Regulation (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)

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 'cryptography for data confidentiality' having a 'described security algorithm' is usable without secure "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 'cryptography for data confidentiality' having a 'described security algorithm' meets all of the following: 1. It is restricted for use in equipment or systems to which 5A002.a. does not control for reasons other than the Cryptography Note (Note 3 in Category 5 – Part 2); 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 'cryptography for data confidentiality' having a 'described security algorithm' is not user-accessible; Technical Note: For the purposes of 5A002.a. Note 2.a.1.b.1., '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'. Technical Note: For the purposes of 5A002.a. Note 2.a.2., 'readers/writers' include equipment that communicates with smart cards or electronically readable documents through a network. b. Not used; c. Portable or mobile radiotelephones designed for civil use , other than satellite telephones, that are not capable of any of the following: 1. Transmitting encrypted data directly to another radiotelephone or equipment (other than Radio Access Network (RAN) equipment); or 2. 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, designed for civil use, that have been customised for a specific civil industry application meeting all of the following: 1. The non-customised devices satisfy the provisions of the Cryptography Note (Note 3 in Category 5 – Part 2); and 2. The 'cryptography for data confidentiality' having a 'described security algorithm' of the non-customised devices is not affected by the customisation, and implements only published or commercial cryptographic standards; f. Not used; g. Mobile telecommunications Radio Access Network (RAN) equipment designed for civil use, which also meet the provisions of paragraphs a.2. to a.4. of the Cryptography Note (Note 3 in Category 5, Part 2), having an RF output power limited to 0,1W (20 dBm) or less, and supporting 32 or fewer concurrent users; h. Routers, switches, gateways or relays, where the 'cryptography for data confidentiality' having a 'described security algorithm' is limited to the tasks of "Operations, Administration or Maintenance" ("OAM") implementing only published or commercial cryptographic standards; i. General purpose computing equipment or servers, where the 'cryptography for data confidentiality' having a 'described security algorithm' meets all of the following: 1. Implements 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 to whitch 5D002 does not control; or c. Limited to "OAM" of the equipment ; or 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 'cryptography for data confidentiality' having a 'described security algorithm' 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 'cryptography for data confidentiality' having a 'described security algorithm' 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 'cryptography for data confidentiality' having a 'described security algorithm' implements only published or commercial cryptographic standards, and the cryptographic functionality cannot easily be changed by the user. Technical Notes: 1.

For the purposes of 5A002.a. Note 2.j., '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.

For the purposes of 5A002.a. Note 2.j.1.a.1., '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: For the purposes of 5A002.b., a 'cryptographic activation token' is an item designed or modified for any of the following:

or

c. Designed or modified to use or perform "quantum cryptography"; Technical Note: For the purposes of 5A002.c., "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:

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 to use mechanical, electrical or electronic means to detect surreptitious intrusion; Note:

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

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

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: For the purposes of 5A004.a., '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:

Technical Note: For the purposes of 5A004.b.1., 'extract raw data' from a computing or communications device means to retrieve binary data from a storage medium (e.g., RAM, flash or hard disk) of the device without interpretation by the device’s operating system or filesystem. Note 1:

5A004.b. does not control systems or equipment specially designed for the "development" or "production" of a computing or communications device. Note 2:

5A004.b. does not include: a. Debuggers, hypervisors; b. Items limited to logical data extraction; c. Data extraction items using chip-off or JTAG; or d. Items specially designed and limited to jail-breaking or rooting.

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.

None.

5D002"Software" as follows:

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

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:

Note:

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

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.

5E002"Technology" as follows:

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

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

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

Note:

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

PART VIII

Category 6

CATEGORY 6 - SENSORS AND LASERS

6A001Acoustic systems, equipment and components, as follows:

a. Marine acoustic 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°, 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: Technical Note: For the purposes of 6A001.a.1.a., 'enhancement' includes the ability to compensate by external means.

a. Designed to take measurements at an angle exceeding 20° 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:

Technical Note: For the purposes of 6A001.a.1.a.1.c., 'sounding resolution' is the swath width (degrees) divided by the maximum number of soundings per swath.

Technical Note: For the purposes of 6A001.a.1.a.2., the acoustic sensor pressure rating determines the depth rating. a. Having all of the following:

Technical Note: For the purposes of 6A001.a.1.a.2.a.2., '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:

a. Operating frequency below 350 kHz; or b. Designed to measure seabed topography at a range exceeding 200 m from the acoustic sensor; and

a. Motion of the acoustic sensor; b. In-water propagation from sensor to the seabed and back; and c. Sound speed at the sensor;

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: For the purposes of 6A001.a.1.a.3.: 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:

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.

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: For the purposes of 6A001.a.1.c.1., 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.

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

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 submersible 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:

N.B.

For diver detection systems specially designed or modified for military use, see the Military Goods Controls. Note:

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

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: For the purposes of 6A001.a.2.a.: 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.

Underwater acoustic transducers designed to operate as passive receivers are hydrophones.

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;

Technical Notes: 1.

For the purposes of 6A001.a.2.a.3.b., 'piezoelectric polymer film' sensing elements consist of polarised polymer film that is stretched over and attached to a supporting frame or spool (mandrel). 2.

For the purposes of 6A001.a.2.a.3.c., '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.

For the purposes of 6A001.a.2.a., '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: For the purposes of 6A001.a.2.b., hydrophone arrays consist of a number of hydrophones providing multiple acoustic output channels.

Technical Note: For the purposes of 6A001.a.2.b., 'able to be modified' 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. 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:

N.B.

For inertial heading systems, see 7A003.c. e. Bottom or bay-cable hydrophone arrays, having any of the following:

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

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:

Note:

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

For the purposes of 6A001.a.2.g., accelerometer-based hydro-acoustic sensors are also known as vector sensors. 2.

For the purposes of 6A001.a.2.g.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:

a. Designed to operate at distances between the carrier and the sea bed exceeding 500 m; or b. Having speed "accuracy" less (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:

N.B.

SEE ALSO 6A102.

a. Optical 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:

b. "Space-qualified" solid-state detectors having all of the following:

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;

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. a. Image intensifier tubes having all 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

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:

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

c. Specially designed components as follows:

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.

N.B.

'Microbolometer' non-"space-qualified" "focal plane arrays" are only specified in 6A002.a.3.f. Technical Note: For the purposes of 6A002.a.3., 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: For the purposes of 6A002.a.3. Note 2.c.2.a., 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. a. Non-"space-qualified" "focal plane arrays" having all 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:

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; N.B.

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:

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:

b. "Monospectral imaging sensors" and "multispectral imaging sensors", designed for remote sensing applications and having any of the following:

a. Providing output imaging data in digital format; and b. Having any of the following characteristics:

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 2. Complementary Metal Oxide Semiconductor (CMOS) devices not designed or modified to achieve "charge multiplication".

c. 'Direct view' imaging equipment incorporating any of the following:

Technical Note: For the purposes of 6A002.c., '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:

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;

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: For the purposes of 6A002.f., a 'Read-Out Integrated Circuit' ('ROIC') is an integrated circuit designed to underlie or be bonded to a "focal plane array" 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:

N.B.

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.

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;

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.

a. Having any of the following:

b. Having any of the following:

Technical Notes: 1.

For the purposes of 6A003.b.1., digital video cameras should be evaluated by the maximum number of "active pixels" used for capturing moving images. 2.

For the purposes of 6A003.b.1.b.3., '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.

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.

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); Technical Note: For the purposes of 6A003.b.4. Note 3.b.1., 'Instantaneous Field of View (IFOV)' 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. 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, 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. 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; 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. Technical Note: For the purposes of 6A003.b.4., 'direct view' 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.

6A004Optical equipment and components, as follows:

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

For optical mirrors specially designed for lithography equipment, see 3B001.

a. Having all the following:

b. A Laser Induced Damage Threshold (LIDT) being any of the following:

Technical Notes: For the purposes of 6A004.a.1.: 'Deformable mirrors' are mirrors having any of the following: 1. 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. 2. 'Deformable mirrors' are also known as adaptive optic mirrors.

Note:

6A004.a.2. does not control mirrors specially designed to direct solar radiation for terrestrial heliostat installations.

Note:

6A004.a.3. does not control mirrors specially designed to direct solar radiation for terrestrial heliostat installations.

a. Diameter or major axis length greater than or equal to 100 mm; or b. Having all 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:

c. "Space-qualified" components for optical systems, as follows:

d. Optical control 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:

b. Resonator alignment equipment having bandwidths equal to or more than 100 Hz and an "accuracy" of 10 μrad or less (better);

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:

e. 'Aspheric optical elements' having all of the following:

Technical Notes: 1.

For the purposes of 6A004.e., 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.

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

6A004.e. does not control 'aspheric optical elements' having any of the following: a. Largest optical-aperture dimension less than 1 m and focal length to aperture ratio equal to or greater than 4,5:1; b. Largest optical-aperture dimension equal to or greater than 1 m and focal length to aperture ratio equal to or greater than 7:1; c. Designed as Fresnel, flyeye, stripe, prism or diffractive optical elements; d. Fabricated from borosilicate glass having a coefficient of linear thermal expansion greater than 2,5 × 10^-6/K at 25 °C; or e. An X-ray optical element having inner mirror capabilities (e.g., tube-type mirrors). N.B.

For 'aspheric optical elements' specially designed for lithography equipment, see 3B001.

f. Dynamic wavefront measuring equipment having all of the following:

Technical Note: For the purposes of 6A004.f., 'frame rate' is a frequency at which all "active pixels" in the "focal plane array" are integrated for recording images projected by the wavefront sensor optics.

6A005"Lasers", other than those specified in 0B001.g.5. or 0B001.h.6., components and optical equipment, as follows:

N.B.

SEE ALSO 6A205.

Note 1:

Pulsed "lasers" include those that run in a continuous wave (CW) mode with pulses superimposed.

Note 2:

Excimer, semiconductor, chemical, CO, CO2, and "non-repetitive pulsed" Nd:glass "lasers" are only specified in 6A005.d.

Note 3:

6A005 includes fibre "lasers".

Note 4:

The control status of "lasers" incorporating frequency conversion (i.e., wavelength change) by means other than one "laser" pumping another "laser" is determined by applying the control parameters for both the output of the source "laser" and the frequency-converted optical output.

Note 5:

6A005 does not control "lasers" as follows:

a. Ruby with output energy below 20 J;

b. Nitrogen;

c. Krypton.

For the purposes of 6A005.a. and 6A005.b., 'single transverse mode' refers to "lasers" with a beam profile having an M ²-factor of less than 1,3, while 'multiple transverse mode' refers to "lasers" with a beam profile having an M ²-factor equal to or greater than 1,3.

a. Non-"tunable" continuous wave "(CW) lasers" having any of the following:

Note:

6A005.a.2. does not control Argon "lasers" having an output power equal to or less than 50 W.

a. 'Single transverse mode' output and output power exceeding 50 W; or b. 'Multiple transverse mode' output and output power exceeding 150 W;

a. 'Single transverse mode' output and output power exceeding 50 W; or b. 'Multiple transverse mode' output and output power exceeding 80 W;

a. 'Single transverse mode' output and any of the following:

a. Output power exceeding 500 W; and b. Spectral bandwidth less than 40 GHz; or b. 'Multiple transverse mode' output and any of the following:

Note 1:

6A005.a.6.b. does not control 'multiple transverse mode', industrial "lasers" with output power exceeding 2 kW and not exceeding 6 kW with a total mass greater than 1 200  kg. For the purpose of this Note, total mass includes all components required to operate the "laser", e.g., "laser", power supply, heat exchanger, but excludes external optics for beam conditioning or delivery. Note 2:

6A005.a.6.b. does not control 'multiple transverse mode', industrial "lasers" having any of the following: a. Not used; b. Output power exceeding 1 kW but not exceeding 1,6 kW and having a BPP exceeding 1,25 mm•mrad c. Output power exceeding 1,6 kW but not exceeding 2,5 kW and having a BPP exceeding 1,7 mm•mrad; d. Output power exceeding 2,5 kW but not exceeding 3,3 kW and having a BPP exceeding 2,5 mm•mrad; e. Output power exceeding 3,3 kW but not exceeding 6 kW and having a BPP exceeding 3,5 mm•mrad; f. Not used; g. Not used; h. Output power exceeding 6 kW but not exceeding 8 kW and having a BPP exceeding 12 mm•mrad; or i. Output power exceeding 8 kW but not exceeding 10 kW and having a BPP exceeding 24 mm•mrad.

a. 'Single transverse mode' and output power exceeding 50 W; or b. 'Multiple transverse mode' and output power exceeding 80 W;

a. 'Single transverse mode' and output power exceeding 1 W; or b. 'Multiple transverse mode' output and output power exceeding 120 W; or

b. Non-"tunable" 'pulsed lasers' having any of the following: Technical Note: For the purposes of 6A005.b., a 'pulsed laser' is a "laser" having a "pulse duration" that is less than or equal to 0,25 seconds.

a. Output energy exceeding 50 mJ per pulse and "peak power" exceeding 1 W; or b. "Average output power" exceeding 1 W;

a. Output energy exceeding 1,5 J per pulse and "peak power" exceeding 30 W; or b. "Average output power" exceeding 30 W; Note:

6A005.b.2.b. does not control Argon "lasers" having an "average output power" equal to or less than 50 W.

a. 'Single transverse mode' output and any of the following:

b. 'Multiple transverse mode' output and any of the following:

a. "Pulse duration" less than 1 ps and any of the following:

b. "Pulse duration" equal to or exceeding 1 ps and any of the following:

a. "Pulse duration" less than 1 ps and any of the following:

b. "Pulse duration" equal to or exceeding 1 ps and not exceeding 1 μs and any of the following:

c. "Pulse duration" exceeding 1 μs and any of the following:

a. "Pulse duration" of less than 1 ps, and any of the following:

b. "Pulse duration" equal to or exceeding 1 ps and less than 1 ns and any of the following:

c. "Pulse duration" equal to or exceeding 1 ns but not exceeding 1 μs, and any of the following:

a. "Peak power" exceeding 100 MW; b. "Average output power" exceeding 20 W limited by design to a maximum pulse repetition frequency less than or equal to 1 kHz; c. "Wall-plug efficiency" exceeding 12 %, "average output power" exceeding 100 W and capable of operating at a pulse repetition frequency greater than 1 kHz; d. "Average output power" exceeding 150 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or e. Output energy exceeding 2 J per pulse; or

a. "Peak power" exceeding 400 MW; b. "Wall-plug efficiency" exceeding 18 % and "average output power" exceeding 500 W; c. "Average output power" exceeding 2 kW; or d. Output energy exceeding 4 J per pulse; or d. "Pulse duration" exceeding 1 μs and any of the following:

a. "Peak power" exceeding 500 kW; b. "Wall-plug efficiency" exceeding 12 % and "average output power" exceeding 100 W; or c. "Average output power" exceeding 150 W; or

a. "Peak power" exceeding 1 MW; b. "Wall-plug efficiency" exceeding 18 % and "average output power" exceeding 500 W; or c. "Average output power" exceeding 2 kW;

a. "Pulse duration" not exceeding 1 μs and any of the following:

b. "Pulse duration" exceeding 1 μs and any of the following:

a. Output energy exceeding 100 mJ per pulse and "peak power" exceeding 1 W; or b. "Average output power" exceeding 1 W;

a. 'Single transverse mode' and any of the following:

b. 'Multiple transverse mode' and any of the following:

a. Output energy exceeding 100 mJ per pulse and "peak power" exceeding 1 W; or b. "Average output power" exceeding 1 W;

c. "Tunable" "lasers" having any of the following:

a. Output energy exceeding 50 mJ per pulse and "peak power" exceeding 1 W; or b. Average or CW output power exceeding 1 W; Note:

6A005.c.1. does not control dye "lasers" or other liquid "lasers", having a multimode output and a wavelength of 150 nm or more but not exceeding 600 nm and all of the following: 1. Output energy less than 1,5 J per pulse or a "peak power" less than 20 W; and 2. Average or CW output power less than 20 W.

a. Output energy exceeding 1 J per pulse and "peak power" exceeding 20 W; or b. Average or CW output power exceeding 20 W; or

a. Output energy exceeding 50 mJ per pulse and "peak power" exceeding 1 W; or b. Average or CW output power exceeding 1 W;

d. Other "lasers", not specified in 6A005.a., 6A005.b. or 6A005.c. as follows:

Note 1:

6A005.d.1. includes semiconductor "lasers" having optical output connectors (e.g., fibre optic pigtails). Note 2:

The control status of semiconductor "lasers" specially designed for other equipment is determined by the control status of the other equipment. Technical Notes: For the purposes of 6A005.d.1.: 1. Semiconductor "lasers" are commonly called "laser" diodes. 2. A 'bar' (also called a semiconductor "laser" 'bar', a "laser" diode 'bar' or diode 'bar') consists of multiple semiconductor "lasers" in a one-dimensional array. 3. A 'stacked array' consists of multiple 'bars' forming a two-dimensional array of semiconductor "lasers". a. Individual single-transverse mode semiconductor "lasers" having any of the following:

b. Individual multiple-transverse mode semiconductor "lasers" having any of the following:

c. Individual semiconductor "laser" 'bars', having any of the following: