. IEEE 802.15 or wireless HDMI; or c. Fixed or mobile "satellite" earth stations for commercial civil telecommunications. Technical Note: For the purposes of 5A001.d., 'electronically steerable phased array antenna' is an antenna which forms a beam by means of phase coupling, (i.e., the beam direction is controlled by the complex excitation coefficients of the radiating elements) and the direction of that beam can be varied (both in transmission and reception) in azimuth or in elevation, or both, by application of an electrical signal.
e. Radio direction finding equipment operating at frequencies above 30 MHz and having all of the following, and specially designed components therefor:
"Instantaneous bandwidth" of 10 MHz or more; and
Capable of finding a Line Of Bearing (LOB) to non-cooperating radio transmitters with a signal duration of less than 1 ms;
f. Mobile telecommunications interception or jamming equipment, and monitoring equipment therefor, as follows, and specially designed components therefor:
Interception equipment designed for the extraction of voice or data, transmitted over the air interface;
Interception equipment not specified in 5A001.f.1., designed for the extraction of client device or subscriber identifiers (e.g., IMSI, TIMSI or IMEI), signalling, or other metadata transmitted over the air interface;
Jamming equipment specially designed or modified to intentionally and selectively interfere with, deny, inhibit, degrade or seduce mobile telecommunication services and performing any of the following:
a. Simulate the functions of Radio Access Network (RAN) equipment; b. Detect and exploit specific characteristics of the mobile telecommunications protocol employed (e.g., GSM); or c. Exploit specific characteristics of the mobile telecommunications protocol employed (e.g. GSM);
RF monitoring equipment designed or modified to identify the operation of items specified in 5A001.f.1., 5A001.f.2. or 5A001.f.3.;
Note:
5A001.f.1. and 5A001.f.2. do not control any of the following:
a. Equipment specially designed for the interception of analogue Private Mobile Radio (PMR), IEEE 802.11 WLAN; b. Equipment designed for mobile telecommunications network operators; or c. Equipment designed for the "development" or "production" of mobile telecommunications equipment or systems. N.B.1.
SEE ALSO MILITARY GOODS CONTROLS. N.B.2.
For radio receivers, see 5A001.b.5.
g. Passive Coherent Location (PCL) systems or equipment, specially designed for detecting and tracking moving objects by measuring reflections of ambient radio frequency emissions, supplied by non-radar transmitters; Technical Note: For the purposes of 5A001.g., non-radar transmitters may include commercial radio, television or cellular telecommunications base stations. Note:
5A001.g. does not control any of the following: a. Radio-astronomical equipment; or b. Systems or equipment, that require any radio transmission from the target.
h. Counter Improvised Explosive Device (IED) equipment and related equipment, as follows:
Radio Frequency (RF) transmitting equipment, not specified in 5A001.f., designed or modified for prematurely activating or preventing the initiation of Improvised Explosive Devices (IEDs);
Equipment using techniques designed to enable radio communications in the same frequency channels on which co-located equipment specified in 5A001.h.1. is transmitting;
N.B.
SEE ALSO MILITARY GOODS CONTROLS.
i. Not used;
j. Internet Protocol (IP) network communications surveillance systems or equipment, and specially designed components therefor, having all of the following:
Performing all of the following on a carrier class Internet Protocol (IP) network (e.g., national grade IP backbone):
a. Analysis at the application layer (e.g., Layer 7 of Open Systems Interconnection (OSI) model (ISO/IEC 7498-1)); b. Extraction of selected metadata and application content (e.g., voice, video, messages, attachments); and c. Indexing of extracted data; and
Being specially designed to carry out all of the following:
a. Execution of searches on the basis of "hard selectors"; and b. Mapping of the relational network of an individual or of a group of people. Note:
5A001.j. does not control systems or equipment, specially designed for any of the following: a. Marketing purpose; b. Network Quality of Service (QoS); or c. Quality of Experience (QoE).
5A101Telemetry and telecontrol equipment, including ground equipment, designed or modified for 'missiles'.
In 5A101 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.
Note:
5A101 does not control:
a. Equipment designed or modified for manned aircraft or satellites;
b. Ground based equipment designed or modified for terrestrial or marine applications;
c. Equipment designed for commercial, civil or ‘Safety of Life’ (e.g. data integrity, flight safety) navigation satellite systems services;
5B001Telecommunications test, inspection and production equipment, components and accessories, as follows:
a. Equipment and specially designed components or accessories therefor, specially designed for the "development" or "production" of equipment, functions or features, specified in 5A001; Note:
5B001.a. does not control optical fibre characterization equipment.
b. Equipment and specially designed components or accessories therefor, specially designed for the "development" of any of the following telecommunication transmission or switching equipment:
Not used;
Equipment employing a "laser" and having any of the following:
a. A transmission wavelength exceeding 1 750 nm; or b. Not used; c. Not used; d. Employing analogue techniques and having a bandwidth exceeding 2,5 GHz; or Note:
5B001.b.2.d. does not control equipment specially designed for the "development" of commercial TV systems.
Not used;
Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 1 024 ;
Not used.
None
5D001"Software" as follows:
a. "Software" specially designed or modified for the "development", "production" or "use" of equipment, functions or features, specified in 5A001;
b. Not used;
c. Specific "software" specially designed or modified to provide characteristics, functions or features of equipment, specified in 5A001 or 5B001;
d. "Software" specially designed or modified for the "development" of any of the following telecommunication transmission or switching equipment:
Not used;
Equipment employing a "laser" and having any of the following:
a. A transmission wavelength exceeding 1 750 nm; or b. Employing analogue techniques and having a bandwidth exceeding 2,5 GHz; or Note:
5D001.d.2.b. does not control "software" specially designed or modified for the "development" of commercial TV systems.
Not used;
Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 1 024 ;
e. "Software", other than that specified in 5D001.a. or 5D001.c., specially designed or modified for monitoring or analysis for law enforcement purposes, providing all of the following:
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
Mapping of the relational network or tracking the movement or location 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.
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:
"Technology" "required" for the "development" or "production" of telecommunications equipment specially designed to be used on board "spacecraft";
"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;
"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";
"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:
Not used;
Equipment employing a "laser" and having any of the following:
a. A transmission wavelength exceeding 1 750 nm; or b. Not used; c. Not used; d. Employing wavelength division multiplexing techniques of optical carriers at less than 100 GHz spacing; or e. Employing analogue techniques and having a bandwidth exceeding 2,5 GHz; Note:
5E001.c.2.e. does not control "technology" for commercial TV systems. N.B.
For "technology" for the "development" or "production" of non-telecommunications equipment employing a laser, see 6E.
Equipment employing 'optical switching' and having a switching time less than 1 ms;
Technical Note: For the purposes of 5E001.c.3., 'optical switching' is the routing of or switching of signals in optical form without conversion to electrical signals.
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
Not used;
Mobile equipment having all of the following:
a. Operating at an optical wavelength greater than or equal to 200 nm and less than or equal to 400 nm; and b. Operating as a "local area network";
d. "Technology" according to the General Technology Note for the "development" or "production" of "Monolithic Microwave Integrated Circuit" ("MMIC") amplifiers specially designed for telecommunications and that are any of the following: Technical Note: For the purposes of 5E001.d., the parameter peak saturated power output may also be referred to on product data sheets as output power, saturated power output, maximum power output, peak power output, or peak envelope power output.
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;
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;
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 %;
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;
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 %;
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 %;
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
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:
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
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.
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 purposes 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.
5A002"Information security" systems, equipment and components, as follows:
N.B.
For the control of "satellite navigation system" receiving equipment containing or employing decryption, see 7A005 and for related decryption "software" and "technology", see 7D005 and 7E001.
a. Designed or modified to use 'cryptography for data confidentiality' having a 'described security algorithm', as follows:
Items having "information security" as a primary function;
Digital communication or networking systems, equipment or components, not specified in 5A002.a.1.;
Computers, other items having information storage or processing as a primary function, and components therefor, not specified in 5A002.a.1. or 5A002.a.2.;
N.B.
For operating systems, see also 5D002.a.1. and 5D002.c.1.
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 for a cryptographic function or capability that is usable or can be made usable, 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; g. Wireless "personal area network" functionality implementing only published or commercial cryptographic standards; h. Cryptographic operations specially designed for and limited to banking use or money transactions, including the collection and settlement of fares or credit functions; i. Key management in support of and limited to functions and capabilities described in paragraph a. to h. above; or j. Cryptographic functions or capabilities that have not been activated or enabled, and can only be activated or enabled by means of secure "cryptographic activation". N.B. For 'cryptographic activation token' items, see 5A002.b., 5D002.b. and 5E002.b. 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; Technical Notes: For the purposes of 5A002.a. Technical Note 2.a.:1. 'Symmetric algorithm' is a cryptographic algorithm using an identical key for both encryption and decryption. 2.
A common use of 'symmetric algorithms' is confidentiality of data. 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:
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