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| Systems, Equipment and Components |
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| Equipment and components described in Category Code 3A001 or 3A002, other than those described in Category Code 3A001.a.3. to 3A001.a.10., or 3A001.a.12. to 3A001.a.14., which are specially designed for or which have the same functional characteristics as other equipment are treated as coming within that description only if that other equipment is included in Division 2 of this Part. |
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| Integrated circuits described in Category Code 3A001.a.3. to 3A001.a.9., or 3A001.a.12. to 3A001.a.14., which are unalterably programmed or designed for a specific function for another equipment are treated as coming within that description only if that other equipment is included in Division 2 of this Part. |
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| | Where it is unclear if the other equipment is included in Division 2 of this Part, then the integrated circuit is treated as falling within Category Codes 3A001.a.3. to 3A001.a.9., and 3A001.a.12. to 3A001.a.14. if it comes within the relevant description therein. |
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| Category Code 3A001.a., 3A001.b., 3A001.d., 3A001.e.4., 3A001.g., 3A001.h., or 3A001.i. includes wafers (finished or unfinished), in which the function has been determined, if it comes within the parameters set out therein. |
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| Electronic items as follows: |
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| a. | General purpose integrated circuits, as follows: |
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| | Integrated circuits include the following types: |
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| − | “Monolithic integrated circuits”; |
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| − | “Hybrid integrated circuits”; |
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| − | “Multichip integrated circuits”; |
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| − | “Film type integrated circuits”, including silicon‑on‑sapphire integrated circuits; |
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| − | “Optical integrated circuits”; |
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| − | “Three‑dimensional integrated circuits”; |
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| − | “Monolithic Microwave Integrated Circuits” (“MMICs”). |
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| 1. | Integrated circuits designed or rated as radiation hardened to withstand any of the following: |
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| a. | A total dose of 5 × 103 Gy (silicon) or higher; |
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| b. | A dose rate upset of 5 × 106 Gy (silicon)/s or higher; or |
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| c. | A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 1013 n/cm2 or higher on silicon, or its equivalent for other materials; |
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| | Category Code 3A001.a.1.c. does not include Metal Insulator Semiconductors (MIS). |
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| 2. | “Microprocessor microcircuits”, “microcomputer microcircuits”, microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, Analogue‑to‑Digital Converters (ADCs), integrated circuits that contain ADCs and store or process the digitised data, Digital‑to‑Analogue Converters (DACs), electro‑optical or “optical integrated circuits” designed for “signal processing”, field programmable logic devices, custom integrated circuits for which either the function is unknown or the control status of the equipment in which the integrated circuit will be used is unknown, Fast Fourier Transform (FFT) processors, Static Random Access Memories (SRAMs), or ‘non‑volatile memories’, having any of the following characteristics: |
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| a. | Rated for operation at an ambient temperature above 398 K (125 ºC); |
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| b. | Rated for operation at an ambient temperature below 218 K (-55 ºC); or |
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| c. | Rated for operation over the entire ambient temperature range from 218 K (-55 ºC) to 398 K (125 ºC); |
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| | Category Code 3A001.a.2. does not include integrated circuits designed for civil automobiles or railway train applications. |
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| | ‘Non‑volatile memories’ are memories with data retention over a period of time after a power shutdown. |
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| 3. | “Microprocessor microcircuits”, “microcomputer microcircuits” and microcontroller microcircuits, manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz; |
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| | Category Code 3A001.a.3. includes digital signal processors, digital array processors and digital coprocessors. |
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| 5. | Analogue‑to‑Digital Converter (ADC) and Digital‑to‑Analogue Converter (DAC) integrated circuits, as follows: |
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| a. | ADCs having any of the following characteristics: |
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| | See also Category Code 3A101. |
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| 1. | A resolution of 8 bit or more, but less than 10 bit, with a “sample rate” greater than 1.3 giga samples per second (GSPS); |
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| 2. | A resolution of 10 bit or more, but less than 12 bit, with a “sample rate” greater than 600 mega samples per second (MSPS); |
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| 3. | A resolution of 12 bit or more, but less than 14 bit, with a “sample rate” greater than 400 mega samples per second (MSPS); |
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| 4. | A resolution of 14 bit or more, but less than 16 bit, with a “sample rate” greater than 250 mega samples per second (MSPS); or |
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| 5. | A resolution of 16 bit or more with a “sample rate” greater than 65 mega samples per second (MSPS); |
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| | For integrated circuits that contain Analogue‑to‑Digital Converters (ADCs) and store or process the digitised data, see Category Code 3A001.a.14. |
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| 1. | A resolution of n bit corresponds to a quantisation of 2n levels. |
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| 2. | The resolution of the ADC is the number of bits of the digital output that represents the measured analogue input. Effective Number of Bits (ENOB) is not used to determine the resolution of the ADC. |
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| 3. | For “multiple channel ADCs”, the “sample rate” is not aggregated and the “sample rate” is the maximum rate of any single channel. |
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| 4. | For “interleaved ADCs” or for “multiple channel ADCs” that are specified to have an interleaved mode of operation, the “sample rates” are aggregated and the “sample rate” is the maximum combined total rate of all of the interleaved channels. |
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| b. | Digital‑to‑Analogue Converters (DACs) having either of the following characteristics: |
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| 1. | A resolution of 10 bit or more but less than 12 bit with an ‘adjusted update rate’ exceeding 3,500 MSPS; or |
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| 2. | A resolution of 12 bit or more and having either of the following characteristics: |
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| a. | An ‘adjusted update rate’ exceeding 1,250 MSPS but not exceeding 3,500 MSPS and having either of the following characteristics: |
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| 1. | A ‘settling time’ less than 9 ns to arrive at or within 0.024% of full scale from a full scale step; or |
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| 2. | A ‘Spurious Free Dynamic Range’ (SFDR) greater than 68 dBc (carrier) when synthesising a full scale analogue signal of 100 MHz or the highest full scale analogue signal frequency specified below 100 MHz; or |
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| b. | An ‘adjusted update rate’ exceeding 3,500 MSPS; |
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| 1. | ‘Spurious Free Dynamic Range’ (SFDR) is defined as the ratio of the rms value of the carrier frequency (maximum signal component) at the input of the DAC to the rms value of the next largest noise or harmonic distortion component at its output. |
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| 2. | SFDR is determined directly from the specification table or from the characterisation plots of SFDR versus frequency. |
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| 3. | A signal is defined to be full scale when its amplitude is greater than -3 dBfs (full scale). |
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| 4. | ‘Adjusted update rate’ for DACs: |
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| a. | For conventional (non‑interpolating) DACs, the ‘adjusted update rate’ is the rate at which the digital signal is converted to an analogue signal and the output analogue values are changed by the DAC. For DACs where the interpolation mode may be bypassed (interpolation factor of one), the DAC should be considered as a conventional (non‑interpolating) DAC. |
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| b. | For interpolating DACs (oversampling DACs), the ‘adjusted update rate’ is defined as the DAC update rate divided by the smallest interpolating factor. For interpolating DACs, the ‘adjusted update rate’ may be referred to by different terms including: |
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| − | maximum total input bus rate |
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| − | maximum DAC clock rate for DAC clock input. |
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| 5. | ‘Settling time’ means the time required for the output to come within one half bit of the final value when switching between any two levels of the converter. |
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| 6. | Electro‑optical and “optical integrated circuits”, designed for “signal processing” and having all of the following characteristics: |
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| a. | One or more than one internal “laser” diode; |
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| b. | One or more than one internal light detecting element; and |
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| 7. | Field programmable logic devices having either of the following characteristics: |
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| a. | A maximum number of single‑ended digital inputs/outputs of greater than 700; or |
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| b. | An ‘aggregate one‑way peak serial transceiver data rate’ of 500 Gb/s or greater; |
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| | Category Code 3A001.a.7. includes: |
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| − | Complex Programmable Logic Devices (CPLDs) |
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| − | Field Programmable Gate Arrays (FPGAs) |
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| − | Field Programmable Logic Arrays (FPLAs) |
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| − | Field Programmable Interconnects (FPICs) |
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| | For integrated circuits having field programmable logic devices that are combined with an Analogue‑to‑Digital Converter (ADC), see Category Code 3A001.a.14. |
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| 1. | Maximum number of digital inputs/outputs in Category Code 3A001.a.7.a. is also referred to as the maximum user inputs/outputs or maximum available inputs/outputs, whether the integrated circuit is packaged or bare die. |
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| 2. | ‘Aggregate one‑way peak serial transceiver data rate’ is the product of the peak serial one‑way transceiver data rate times the number of transceivers on the FPGA. |
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| 9. | Neural network integrated circuits; |
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| 10. | Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following characteristics: |
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| a. | Have more than 1,500 terminals; |
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| b. | A typical “basic gate propagation delay time” of less than 0.02 ns; or |
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| c. | An operating frequency exceeding 3 GHz; |
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| 11. | Digital integrated circuits, other than those described in Category Codes 3A001.a.3. to 3A001.a.10. and 3A001.a.12., based upon any compound semiconductor and having either of the following characteristics: |
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| a. | An equivalent gate count of more than 3,000 (2 input gates); or |
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| b. | A toggle frequency exceeding 1.2 GHz; |
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| 12. | Fast Fourier Transform (FFT) processors having a rated execution time for an N‑point complex FFT of less than (N log2 N)/20,480 ms, where N is the number of points; |
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| | When N is equal to 1,024 points, the formula in Category Code 3A001.a.12. gives an execution time of 500 µs. |
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| 13. | Direct Digital Synthesiser (DDS) integrated circuits having either of the following characteristics: |
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| a. | A ‘Digital‑to‑Analogue Converter (DAC) clock frequency’ of 3.5 GHz or more and a DAC resolution of 10 bit or more, but less than 12 bit; or |
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| b. | A ‘DAC clock frequency’ of 1.25 GHz or more and a DAC resolution of 12 bit or more; |
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| | The ‘DAC clock frequency’ may be specified as the master clock frequency or the input clock frequency. |
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| 14. | Integrated circuits that perform or are programmable to perform both of the following: |
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| a. | Analogue‑to‑digital conversions meeting any of the following: |
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| 1. | A resolution of 8 bit or more, but less than 10 bit, with a “sample rate” greater than 1.3 giga samples per second (GSPS); |
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| 2. | A resolution of 10 bit or more, but less than 12 bit, with a “sample rate” greater than 1 giga samples per second (GSPS); |
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| 3. | A resolution of 12 bit or more, but less than 14 bit, with a “sample rate” greater than 1 giga samples per second (GSPS); |
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| 4. | A resolution of 14 bit or more, but less than 16 bit, with a “sample rate” greater than 400 mega samples per second (MSPS); or |
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| 5. | A resolution of 16 bit or more with a “sample rate” greater than 180 mega samples per second (MSPS); and |
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| b. | Either of the following: |
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| 1. | Storage of digitised data; or |
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| 2. | Processing of digitised data; |
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| | For Analogue‑to‑Digital Converter (ADC) integrated circuits, see Category Code 3A001.a.5.a. |
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| | For field programmable logic devices, see Category Code 3A001.a.7. |
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1. | A resolution of n bit corresponds to a quantisation of 2n levels. |
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| 2. | The resolution of the ADC is the number of bits of the digital output of the ADC that represents the measured analogue input. Effective Number of Bits (ENOB) is not used to determine the resolution of the ADC. |
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| 3. | For integrated circuits with non-interleaving “multiple channel ADCs”, the “sample rate” is not aggregated and the “sample rate” is the maximum rate of any single channel. |
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| 4. | For integrated circuits with “interleaved ADCs” or with “multiple channel ADCs” that are specified to have an interleaved mode of operation, the “sample rates” are aggregated and the “sample rate” is the maximum combined total rate of all of the interleaved channels. |
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| b. | Microwave or millimetre wave items, as follows: |
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| | For purpose of Category Code 3A001.b., the parameter peak saturated power output may also be referred to on product data sheets as output power, saturated power output, maximum power output, peak power output, or peak envelope power output. |
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| 1. | “Vacuum electronic devices” and cathodes, as follows: |
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| | Category Code 3A001.b.1. does not include “vacuum electronic devices” designed or rated for operation in any frequency band and having both of the following characteristics: |
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| a. | Does not exceed 31.8 GHz; and |
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| b. | Is “allocated by the ITU” for radio‑communications services, but not for radio‑determination. |
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| | Category Code 3A001.b.1. does not include non‑“space‑qualified” “vacuum electronic devices” having both of the following characteristics: |
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| a. | An average output power equal to or less than 50 W; and |
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| b. | Designed or rated for operation in any frequency band and having both of the following characteristics: |
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| 1. | Exceeds 31.8 GHz but does not exceed 43.5 GHz; and |
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| 2. | Is “allocated by the ITU” for radio‑communications services, but not for radio‑determination. |
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| a. | Travelling‑wave “vacuum electronic devices”, pulsed or continuous wave, as follows: |
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| 1. | Devices operating at frequencies exceeding 31.8 GHz; |
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| 2. | Devices having a cathode heater with a turn on time to rated RF power of less than 3 s; |
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| 3. | Coupled cavity devices, or derivatives thereof, with a “fractional bandwidth” of more than 7% or a peak power exceeding 2.5 kW; |
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| 4. | Devices based on helix, folded waveguide, or serpentine waveguide circuits, or derivatives thereof, having any of the following characteristics: |
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| a. | An “instantaneous bandwidth” of more than one octave, and average power (expressed in kW) times frequency (expressed in GHz) of more than 0.5; |
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| b. | An “instantaneous bandwidth” of one octave or less, and average power (expressed in kW) times frequency (expressed in GHz) of more than 1; |
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| c. | Being “space‑qualified”; or |
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| d. | Having a gridded electron gun; |
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| 5. | Devices with a “fractional bandwidth” greater than or equal to 10%, with any of the following: |
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| a. | An annular electron beam; |
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| b. | A non‑axisymmetric electron beam; or |
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| c. | Multiple electron beams; |
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| b. | Crossed‑field amplifier “vacuum electronic devices” with a gain of more than 17 dB; |
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| c. | Thermionic cathodes designed for “vacuum electronic devices” producing an emission current density at rated operating conditions exceeding 5 A/cm2 or a pulsed (non‑continuous) current density at rated operating conditions exceeding 10 A/cm2; |
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| d. | “Vacuum electronic devices” with the capability to operate in a ‘dual mode’; |
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| | ‘Dual mode’ means the “vacuum electronic device” beam current can be intentionally changed between continuous-wave and pulsed mode operation by use of a grid and produces a peak pulse output power greater than the continuous‑wave output power. |
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| 2. | “Monolithic Microwave Integrated Circuits” (“MMIC”) amplifiers that are any of the following: |
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| | For “MMIC” amplifiers that have an integrated phase shifter, see Category Code 3A001.b.12. |
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| a. | Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz with a “fractional bandwidth” greater than 15%, and having any of the following characteristics: |
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| 1. | A peak saturated power output greater than 75 W (48.75 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz; |
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| 2. | 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; |
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| 3. | 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 |
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| 4. | 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; |
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| b. | Rated for operation at frequencies exceeding 6.8 GHz up to and including 16 GHz with a “fractional bandwidth” greater than 10%, and having either of the following characteristics: |
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| 1. | A peak saturated power output greater than 10 W (40 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; or |
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| 2. | A peak saturated power output greater than 5 W (37 dBm) at any frequency exceeding 8.5 GHz up to and including 16 GHz; |
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| c. | Rated for operation with a peak saturated power output greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz, and with a “fractional bandwidth” of greater than 10%; |
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| d. | Rated for operation with a peak saturated power output greater than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz; |
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| e. | Rated for operation with a peak saturated power output greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz, and with a “fractional bandwidth” of greater than 10%; |
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| f. | Rated for operation with a peak saturated power output greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz, and with a “fractional bandwidth” of greater than 10%; |
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| g. | Rated for operation with a peak saturated power output greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a “fractional bandwidth” of greater than 5%; or |
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| h. | Rated for operation with a peak saturated power output greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz; |
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| | Whether any “MMIC” whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by Category Codes 3A001.b.2.a. to 3A001.b.2.h., is included in that Category is determined by the lowest peak saturated power output threshold. |
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| | Notes 1 and 2 in Category 3A mean that Category Code 3A001.b.2. does not include “MMICs” if they are specially designed for other applications, e.g. telecommunications, radar, automobiles. |
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| 3. | Discrete microwave transistors having any of the following characteristics: |
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| a. | Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz and having any of the following characteristics: |
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| 1. | A peak saturated power output greater than 400 W (56 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz; |
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| 2. | A peak saturated power output greater than 205 W (53.12 dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz; |
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| 3. | A peak saturated power output greater than 115 W (50.61 dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or |
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| 4. | A peak saturated power output greater than 60 W (47.78 dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz; |
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| b. | Rated for operation at frequencies exceeding 6.8 GHz up to and including 31.8 GHz and having any of the following characteristics: |
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| 1. | A peak saturated power output greater than 50 W (47 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; |
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| 2. | A peak saturated power output greater than 15 W (41.76 dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz; |
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| 3. | A peak saturated power output greater than 40 W (46 dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; or |
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| 4. | A peak saturated power output greater than 7 W (38.45 dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz; |
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| c. | Rated for operation with a peak saturated power output greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz; |
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| d. | Rated for operation with a peak saturated power output greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz; |
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| e. | Rated for operation with a peak saturated power output greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz; or |
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| f. | Other than those specified in Category Codes 3A001.b.3.a. to 3A001.b.3.e., and rated for operation with a peak saturated power output greater than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and including 31.8 GHz; |
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| | Whether a transistor whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by Category Codes 3A001.b.3.a. to 3A001.b.3.e., is included under that Category is determined by the lowest peak saturated power output threshold. |
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| | Category Code 3A001.b.3. includes bare dice, dice mounted on carriers, or dice mounted in packages. Some discrete transistors may also be referred to as power amplifiers, but the status of these discrete transistors is determined by Category Code 3A001.b.3. |
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| 4. | Microwave solid state amplifiers and microwave assemblies/modules containing microwave solid state amplifiers, having any of the following characteristics: |
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| a. | Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz with a “fractional bandwidth” greater than 15%, and having any of the following characteristics: |
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| 1. | A peak saturated power output greater than 500 W (57 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz; |
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| 2. | A peak saturated power output greater than 270 W (54.3 dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz; |
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| 3. | A peak saturated power output greater than 200 W (53 dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or |
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| 4. | A peak saturated power output greater than 90 W (49.54 dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz; |
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| b. | Rated for operation at frequencies exceeding 6.8 GHz up to and including 31.8 GHz with a “fractional bandwidth” greater than 10%, and having any of the following characteristics: |
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| 1. | A peak saturated power output greater than 70 W (48.54 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; |
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| 2. | A peak saturated power output greater than 50 W (47 dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz; |
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| 3. | A peak saturated power output greater than 30 W (44.77 dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; or |
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| 4. | A peak saturated power output greater than 20 W (43 dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz; |
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| c. | Rated for operation with a peak saturated power output greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz; |
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| d. | Rated for operation with a peak saturated power output greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz, and with a “fractional bandwidth” of greater than 10%; |
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| e. | Rated for operation at frequencies exceeding 43.5 GHz and having any of the following characteristics: |
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| 1. | A peak saturated power output greater than 0.2 W (23 dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz, and with a “fractional bandwidth” of greater than 10%; |
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| 2. | A peak saturated power output greater than 20 mW (13 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a “fractional bandwidth” of greater than 5%; or |
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| 3. | A peak saturated power output greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz; or |
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| | For “MMIC” amplifiers, see Category Code 3A001.b.2. |
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| | For ‘transmit/receive modules’ and ‘transmit modules’, see Category Code 3A001.b.12. |
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| | For converters and harmonic mixers, designed to extend the operating or frequency range of signal analysers, signal generators, network analysers or microwave test receivers, see Category Code 3A001.b.7. |
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| | Whether an item whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by Category Codes 3A001.b.4.a. to 3A001.b.4.e., is included in that Category is determined by the lowest peak saturated power output threshold. |
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| 5. | Electronically or magnetically tunable band-pass or band-stop filters, having more than 5 tunable resonators capable of tuning across 1.5:1 frequency band (fmax/fmin) in less than 10 µs and having either of the following characteristics: |
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| a. | A band‑pass bandwidth of more than 0.5% of centre frequency; or |
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| b. | A band‑stop bandwidth of less than 0.5% of centre frequency; |
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| 7. | Converters and harmonic mixers having any of the following characteristics: |
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| a. | Designed to extend the frequency range of “signal analysers” beyond 90 GHz; |
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| b. | Designed to extend the operating range of signal generators as follows: |
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| 2. | To an output power greater than 100 mW (20 dBm) anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz; |
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| c. | Designed to extend the operating range of network analysers as follows: |
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| 2. | To an output power greater than 31.62 mW (15 dBm) anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz; |
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| 3. | To an output power greater than 1 mW (0 dBm) anywhere within the frequency range exceeding 90 GHz but not exceeding 110 GHz; or |
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| d. | Designed to extend the frequency range of microwave test receivers beyond 110 GHz; |
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| 8. | Microwave power amplifiers containing “vacuum electronic devices” specified in Category Code 3A001.b.1. and having all of the following characteristics: |
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| a. | Operating frequencies above 3 GHz; |
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| b. | An average output power to mass ratio exceeding 80 W/kg; and |
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| c. | A volume of less than 400 cm3; |
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| | Category Code 3A001.b.8. does not include equipment designed or rated for operation in any frequency band which is “allocated by the ITU” for radio‑communications services, but not for radio‑determination. |
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|
| 9. | Microwave Power Modules (MPM), consisting of, at least, a travelling‑wave “vacuum electronic device”, a “Monolithic Microwave Integrated Circuit” (“MMIC”) and an integrated electronic power conditioner and having all of the following characteristics: |
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|
| a. | A ‘turn‑on time’ from off to fully operational in less than 10 s; |
|
|
| b. | A volume less than the maximum rated power in watts multiplied by 10 cm3/W; and |
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| c. | An “instantaneous bandwidth” greater than 1 octave (fmax > 2fmin) and having either of the following characteristics: |
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|
| 1. | For frequencies equal to or less than 18 GHz, an RF output power greater than 100 W; or |
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|
| 2. | A frequency greater than 18 GHz; |
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|
| 1. | To calculate the volume in Category Code 3A001.b.9.b., the following example is provided: for a maximum rated power of 20 W, the volume would be: 20 W × 10 cm3/W = 200 cm3. |
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|
| 2. | The ‘turn‑on time’ in Category Code 3A001.b.9.a. refers to the time from fully‑off to fully operational, i.e. it includes the warm-up time of the MPM. |
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| 10. | Oscillators or oscillator assemblies, specified to operate with a Single Sideband (SSB) phase noise, in dBc/Hz, less (better) than -(126 + 20log10F - 20log10f) anywhere within the range of 10 Hz ≤ F ≤ 10 kHz; |
|
|
| | In Category Code 3A001.b.10., F is the offset from the operating frequency in Hz and f is the operating frequency in MHz. |
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| 11. | ‘Frequency synthesiser’ “electronic assemblies” having a “frequency switching time” as specified by any of the following: |
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|
| |
| b. | Less than 100 µs for any frequency change exceeding 2.2 GHz within the synthesised frequency range exceeding 4.8 GHz but not exceeding 31.8 GHz; |
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|
| |
| d. | Less than 500 µs for any frequency change exceeding 550 MHz within the synthesised frequency range exceeding 31.8 GHz but not exceeding 37 GHz; |
|
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| e. | Less than 100 µs for any frequency change exceeding 2.2 GHz within the synthesised frequency range exceeding 37 GHz but not exceeding 90 GHz; |
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| |
| g. | Less than 1 ms within the synthesised frequency range exceeding 90 GHz; |
|
|
| | For general purpose “signal analysers”, signal generators, network analysers and microwave test receivers, see Category Codes 3A002.c., 3A002.d., 3A002.e. and 3A002.f., respectively. |
|
|
| | A ‘frequency synthesiser’ is any kind of frequency source, regardless of the actual technique used, providing a multiplicity of simultaneous or alternative output frequencies, from one or more outputs, controlled by, derived from or disciplined by a lesser number of standard (or master) frequencies. |
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|
| 12. | ‘Transmit/receive modules’, ‘transmit/receive MMICs’, ‘transmit modules’, and ‘transmit MMICs’, rated for operation at frequencies above 2.7 GHz and having all of the following characteristics: |
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| a. | A peak saturated power output (in watts), Psat, greater than 505.62 divided by the maximum operating frequency (in GHz) squared [Psat > 505.62 W*GHz2/fGHz2] for any channel; |
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| b. | A “fractional bandwidth” of 5% or greater for any channel; |
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| c. | Any planar side with length d (in cm) equal to or less than 15 divided by the lowest operating frequency in GHz [d ≤ 15 cm*GHz*N/fGHz] where N is the number of transmit or transmit/receive channels; and |
|
|
| d. | An electronically variable phase shifter per channel. |
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|
| 1. | A ‘transmit/receive module’ is a multifunction “electronic assembly” that provides bi‑directional amplitude and phase control for transmission and reception of signals. |
|
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| 2. | A ‘transmit module’ is an “electronic assembly” that provides amplitude and phase control for transmission of signals. |
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| 3. | A ‘transmit/receive MMIC’ is a multifunction “MMIC” that provides bi‑directional amplitude and phase control for transmission and reception of signals. |
|
|
| 4. | A ‘transmit MMIC’ is a “MMIC” that provides amplitude and phase control for transmission of signals. |
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|
| 5. | 2.7 GHz should be used as the lowest operating frequency (fGHz) in the formula in Category Code 3A001.b.12.c. for transmit/receive or transmit modules that have a rated operation range extending downward to 2.7 GHz and below [d ≤ 15 cm*GHz*N/2.7 GHz]. |
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| 6. | Category Code 3A001.b.12. applies to ‘transmit/receive modules’ or ‘transmit modules’ with or without a heat sink. The value of d in Category Code 3A001.b.12.c. does not include any portion of the ‘transmit/receive module’ or ‘transmit module’ that functions as a heat sink. |
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| 7. | ‘Transmit/receive modules’, or ‘transmit modules’, or ‘transmit/receive MMICs’ or ‘transmit MMICs’ may or may not have N integrated radiating antenna elements where N is the number of transmit or transmit/receive channels. |
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|
| c. | Acoustic wave devices as follows and specially designed components therefor: |
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| 1. | Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices, having any of the following characteristics: |
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|
| a. | A carrier frequency exceeding 6 GHz; |
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|
| b. | A carrier frequency exceeding 1 GHz, but not exceeding 6 GHz, and having any of the following characteristics: |
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|
| 1. | A ‘frequency side‑lobe rejection’ exceeding 65 dB; |
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| 2. | A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100; |
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| 3. | A bandwidth greater than 250 MHz; or |
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| 4. | A dispersive delay of more than 10 µs; or |
|
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| c. | A carrier frequency of 1 GHz or less and having any of the following characteristics: |
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|
| 1. | A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100; |
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|
| 2. | A dispersive delay of more than 10 µs; or |
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|
| 3. | A ‘frequency side-lobe rejection’ exceeding 65 dB and a bandwidth greater than 100 MHz; |
|
|
| | ‘Frequency side‑lobe rejection’ is the maximum rejection value specified in data sheet. |
|
|
| 2. | Bulk (volume) acoustic wave devices which permit the direct processing of signals at frequencies exceeding 6 GHz; |
|
|
| 3. | Acoustic‑optic “signal processing” devices employing interaction between acoustic waves (bulk wave or surface wave) and light waves which permit the direct processing of signals or images, including spectral analysis, correlation or convolution; |
|
|
| | Category Code 3A001.c. does not include acoustic wave devices that are limited to a single band pass, low pass, high pass or notch filtering, or resonating function. |
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|
| d. | Electronic devices and circuits 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 either of the following characteristics: |
|
|
| 1. | Current switching for digital circuits using “superconductive” gates with a product of delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10-14 J; or |
|
|
| 2. | Frequency selection at all frequencies using resonant circuits with Q‑values exceeding 10,000; |
|
|
| e. | High energy devices, as follows: |
|
|
| |
| a. | ‘Primary cells’ having either of the following characteristics at 20 °C; |
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|
| 1. | ‘Energy density’ exceeding 550 Wh/kg and a ‘continuous power density’ exceeding 50 W/kg; or |
|
|
| 2. | ‘Energy density’ exceeding 50 Wh/kg and a ‘continuous power density’ exceeding 350 W/kg; |
|
|
| b. | ‘Secondary cells’ having an ‘energy density’ exceeding 350 Wh/kg at 20 ºC; |
|
|
| 1. | For the purpose of Category Code 3A001.e.1., ‘energy density’ (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere‑hours (Ah) divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in ohms and the mass in kilograms. |
|
|
| 2. | For the purpose of Category Code 3A001.e.1., a ‘cell’ is defined as an electrochemical device, which has positive and negative electrodes, an electrolyte, and is a source of electrical energy. It is the basic building block of a battery. |
|
|
| 3. | For the purpose of Category Code 3A001.e.1.a., a ‘primary cell’ is a ‘cell’ that is not designed to be charged by any other source. |
|
|
| 4. | For the purpose of Category Code 3A001.e.1.b., a ‘secondary cell’ is a ‘cell’ that is designed to be charged by an external electrical source. |
|
|
| 5. | For the purpose of Category Code 3A001.e.1.a., ‘continuous power density’ (W/kg) is calculated from the nominal voltage multiplied by the specified maximum continuous discharge current in ampere (A) divided by the mass in kilograms. ‘Continuous power density’ is also referred to as specific power. |
|
|
| | Category Code 3A001.e.1. does not include batteries, including single‑cell batteries. |
|
|
| 2. | High energy storage capacitors, as follows: |
|
|
| | See also Category Code 3A201.a. and Division 2 of Part 1 of this Schedule. |
|
|
| a. | Capacitors with a repetition rate of less than 10 Hz (single shot capacitors) and having all of the following characteristics: |
|
|
| 1. | A voltage rating equal to or more than 5 kV; |
|
|
| 2. | An energy density equal to or more than 250 J/kg; and |
|
|
| 3. | A total energy equal to or more than 25 kJ; |
|
|
| b. | Capacitors with a repetition rate of 10 Hz or more (repetition rated capacitors) and having all of the following characteristics: |
|
|
| 1. | A voltage rating equal to or more than 5 kV; |
|
|
| 2. | An energy density equal to or more than 50 J/kg; |
|
|
| 3. | A total energy equal to or more than 100 J; and |
|
|
| 4. | A charge/discharge cycle life equal to or more than 10,000; |
|
|
| 3. | “Superconductive” electromagnets and solenoids, specially designed to be fully charged or discharged in less than 1 s and having all of the following characteristics: |
|
|
| | See also Category Code 3A201.b. |
|
|
| | Category Code 3A001.e.3. does not include “superconductive” electromagnets or solenoids specially designed for Magnetic Resonance Imaging (MRI) medical equipment. |
|
|
| a. | Energy delivered during the discharge exceeding 10 kJ in the first second; |
|
|
| b. | Inner diameter of the current carrying windings of more than 250 mm; and |
|
|
| c. | Rated for a magnetic induction of more than 8 T or “overall current density” in the winding of more than 300 A/mm2; |
|
|
| 4. | Solar cells, cell‑interconnect‑coverglass (CIC) assemblies, solar panels, and solar arrays, which are “space‑qualified”, having a minimum average efficiency exceeding 20% at an operating temperature of 301 K (28 °C) under simulated ‘AM0’ illumination with an irradiance of 1,367 watts per square metre (W/m2); |
|
|
| | ‘AM0’, or ‘Air Mass Zero’, refers to the spectral irradiance of sun light in the earth’s outer atmosphere when the distance between the earth and sun is one astronomical unit (AU). |
|
|
| f. | Rotary input type absolute position encoders having an “accuracy” equal to or less (better) than 1 second of arc, and specially designed encoder rings, discs or scales therefor; |
|
|
| g. | Solid-state pulsed power switching thyristor devices and ‘thyristor modules’, using either electrically, optically, or electron radiation controlled switch methods and having either of the following characteristics: |
|
|
| 1. | A maximum turn‑on current rate of rise (di/dt) greater than 30,000 A/μs and off‑state voltage greater than 1,100 V; or |
|
|
| 2. | A maximum turn‑on current rate of rise (di/dt) greater than 2,000 A/μs and having both of the following characteristics: |
|
|
| a. | An off‑state peak voltage equal to or greater than 3,000 V; and |
|
|
| b. | A peak (surge) current equal to or greater than 3,000 A; |
|
|
| | Category Code 3A001.g. includes: |
|
|
| − | Silicon Controlled Rectifiers (SCRs) |
|
|
| − | Electrical Triggering Thyristors (ETTs) |
|
|
| − | Light Triggering Thyristors (LTTs) |
|
|
| − | Integrated Gate Commutated Thyristors (IGCTs) |
|
|
| − | Gate Turn‑off Thyristors (GTOs) |
|
|
| − | MOS Controlled Thyristors (MCTs) |
|
|
| |
| | Category Code 3A001.g. does not include thyristor devices and ‘thyristor modules’ incorporated into equipment designed for civil railway or “civil aircraft” applications. |
|
|
| | For the purpose of Category Code 3A001.g., a ‘thyristor module’ contains one or more thyristor devices. |
|
|
| h. | Solid‑state power semiconductor switches, diodes, or ‘modules’, having all of the following characteristics: |
|
|
| 1. | Rated for a maximum operating junction temperature greater than 488 K (215 °C); |
|
|
| 2. | Repetitive peak off‑state voltage (blocking voltage) exceeding 300 V; and |
|
|
| 3. | Continuous current greater than 1 A; |
|
|
| | Repetitive peak off‑state voltage in Category Code 3A001.h. includes drain to source voltage, collector to emitter voltage, repetitive peak reverse voltage and peak repetitive off‑state blocking voltage. |
|
|
| | Category Code 3A001.h. includes: |
|
|
| − | Junction Field Effect Transistors (JFETs) |
|
|
| − | Vertical Junction Field Effect Transistors (VJFETs) |
|
|
| − | Metal Oxide Semiconductor Field Effect Transistors (MOSFETs) |
|
|
| − | Double Diffused Metal Oxide Semiconductor Field Effect Transistor (DMOSFET) |
|
|
| − | Insulated Gate Bipolar Transistor (IGBT) |
|
|
| − | High Electron Mobility Transistors (HEMTs) |
|
|
| − | Bipolar Junction Transistors (BJTs) |
|
|
| − | Thyristors and Silicon Controlled Rectifiers (SCRs) |
|
|
| − | Gate Turn‑Off Thyristors (GTOs) |
|
|
| − | Emitter Turn‑Off Thyristors (ETOs) |
|
|
| |
| |
| | Category Code 3A001.h. does not include switches, diodes, or ‘modules’, incorporated into equipment designed for civil automobile, civil railway or “civil aircraft” applications. |
|
|
| | For the purpose of Category Code 3A001.h., ‘modules’ contain one or more solid-state power semiconductor switches or diodes. |
|
|
| i. | Intensity, amplitude, or phase electro‑optic modulators, designed for analogue signals and having either of the following characteristics: |
|
|
| 1. | A maximum operating frequency of more than 10 GHz but less than 20 GHz, an optical insertion loss equal to or less than 3 dB and having either of the following characteristics: |
|
|
| a. | A ‘half‑wave voltage’ (‘Vπ’) less than 2.7 V when measured at a frequency of 1 GHz or below; or |
|
|
| b. | A ‘Vπ’ of less than 4 V when measured at a frequency of more than 1 GHz; or |
|
|
| 2. | A maximum operating frequency equal to or greater than 20 GHz, an optical insertion loss equal to or less than 3 dB and having either of the following characteristics: |
|
a. | A ‘Vπ’ less than 3.3 V when measured at a frequency of 1 GHz or below; or |
|
b. | A ‘Vπ’ less than 5 V when measured at a frequency of more than 1 GHz. |
|
|
| | Category Code 3A001.i. includes electro-optic modulators having optical input and output connectors (e.g. fibre‑optic pigtails). |
|
| For the purpose of Category Code 3A001.i., a ‘half-wave voltage’ (‘Vπ’) is the applied voltage necessary to make a phase change of 180 degrees in the wavelength of light propagating through the optical modulator. |
|
|
| |
| General purpose “electronic assemblies”, modules and equipment, as follows: |
|
| a. | Recording equipment and oscilloscopes, as follows: |
|
|
| |
| |
| |
| |
| |
| 6. | Digital data recorders having both of the following characteristics: |
|
|
| a. | A sustained ‘continuous throughput’ of more than 6.4 Gbit/s to disk or solid‑state drive memory; and |
|
|
| b. | “Signal processing” of the radio frequency signal data while it is being recorded; |
|
|
| 1. | For recorders with a parallel bus architecture, the ‘continuous throughput’ rate is the highest word rate multiplied by the number of bits in a word. |
|
|
| 2. | ‘Continuous throughput’ is the fastest data rate the instrument can record to disk or solid-state drive memory without the loss of any information while sustaining the input digital data rate or digitiser conversion rate. |
|
|
| 7. | Real‑time oscilloscopes having a vertical root‑mean‑square (rms) noise voltage of less than 2% of full‑scale at the vertical scale setting that provides the lowest noise value for any input 3 dB bandwidth of 60 GHz or greater per channel; |
|
|
| | Category Code 3A002.a.7. does not include equivalent‑time sampling oscilloscopes. |
|
|
| |
| c. | “Signal analysers”, as follows: |
|
|
| 1. | “Signal analysers” having a 3 dB resolution bandwidth (RBW) exceeding 40 MHz anywhere within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz; |
|
|
| 2. | “Signal analysers” having Displayed Average Noise Level (DANL) less (better) than -150 dBm/Hz anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz; |
|
|
| 3. | “Signal analysers” having a frequency exceeding 90 GHz; |
|
|
| 4. | “Signal analysers” having both of the following characteristics: |
|
|
| a. | ‘Real‑time bandwidth’ exceeding 170 MHz; and |
|
|
| b. | Having either of the following characteristics: |
|
|
| 1. | 100% probability of discovery with less than a 3 dB reduction from full amplitude due to gaps or windowing effects of signals having a duration of 15 μs or less; or |
|
|
| 2. | A ‘frequency mask trigger’ function with 100% probability of trigger (capture) for signals having a duration of 15 μs or less; |
|
|
| |
| 1. | ‘Real-time bandwidth’ is the widest frequency range for which the analyser can continuously transform time‑domain data entirely into frequency‑domain results, using a Fourier or other discrete time transform that processes every incoming time point, without a reduction of measured amplitude of more than 3 dB below the actual signal amplitude caused by gaps or windowing effects, while outputting or displaying the transformed data. |
|
|
| 2. | Probability of discovery in Category Code 3A002.c.4.b.1. is also referred to as probability of intercept or probability of capture. |
|
|
| 3. | For the purpose of Category Code 3A002.c.4.b.1., the duration for 100% probability of discovery is equivalent to the minimum signal duration necessary for the specified level measurement uncertainty. |
|
|
| 4. | A ‘frequency mask trigger’ is a mechanism where the trigger function is able to select a frequency range to be triggered on as a subset of the acquisition bandwidth while ignoring other signals that may also be present within the same acquisition bandwidth. A ‘frequency mask trigger’ may contain more than one independent set of limits. |
|
|
| | Category Code 3A002.c.4. does not include those “signal analysers” using only constant percentage bandwidth filters (also known as octave or fractional octave filters). |
|
|
| |
| d. | Signal generators having any of the following characteristics: |
|
|
| 1. | Specified to generate pulse‑modulated signals having both of the following characteristics, anywhere within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz: |
|
|
| a. | ‘Pulse duration’ of less than 25 ns; and |
|
|
| b. | On/off ratio equal to or exceeding 65 dB; |
|
|
| 2. | An output power exceeding 100 mW (20 dBm) anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz; |
|
|
| 3. | A “frequency switching time” as specified by any of the following: |
|
|
| |
| b. | Less than 100 μs for any frequency change exceeding 2.2 GHz within the frequency range exceeding 4.8 GHz but not exceeding 31.8 GHz; |
|
|
| |
| d. | Less than 500 μs for any frequency change exceeding 550 MHz within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz; or |
|
|
| e. | Less than 100 μs for any frequency change exceeding 2.2 GHz within the frequency range exceeding 37 GHz but not exceeding 90 GHz; |
|
|
| |
| 4. | Single Sideband (SSB) phase noise, in dBc/Hz, specified as being either of the following: |
|
|
| a. | Less (better) than -(126 + 20log10F - 20log10f) anywhere within the range of 10 Hz ≤ F ≤ 10 kHz anywhere within the frequency range exceeding 3.2 GHz but not exceeding 90 GHz; or |
|
|
| b. | Less (better) than -(206 - 20log10f) anywhere within the range of 10 kHz < F ≤ 100 kHz anywhere within the frequency range exceeding 3.2 GHz but not exceeding 90 GHz; |
|
|
| | In Category Code 3A002.d.4., F is the offset from the operating frequency in Hz and f is the operating frequency in MHz. |
|
|
| 5. | An ‘RF modulation bandwidth’ of digital baseband signals as specified by any of the following: |
|
|
| a. | Exceeding 2.2 GHz within the frequency range exceeding 4.8 GHz but not exceeding 31.8 GHz; |
|
|
| b. | Exceeding 550 MHz within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz; or |
|
|
| c. | Exceeding 2.2 GHz within the frequency range exceeding 37 GHz but not exceeding 90 GHz; or |
|
|
| | ‘RF modulation bandwidth’ is the Radio Frequency (RF) bandwidth occupied by a digitally encoded baseband signal modulated onto an RF signal. It is also referred to as information bandwidth or vector modulation bandwidth. I/Q digital modulation is the technical method for producing a vector-modulated RF output signal, and that output signal is typically specified as having an ‘RF modulation bandwidth’. |
|
|
| 6. | A maximum frequency exceeding 90 GHz; |
|
|
| | For the purpose of Category Code 3A002.d., the term signal generators includes arbitrary waveform and function generators. |
|
|
| | Category Code 3A002.d. does not include equipment in which the output frequency is either produced by the addition or subtraction of two or more crystal oscillator frequencies, or by an addition or subtraction followed by a multiplication of the result. |
|
|
| 1. | The maximum frequency of an arbitrary waveform or function generator is calculated by dividing the sample rate, in samples per second, by a factor of 2.5. |
|
|
| 2. | For the purpose of Category Code 3A002.d.1.a., ‘pulse duration’ is defined as the time interval from the point on the leading edge that is 50% of the pulse amplitude to the point on the trailing edge that is 50% of the pulse amplitude. |
|
|
| e. | Network analysers having any of the following characteristics: |
|
|
| 1. | An output power exceeding 31.62 mW (15 dBm) anywhere within the operating frequency range exceeding 43.5 GHz but not exceeding 90 GHz; |
|
|
| 2. | An output power exceeding 1 mW (0 dBm) anywhere within the operating frequency range exceeding 90 GHz but not exceeding 110 GHz; |
|
|
| 3. | ‘Non‑linear vector measurement functionality’ at frequencies exceeding 50 GHz but not exceeding 110 GHz; or |
|
|
| | ‘Non‑linear vector measurement functionality’ is an instrument’s ability to analyse the test results of devices driven into the large-signal domain or the non-linear distortion range. |
|
|
| 4. | A maximum operating frequency exceeding 110 GHz; |
|
|
| f. | Microwave test receivers having both of the following characteristics: |
|
|
| 1. | A maximum operating frequency exceeding 110 GHz; and |
|
|
| 2. | Being capable of measuring amplitude and phase simultaneously; |
|
|
| g. | Atomic frequency standards being any of the following: |
|
|
| |
| 2. | Non‑rubidium and having a long‑term stability less (better) than 1 × 10-11/month; or |
|
|
| 3. | Non‑“space‑qualified” and having all of the following characteristics: |
|
|
| a. | Being a rubidium standard; |
|
|
| b. | Long-term stability less (better) than 1 × 10-11/month; and |
|
|
| c. | Total power consumption of less than 1 W; |
|
|
| h. | “Electronic assemblies”, modules, or equipment, specified to perform both of the following: |
|
|
| 1. | Analogue‑to‑digital conversions meeting any of the following: |
|
|
| a. | A resolution of 8 bit or more, but less than 10 bit, with a “sample rate” greater than 1.3 giga samples per second (GSPS); |
|
|
| b. | A resolution of 10 bit or more, but less than 12 bit, with a “sample rate” greater than 1 giga samples per second (GSPS); |
|
|
| c. | A resolution of 12 bit or more, but less than 14 bit, with a “sample rate” greater than 1 giga samples per second (GSPS); |
|
|
| d. | A resolution of 14 bit or more but less than 16 bit, with a “sample rate” greater than 400 mega samples per second (MSPS); or |
|
|
| e. | A resolution of 16 bit or more with a “sample rate” greater than 180 mega samples per second (MSPS); and |
|
|
| |
| a. | Output of digitised data; |
|
|
| b. | Storage of digitised data; or |
|
|
| c. | Processing of digitised data. |
|
|
| Digital data recorders, oscilloscopes, “signal analysers”, signal generators, network analysers and microwave test receivers, are specified in Category Codes 3A002.a.6., 3A002.a.7., 3A002.c., 3A002.d., 3A002.e. and 3A002.f., respectively. |
|
| 1. | A resolution of n bit corresponds to a quantisation of 2n levels. |
|
|
| 2. | The resolution of the ADC is the number of bits of the digital output of the ADC that represents the measured analogue input. Effective Number of Bits (ENOB) is not used to determine the resolution of the ADC. |
|
|
| 3. | For non-interleaved multiple-channel “electronic assemblies”, modules, or equipment, the “sample rate” is not aggregated and the “sample rate” is the maximum rate of any single-channel. |
|
|
| 4. | For interleaved channels on multiple‑channel “electronic assemblies”, modules, or equipment, the “sample rates” are aggregated and the “sample rate” is the maximum combined total rate of all the interleaved channels. |
|
|
| | Category Code 3A002.h. includes ADC cards, waveform digitisers, data acquisition cards, signal acquisition boards and transient recorders. |
|
|
| |
| Spray cooling thermal management systems employing closed loop fluid handling and reconditioning equipment in a sealed enclosure where a dielectric fluid is sprayed onto electronic components using specially designed spray nozzles that are designed to maintain electronic components within their operating temperature range, and specially designed components therefor. |
|
| |
| Electronic equipment, devices and components, other than those specified in Category Code 3A001, as follows: |
|
| a. | Analogue‑to‑Digital Converters (ADCs), usable in “missiles”, designed to meet military specifications for ruggedised equipment; |
|
|
| b. | Accelerators capable of delivering electromagnetic radiation produced by bremsstrahlung from accelerated electrons of 2 MeV or greater, and systems containing those accelerators. |
|
|
| | Category Code 3A101.b. does not include equipment specially designed for medical purposes. |
|
|
| |
| ‘Thermal batteries’ designed or modified for ‘missiles’. |
|
| 1. | In Category Code 3A102, ‘thermal batteries’ are single use batteries that contain a solid non-conducting inorganic salt as the electrolyte. These batteries incorporate a pyrolytic material that, when ignited, melts the electrolyte and activates the battery. |
|
|
| 2. | In Category Code 3A102, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
|
| |
| Electronic components, other than those specified in Category Code 3A001, as follows: |
|
| a. | Capacitors having either of the following sets of characteristics: |
|
|
| | 1. a. Voltage rating greater than 1.4 kV; |
|
|
| | b. Energy storage greater than 10 J; |
|
|
| | c. Capacitance greater than 0.5 µF; and |
|
|
| | d. Series inductance less than 50 nH; or |
|
|
| | 2. a. Voltage rating greater than 750 V; |
|
|
| | b. Capacitance greater than 0.25 µF; and |
|
|
| | c. Series inductance less than 10 nH; |
|
|
| b. | Superconducting solenoidal electromagnets having all of the following characteristics: |
|
|
| 1. | Capable of creating magnetic fields greater than 2 T; |
|
|
| 2. | A ratio of length to inner diameter greater than 2; |
|
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| 3. | Inner diameter greater than 300 mm; and |
|
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| 4. | Magnetic field uniform to better than 1% over the central 50% of the inner volume; |
|
|
| | Category Code 3A201.b. does not include magnets specially designed for and exported ‘as parts of’ medical nuclear magnetic resonance (NMR) imaging systems. For this purpose, the magnets and NMR imaging systems may be part of the same shipment or in separate shipments from different sources, provided the related export documents clearly specify that the separate shipments are dispatched ‘as part of’ the imaging systems. |
|
|
| c. | Flash X‑ray generators or pulsed electron accelerators having either of the following sets of characteristics: |
|
|
| | 1. a. An accelerator peak electron energy of 500 keV or greater but less than 25 MeV; and |
|
|
| | b. With a ‘figure of merit’ (K) of 0.25 or greater; or |
|
|
| | 2. a. An accelerator peak electron energy of 25 MeV or greater; and |
|
|
| | b. A ‘peak power’ greater than 50 MW. |
|
|
| | Category Code 3A201.c. does not include accelerators that are component parts of devices designed for purposes other than electron beam or X‑ray radiation (e.g. electron microscopy) nor those designed for medical purposes. |
|
|
| 1. | The ‘figure of merit’ (K) is defined as: |
|
| V is the peak electron energy in million electron volts. |
|
|
| | If the accelerator beam pulse duration is less than or equal to 1 µs, then Q is the total accelerated charge in Coulombs. If the accelerator beam pulse duration is greater than 1 µs, then Q is the maximum accelerated charge in 1 µs. |
|
| Q equals the integral of i with respect to t, over the lesser of 1 µs or the time duration of the beam pulse (Q = ∫ idt), where i is beam current in amperes and t is time in seconds. |
|
|
| 2. | ‘Peak power’ = (peak potential in volts) × (peak beam current in amperes). |
|
|
| 3. | In machines based on microwave accelerating cavities, the time duration of the beam pulse is the lesser of 1 µs or the duration of the bunched beam packet resulting from one microwave modulator pulse. |
|
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| 4. | In machines based on microwave accelerating cavities, the peak beam current is the average current in the time duration of a bunched beam packet. |
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|
| |
| Frequency changers or generators, other than those specified in Category Code 0B001.b.13., usable as a variable or fixed frequency motor drive, having all of the following characteristics: |
|
| 1. | “Software” specially designed to enhance or release the performance of a frequency changer or generator to meet the characteristics of Category Code 3A225 is specified in Category Code 3D225. |
|
|
| 2. | “Technology” in the form of codes or keys to enhance or release the performance of a frequency changer or generator to meet the characteristics of Category Code 3A225 is specified in Category Code 3E225. |
|
|
| a. | Multiphase output providing a power of 40 VA or greater; |
|
|
| b. | Operating at a frequency of 600 Hz or more; and |
|
|
| c. | Frequency control better (less) than 0.2%. |
|
|
| Category Code 3A225 does not include frequency changers or generators if they have hardware, “software” or “technology” constraints that limit the performance to less than that specified above, provided they meet any of the following: |
|
| 1. | They need to be returned to the original manufacturer to make the enhancements or release the constraints; |
|
|
| 2. | They require “software” as specified in Category Code 3D225 to enhance or release the performance to meet the characteristics of Category Code 3A225; or |
|
|
| 3. | They require “technology” in the form of keys or codes as specified in Category Code 3E225 to enhance or release the performance to meet the characteristics of Category Code 3A225. |
|
|
| 1. | Frequency changers in Category Code 3A225 are also known as converters or inverters. |
|
|
| 2. | Frequency changers in Category Code 3A225 may be marketed as Generators, Electronic Test Equipment, AC Power Supplies, Variable Speed Motors Drives, Variable Speed Drives (VSDs), Variable Frequency Drives (VFDs), Adjustable Frequency Drives (AFDs), or Adjustable Speed Drives (ASDs). |
|
|
| |
| High‑power direct current power supplies, other than those specified in Category Code 0B001.j.6., having both of the following characteristics: |
|
| a. | Capable of continuously producing, over a time period of 8 hours, 100 V or greater with current output of 500 A or greater; and |
|
|
| b. | Current or voltage stability better than 0.1% over a time period of 8 hours. |
|
|
| |
| High‑voltage direct current power supplies, other than those specified in Category Code 0B001.j.5., having both of the following characteristics: |
|
| a. | Capable of continuously producing, over a time period of 8 hours, 20 kV or greater with current output of 1 A or greater; and |
|
|
| b. | Current or voltage stability better than 0.1% over a time period of 8 hours. |
|
|
| |
| Switching devices, as follows: |
|
| a. | Cold‑cathode tubes, whether gas filled or not, operating similarly to a spark gap, having all of the following characteristics: |
|
|
| 1. | Containing three or more electrodes; |
|
|
| 2. | Anode peak voltage rating of 2.5 kV or more; |
|
|
| 3. | Anode peak current rating of 100 A or more; and |
|
|
| 4. | Anode delay time of 10 µs or less; |
|
|
| | Category Code 3A228 includes gas krytron tubes and vacuum sprytron tubes. |
|
|
| b. | Triggered spark gaps having both of the following characteristics: |
|
|
| 1. | An anode delay time of 15 µs or less; and |
|
|
| 2. | Rated for a peak current of 500 A or more; |
|
|
| c. | Modules or assemblies with a fast switching function, other than those specified in Category Code 3A001.g. or 3A001.h., having all of the following characteristics: |
|
|
| 1. | Anode peak voltage rating greater than 2 kV; |
|
|
| 2. | Anode peak current rating of 500 A or more; and |
|
|
| 3. | Turn‑on time of 1 µs or less. |
|
|
| |
| High‑current pulse generators as follows: |
|
| See also Division 2 of Part 1 of this Schedule. |
|
| a. | Detonator firing sets (initiator systems, firesets), including electronically‑charged, explosively‑driven and optically‑driven firing sets, other than those specified in Category Code 1A007.a., designed to drive multiple controlled detonators specified in Category Code 1A007.b.; |
|
|
| b. | Modular electrical pulse generators (pulsers) having all of the following characteristics: |
|
|
| 1. | Designed for portable, mobile, or ruggedised‑use; |
|
|
| 2. | Capable of delivering their energy in less than 15 µs into loads of less than 40 ohms; |
|
|
| 3. | Having an output greater than 100 A; |
|
|
| 4. | No dimension greater than 30 cm; |
|
|
| 5. | Weight less than 30 kg; and |
|
|
| 6. | Specified for use over an extended temperature range 223 K (-50 ºC) to 373 K (100 ºC) or specified as suitable for aerospace applications; |
|
|
| | Category Code 3A229.b. includes xenon flash-lamp drivers. |
|
|
| c. | Micro‑firing units having all of the following characteristics: |
|
|
| 1. | No dimension greater than 35 mm; |
|
|
| 2. | Voltage rating of equal to or greater than 1 kV; and |
|
|
| 3. | Capacitance of equal to or greater than 100 nF. |
|
|
| |
| High‑speed pulse generators, and ‘pulse heads’ therefor, having both of the following characteristics: |
|
| a. | Output voltage greater than 6 V into a resistive load of less than 55 ohms; and |
|
|
| b. | ‘Pulse transition time’ less than 500 ps. |
|
|
| 1. | In Category Code 3A230, ‘pulse transition time’ is defined as the time interval between 10% and 90% voltage amplitude. |
|
|
| 2. | ‘Pulse heads’ are impulse forming networks designed to accept a voltage step function and shape it into a variety of pulse forms that can include rectangular, triangular, step, impulse, exponential, or monocycle types. ‘Pulse heads’ can be an integral part of the pulse generator, they can be a plug‑in module to the device or they can be an externally connected device. |
|
|
| |
| Neutron generator systems, including tubes, having both of the following characteristics: |
|
| a. | Designed for operation without an external vacuum system; and |
|
|
| b. | Utilising either of the following: |
|
|
| 1. | Electrostatic acceleration to induce a tritium‑deuterium nuclear reaction; or |
|
|
| 2. | Electrostatic acceleration to induce a deuterium‑deuterium nuclear reaction and capable of an output of 3 × 109 neutrons/s or greater. |
|
|
| |
| Multipoint initiation systems, other than those specified in Category Code 1A007, as follows: |
|
| See also Division 2 of Part 1 of this Schedule. |
See Category Code 1A007.b. for detonators. |
|
| |
| b. | Arrangements using single or multiple detonators designed to nearly simultaneously initiate an explosive surface over an area greater than 5,000 mm2 from a single firing signal with an initiation timing spread over the surface of less than 2.5 µs. |
|
|
| Category Code 3A232 does not include detonators using only primary explosives, such as lead azide. |
|
| |
| Mass spectrometers, other than those specified in Category Code 0B002.g., capable of measuring ions of 230 u or greater and having a resolution of better than 2 parts in 230 u, as follows, and ion sources therefor: |
|
| a. | Inductively coupled plasma mass spectrometers (ICP/MS); |
|
|
| b. | Glow discharge mass spectrometers (GDMS); |
|
|
| c. | Thermal ionisation mass spectrometers (TIMS); |
|
|
| d. | Electron bombardment mass spectrometers having both of the following features: |
|
|
| 1. | A molecular beam inlet system that injects a collimated beam of analyte molecules into a region of the ion source where the molecules are ionised by an electron beam; and |
|
|
| 2. | One or more ‘cold traps’ that can be cooled to a temperature of 193 K (-80 °C); |
|
|
| |
| f. | Mass spectrometers equipped with a microfluorination ion source designed for actinides or actinide fluorides. |
|
|
| 1. | Electron bombardment mass spectrometers in Category Code 3A233.d. are also known as electron impact mass spectrometers or electron ionisation mass spectrometers. |
|
|
| 2. | In Category Code 3A233.d.2., a ‘cold trap’ is a device that traps gas molecules by condensing or freezing them on cold surfaces. For the purpose of Category Code 3A233.d.2., a closed‑loop gaseous helium cryogenic vacuum pump is not a ‘cold trap’. |
|
|
| |
| Striplines to provide low inductance path to detonators with the following characteristics: |
|
| a. | Voltage rating greater than 2 kV; and |
|
|
| b. | Inductance of less than 20 nH. |
|
|
| |
| Test, Inspection and Production Equipment |
|
| Equipment for the manufacturing of semiconductor devices or materials, as follows and specially designed components and accessories therefor: |
|
| See also Category Code 2B226. |
|
| a. | Equipment designed for epitaxial growth, as follows: |
|
|
| 1. | 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; |
|
|
| | Category Code 3B001.a.1. includes Atomic Layer Epitaxy (ALE) equipment. |
|
|
| 2. | 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, or nitrogen; |
|
|
| 3. | Molecular beam epitaxial growth equipment using gas or solid sources; |
|
|
| b. | Equipment designed for ion implantation and having any of the following characteristics: |
|
|
| |
| 2. | 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; |
|
|
| 3. | Direct write capability; |
|
|
| 4. | 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 |
|
|
| 5. | 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; |
|
|
| |
| |
| e. | Automatic loading multi‑chamber central wafer handling systems, having both of the following characteristics: |
|
|
| 1. | Interfaces for wafer input and output, to which more than two functionally different ‘semiconductor process tools’ specified in Category Code 3B001.a.1., 3B001.a.2., 3B001.a.3. or 3B001.b. are designed to be connected; and |
|
|
| 2. | Designed to form an integrated system in a vacuum environment for ‘sequential multiple wafer processing’; |
|
|
| | Category Code 3B001.e. does not include automatic robotic wafer handling systems specially designed for parallel wafer processing. |
|
|
| 1. | For the purpose of Category Code 3B001.e., ‘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 purpose of Category Code 3B001.e., ‘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: |
|
|
| 1. | 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 either of the following characteristics: |
|
|
| 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; |
|
|
| | The “Minimum Resolvable Feature size” (MRF) is calculated by the following formula: |
|
|
| | where the K factor = 0.35 |
|
|
| 2. | Imprint lithography equipment capable of producing features of 45 nm or less; |
|
|
| | Category Code 3B001.f.2. includes: |
|
|
| − | Micro contact printing tools |
|
|
| |
| − | Nano-imprint lithography tools |
|
|
| − | Step and Flash Imprint Lithography (S-FIL) tools |
|
|
| 3. | Equipment specially designed for mask making having both of the following: |
|
|
| a. | A deflected focused electron beam, ion beam or “laser” beam; and |
|
|
| b. | Having any of the following characteristics: |
|
|
| 1. | A Full‑Width Half‑Maximum (FWHM) spot size smaller than 65 nm and an image placement less than 17 nm (mean + 3 sigma); or |
|
|
| |
| 3. | A second-layer overlay error of less than 23 nm (mean + 3 sigma) on the mask; |
|
|
| 4. | Equipment designed for device processing using direct writing methods, having both of the following: |
|
|
| a. | A deflected focused electron beam; and |
|
|
| b. | Having either of the following characteristics: |
|
|
| 1. | A minimum beam size equal to or smaller than 15 nm; or |
|
|
| 2. | An overlay error less than 27 nm (mean + 3 sigma); |
|
|
| g. | Masks and reticles, designed for integrated circuits specified in Category Code 3A001; |
|
|
| h. | Multi‑layer masks with a phase shift layer not specified in Category Code 3B001.g. and designed to be used by lithography equipment having a light source wavelength less than 245 nm; |
|
|
| | Category Code 3B001.h. does not include multi‑layer masks with a phase shift layer designed for the fabrication of memory devices not specified in Category Code 3A001. |
|
|
| | For mask and reticles, specially designed for optical sensors, see Category Code 6B002. |
|
|
| i. | Imprint lithography templates designed for integrated circuits specified in Category Code 3A001; |
|
|
| j. | Mask “substrate blanks” with multilayer reflector structure consisting of molybdenum and silicon, and having both of the following characteristics: |
|
|
| 1. | Specially designed for ‘Extreme Ultraviolet’ (‘EUV’) lithography; and |
|
|
| 2. | Compliant with SEMI Standard P37. |
|
|
| | ‘Extreme Ultraviolet’ (‘EUV’) refers to electromagnetic spectrum wavelengths greater than 5 nm and less than 124 nm. |
|
|
| |
| Test 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 Category Code 3A001.b.3.; |
|
|
| |
| c. | For testing items specified in Category Code 3A001.b.2. |
|
|
| |
| |
| Hetero‑epitaxial materials consisting of a “substrate” having stacked epitaxially grown multiple layers of any of the following: |
|
| |
| |
| c. | Silicon carbide (SiC); or |
|
|
| d. | “III/V compounds” of gallium or indium. |
|
|
| | Category Code 3C001.d. does not apply to 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. |
|
|
| |
| Resist materials as follows and “substrates” coated with the following resists: |
|
| a. | Resists designed for semiconductor lithography as follows: |
|
|
| 1. | Positive resists adjusted (optimised) for use at wavelengths less than 193 nm but equal to or greater than 15 nm; |
|
|
| 2. | 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; |
|
|
| |
| d. | All resists optimised for surface imaging technologies; |
|
|
| e. | All resists designed or optimised for use with imprint lithography equipment specified in Category Code 3B001.f.2. that use either a thermal or photo‑curable process. |
|
|
| |
| Organo‑inorganic compounds as follows: |
|
| a. | Organo‑metallic compounds of aluminium, gallium or indium, having a purity (metal basis) better than 99.999%; |
|
|
| b. | Organo‑arsenic, organo‑antimony and organo‑phosphorus compounds, having a purity (inorganic element basis) better than 99.999%. |
|
|
| Category Code 3C003 only includes compounds whose metallic, partly metallic or non‑metallic element is directly linked to carbon in the organic part of the molecule. |
|
| |
| Hydrides of phosphorus, arsenic or antimony, having a purity better than 99.999%, even diluted in inert gases or hydrogen. |
|
| Category Code 3C004 does not include hydrides containing 20% molar or more of inert gases or hydrogen. |
|
| |
| High resistivity materials as follows: |
a. | Silicon carbide (SiC), gallium nitride (GaN), aluminium nitride (AlN) or aluminium gallium nitride (AlGaN) 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), or aluminium gallium nitride (AlGaN) on the surface of the “substrate”. |
|
|
| |
| Materials, not specified in Category Code 3C001, consisting of a “substrate” specified in Category Code 3C005 with at least one epitaxial layer of silicon carbide, gallium nitride, aluminium nitride or aluminium gallium nitride. |
|
| |
| |
| “Software” specially designed for the “development” or “production” of equipment specified in Category Codes 3A001.b. to 3A002.h. or Category 3B. |
|
| |
| “Software” specially designed for the “use” of equipment specified in Category Code 3B001.a. to f., 3B002 or 3A225. |
|
| |
| ‘Computational lithography’ “software” specially designed for the “development” of patterns on EUV‑lithography masks or reticles. |
|
| ‘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. |
|
| |
| “Software” specially designed for the “development” of equipment specified in Category Code 3A003. |
|
| |
| “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. |
|
| |
| “Software” specially designed or modified for the “use” of equipment specified in Category Code 3A101.b. |
|
| |
| “Software” specially designed to enhance or release the performance of frequency changers or generators to meet the characteristics of Category Code 3A225. |
|
| |
| |
| “Technology” (according to the General Technology Note) for the “development” or “production” of equipment or materials specified in Category 3A, 3B or 3C. |
|
| Category Code 3E001 does not include “technology” for equipment or components specified in Category Code 3A003. |
|
| Category Code 3E001 does not include “technology” for integrated circuits specified in Category Codes 3A001.a.3. to 3A001.a.12., having both of the following characteristics: |
|
| a. | Using “technology” at or above 0.13 µm; and |
|
|
| b. | Incorporating multi‑layer structures with three or fewer metal layers. |
|
|
| Category Code 3E001 does not include ‘Process Design Kits’ (‘PDKs’) unless they include libraries implementing functions or technologies for items specified in Category Code 3A001. |
|
| | 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’). |
|
|
| |
| “Technology” (according to the General Technology Note) other than that specified in Category Code 3E001, for the “development” or “production” of a “microprocessor microcircuit”, “microcomputer microcircuit” or microcontroller microcircuit core, having an Arithmetic Logic Unit (ALU) 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; |
|
|
| | A ‘vector processing 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 (ALU) 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”). |
|
|
| |
| 1. | For the purposes of Category Codes 3E002.a. and 3E002.b., ‘floating‑point’ is defined by Ref. IEEE‑754. |
|
|
| 2. | For the purpose of Category Code 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. |
|
|
| Category Code 3E002 does not include “technology” for multimedia extensions. |
|
| Category Code 3E002 does not include “technology” for micro‑processor cores, having both of the following characteristics: |
|
| a. | Using “technology” at or above 0.13 μm; and |
|
|
| b. | Incorporating multi‑layer structures with five or fewer metal layers. |
|
|
| Category Code 3E002 includes “technology” for the “development” or “production” of digital signal processors and digital array processors. |
|
| |
| Other “technology” for the “development” or “production” of the following: |
|
| a. | Vacuum microelectronic devices; |
|
|
| b. | Hetero‑structure semiconductor electronic devices such as High Electron Mobility Transistors (HEMT), Hetero‑Bipolar Transistors (HBT), quantum well and super lattice devices; |
|
|
| | Category Code 3E003.b. does not include “technology” for High Electron Mobility Transistors (HEMT) operating at frequencies lower than 31.8 GHz and hetero‑junction bipolar transistors (HBT) operating at frequencies lower than 31.8 GHz. |
|
|
| c. | “Superconductive” electronic devices; |
|
|
| d. | Substrates of films 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. |
|
|
| |
| “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 x 8 mm on the front surface of the wafer and an edge exclusion less than or equal to 2 mm. |
|
| For the purpose of Category Code 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. |
|
| |
| “Technology” (according to the General Technology Note) for the “use” of equipment or “software” specified in Category Code 3A001.a.1. or 2., 3A101, 3A102 or 3D101. |
|
| |
| “Technology” (according to the General Technology Note) for the “development” of “software” specified in Category Code 3D101. |
|
| |
| “Technology” (according to the General Technology Note) for the “use” of equipment specified in Category Codes 3A001.e.2., 3A001.e.3., 3A001.g., 3A201, 3A225 to 3A234. |
|
| |
| “Technology”, in the form of codes or keys, to enhance or release the performance of frequency changers or generators to meet the characteristics of Category Code 3A225. |
|
|
Computers, related equipment and “software” performing telecommunications or “local area network” functions with the performance characteristics in Category 5 – Part 1 (Telecommunications) are also treated as coming within that Category. |
|
Control units which directly interconnect the buses or channels of Central Processing Units (CPUs), ‘main storage’ or disk controllers are not regarded as telecommunications equipment described in Category 5 – Part 1 (Telecommunications). |
|
| For “software” specially designed for packet switching, see Category Code 5D001. |
|
| ‘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. |
|
|
| Systems, Equipment and Components |
|
| Electronic computers and related equipment, having the following characteristic, and “electronic assemblies” and specially designed components therefor: |
|
| See also Category Code 4A101. |
|
| a. | Specially designed to have either of the following characteristics: |
|
|
| 1. | Rated for operation at an ambient temperature below 228 K (-45 ºC) or above 358 K (85 ºC); or |
|
|
| | Category Code 4A001.a.1. does not apply to computers specially designed for civil automobile, railway train or “civil aircraft” applications. |
|
|
| 2. | Radiation hardened to exceed any of the following specifications: |
|
|
| | |
| | 5 × 106 Gy (silicon)/s; or |
|
| | |
| | Category Code 4A001.a.2. does not include computers specially designed for “civil aircraft” applications. |
|
|
| |
| |
| “Digital computers”, “electronic assemblies”, and related equipment therefor, as follows, and specially designed components therefor: |
|
| Category Code 4A003 includes the following: |
|
| |
| |
| − | Digital signal processors; |
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|
| |
| − | Equipment designed for “image enhancement”; |
|
|
| | 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. |
|
|
| The control status of the “digital computers” and related equipment described in Category Code 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 |
|
|
| | 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. |
|
|
| | 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 Category 4E. |
|
|
| |
| b. | “Digital computers” having an “Adjusted Peak Performance” (“APP”) exceeding 29 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 Category Code 4A003.b.; |
|
|
| | Category Code 4A003.c. includes only “electronic assemblies” and programmable interconnections not exceeding the limit specified in Category Code 4A003.b. when shipped as unintegrated “electronic assemblies”. |
|
|
| | Category Code 4A003.c. does not include “electronic assemblies” specially designed for a product or family of products whose maximum configuration does not exceed the limit specified in Category Code 4A003.b. |
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|
| |
| |
| |
| g. | Equipment specially designed for aggregating the performance of “digital computers” by providing external interconnections which allows communications at unidirectional data rates exceeding 2 Gbyte/s per link. |
|
|
| | Category Code 4A003.g. does not include internal interconnection equipment (e.g. backplanes and buses), passive interconnection equipment, “network access controllers” or “communications channel controllers”. |
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|
| |
| Computers as follows and specially designed related equipment, “electronic assemblies” and components therefor: |
|
| a. | ‘Systolic array computers’; |
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|
| |
| |
| 1. | ‘Systolic array computers’ are computers where the flow and modification of the data is dynamically controllable at the logic gate level by the user. |
|
2. | ‘Neural computers’ are computational devices designed or modified to mimic the behaviour of a neuron or a collection of neurons, i.e. computational devices which are distinguished by their hardware capability to modulate the weights and numbers of the interconnections of a multiplicity of computational components based on previous data. |
|
3. | ‘Optical computers’ are computers designed or modified to use light to represent data and whose computational logic elements are based on directly coupled optical devices. |
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|
| |
| Systems, equipment, and components therefor, specially designed or modified for the generation, command and control, or delivery of “intrusion software”. |
|
| |
| Analogue computers, “digital computers” or digital differential analysers, other than those specified in Category Code 4A001.a.1., which are ruggedised and designed or modified for use in space launch vehicles specified in Category Code 9A004 or sounding rockets specified in Category Code 9A104. |
|
| |
| Hybrid computers specially designed for modelling, simulation or design integration of space launch vehicles specified in Category Code 9A004 or sounding rockets specified in Category Code 9A104. |
|
| Category Code 4A102 only extends to equipment supplied with “software” specified in Category Code 7D103 or 9D103. |
|
| |
| Test, Inspection and Production Equipment |
|
| |
| |
| |
| |
| |
| |
| For “software” for equipment described in other Categories, please see the appropriate Category. |
|
| |
| |
| a. | “Software” specially designed or modified for the “development” or “production” of equipment or “software” specified in Category Codes 4A001 to 4A004, or Category 4D; |
|
|
| b. | “Software”, other than that specified in Category Code 4D001.a., specially designed or modified for the “development” or “production” of equipment, as follows: |
|
|
| 1. | “Digital computers” having an “Adjusted Peak Performance” (“APP”) exceeding 15 Weighted TeraFLOPS (WT); |
|
|
| 2. | “Electronic assemblies” specially designed or modified for enhancing performance by aggregation of processors so that the “APP” of the aggregation exceeds the limit in Category Code 4D001.b.1. |
|
|
| | Please see Technical Note on calculation of “APP” immediately after Category Code 4E001. |
|
|
| |
| “Software” specially designed or modified for the generation, command and control, or delivery of “intrusion software”. |
Category Code 4D004 does not include “software” specially designed and limited to providing “software” updates or upgrades having both of the following characteristics: |
|
| 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 Category Code 4D004; or |
|
|
| |
| |
| a. | “Technology” (according to the General Technology Note) for the “development”, “production” or “use” of equipment or “software” specified in Category 4A or 4D; |
|
|
| b. | “Technology” (according to the General Technology Note), other than that specified in Category Code 4E001.a., for the “development” or “production” of equipment as follows: |
|
|
| 1. | “Digital computers” having an “Adjusted Peak Performance” (“APP”) exceeding 15 Weighted TeraFLOPS (WT); |
|
|
| 2. | “Electronic assemblies” specially designed or modified for enhancing performance by aggregation of processors so that the “APP” of the aggregation exceeds the limit in Category Code 4E001.b.1.; |
|
|
| c. | “Technology” for the “development” of “intrusion software”. |
|
|
| | Category Codes 4E001.a. and 4E001.c. do not include “vulnerability disclosure” or “cyber incident response”. |
|
| Note 1 does not diminish the rights of the competent authority of the country in which the exporter is established to ascertain compliance with Category Codes 4E001.a. and 4E001.c. |
|
|
TECHNICAL NOTE ON “ADJUSTED PEAK PERFORMANCE” (“APP”) |
|
“APP” is an adjusted peak rate at which “digital computers” perform 64‑bit or larger floating‑point additions and multiplications. |
|
“APP” is expressed in Weighted TeraFLOPS (WT), in units of 1012 adjusted Floating‑Point Operations (FPO) per second. |
|
|
Abbreviations used in this Technical Note |
|
| number of processors in the “digital computer” |
|
| processor number (i,...n) |
|
| processor cycle time (ti = 1/Fi) |
|
| |
| peak floating‑point calculating rate |
|
| architecture adjustment factor |
|
|
Outline of “APP” calculation method |
|
1. | For each processor i, determine the peak number of 64‑bit or larger Floating‑Point Operations (FPO), FPOi, performed per cycle for each processor in the “digital computer”. |
|
|
| In determining FPO, include only 64‑bit or larger floating‑point additions or multiplications. All Floating‑Point Operations (FPO) must be expressed in operations per processor cycle; operations requiring multiple cycles may be expressed in fractional results per cycle. For processors not capable of performing calculations on floating‑point operands of 64‑bit or more, the effective calculating rate R is zero. |
|
|
2. | Calculate the floating‑point rate R for each processor Ri = FPOi/ti. |
|
|
3. | Calculate “APP” as “APP” = W1 × R1 + W2 × R2 +...+ Wn × Rn. |
|
|
4. | For ‘vector processors’, Wi = 0.9. For non‑‘vector processors’, Wi = 0.3. |
|
|
For processors that perform compound operations in a cycle, such as addition and multiplication, each operation is counted. |
|
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. |
|
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. |
|
Do not include processors that are limited to input/output and peripheral functions (e.g. disk drive, communication and video display) when calculating “APP”. |
|
“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”. |
|
“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 Category Code 4A003.c. |
|
|
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. |
|
CATEGORY 5 — TELECOMMUNICATIONS AND “INFORMATION SECURITY” |
|
Part 1 — TELECOMMUNICATIONS |
|
Category 5 – Part 1 concerns components, test and “production” equipment and “software”, therefor which are specially designed for telecommunications equipment or systems. |
|
| For “lasers” specially designed for telecommunications equipment or systems, see Category Code 6A005. |
|
|
“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 for the purposes of this Category, provided they are the standard models customarily supplied by the manufacturer. This includes operation, administration, maintenance, engineering or billing computer systems. |
|
| Systems, Equipment and Components |
|
| Telecommunications systems, equipment, components and accessories, as follows: |
|
| a. | Any type of telecommunications equipment having any of the following characteristics, functions or features: |
|
|
| 1. | Specially designed to withstand transitory electronic effects or electromagnetic pulse effects, both arising from a nuclear explosion; |
|
|
| 2. | Specially hardened to withstand gamma, neutron or ion radiation; |
|
|
| 3. | Specially designed to operate below 218 K (-55 ºC) ; or |
|
4. | Specially designed to operate above 397 K (124 ºC); |
|
|
| | Category Codes 5A001.a.3. and 5A001.a.4. apply only to electronic equipment. |
|
|
| | Category Codes 5A001.a.2., 5A001.a.3. and 5A001.a.4. do not include equipment designed or modified for use on board satellites. |
|
|
| b. | Telecommunications systems and equipment, and specially designed components and accessories therefor, having any of the following characteristics, functions or features: |
|
|
| 1. | Being underwater untethered communications systems having any of the following characteristics: |
|
|
| 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”; |
|
|
| 2. | Being radio equipment operating in the 1.5 MHz to 87.5 MHz band and having both of the following characteristics: |
|
|
| a. | Automatically predicting and selecting frequencies and “total digital transfer rates” per channel to optimise the transmission; and |
|
|
| b. | Incorporating a linear power amplifier configuration having a capability to support multiple signals simultaneously at an output power of 1 kW or more in the frequency range of 1.5 MHz or more but less than 30 MHz, or 250 W or more in the frequency range of 30 MHz or more but not exceeding 87.5 MHz, over an “instantaneous bandwidth” of one octave or more and with an output harmonic and distortion content of better than -80 dB; |
|
|
| 3. | Being radio equipment employing “spread spectrum” techniques, including “frequency hopping” techniques, other than those specified in Category Code 5A001.b.4. and having either of the following characteristics: |
|
|
| 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; |
|
|
| | Category Code 5A001.b.3.b. does not apply to 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. |
|
|
| | Category Code 5A001.b.3. does not include equipment designed to operate at an output power of 1 W or less. |
|
|
| 4. | Being radio equipment employing ultra‑wideband modulation techniques, having user programmable channelising codes, scrambling codes or network identification codes and having either of the following characteristics: |
|
|
| a. | A bandwidth exceeding 500 MHz; or |
|
|
| b. | A “fractional bandwidth” of 20% or more; |
|
|
| 5. | Being digitally controlled radio receivers having all of the following characteristics: |
|
|
| a. | Have 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 |
|
|
| | Category Code 5A001.b.5. does not include radio equipment specially designed for use with civil cellular radio‑communications systems. |
|
|
| | ‘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. |
|
|
| 6. | Employing functions of digital “signal processing” to provide ‘voice coding’ output at rates of less than 700 bit/s; |
|
|
| 1. | For variable rate ‘voice coding’, Category Code 5A001.b.6. applies to the ‘voice coding’ output of continuous speech. |
|
|
| 2. | For the purpose of Category Code 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; |
|
|
| | For underwater umbilical cables, see Category Code 8A002.a.3. |
|
|
| | ‘Proof Test’: on‑line or off‑line production screen testing that dynamically applies a prescribed tensile stress over a 0.5 m to 3 m length of fibre at a running rate of 2 m/s to 5 m/s while passing between capstans approximately 150 mm in diameter. The ambient temperature is a nominal 293 K (20 ºC) and relative humidity 40%. Equivalent national standards may be used for executing the proof test. |
|
|
| d. | ‘Electronically steerable phased array antennae’ having any of the following characteristics: |
|
|
| 1. | Rated for operation above 31.8 GHz, but not exceeding 57 GHz, and having an Effective Radiated Power (ERP) equal to or greater than +20 dBm (22.15 dBm Effective Isotropic Radiated Power (EIRP)); |
|
|
| 2. | 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); |
|
|
| 3. | 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); or |
|
|
| 4. | Rated for operation above 90 GHz; |
|
|
| | Category Code 5A001.d. does not include ‘electronically steerable phased array antennae’ for landing systems with instruments meeting ICAO standards covering Microwave Landing Systems (MLS). |
|
| Category Code 5A001.d. does not include antennae specially designed for any of the following: |
|
a. | Civil cellular or WLAN radio‑communications systems; |
|
b. | Ref. IEEE 802.15 or wireless HDMI; or |
|
c. | Fixed or mobile satellite earth stations for commercial civil telecommunications. |
|
| For the purpose of Category Code 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 both of the following characteristics, and specially designed components therefor: |
|
|
| 1. | “Instantaneous bandwidth” of 10 MHz or more; and |
|
|
| 2. | Capable of finding a Line Of Bearing (LOB) to non‑cooperating radio transmitters with a signal duration of less than 1 ms; |
|
|
| f. | Mobile telecommunications interception or jamming equipment, and monitoring equipment therefor, as follows, and specially designed components therefor: |
|
|
| 1. | Interception equipment designed for the extraction of voice or data, transmitted over the air interface; |
|
|
| 2. | Interception equipment not specified in Category Code 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; |
|
|
| 3. | 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); |
|
|
| 4. | RF monitoring equipment designed or modified to identify the operation of items specified in Category Code 5A001.f.1., 5A001.f.2. or 5A001.f.3.; |
|
|
| | Category Codes 5A001.f.1. and 5A001.f.2. do not include any of the following: |
|
|
| a. | Equipment specially designed for the interception of analogue Private Mobile Radio (PMR), Ref. 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. |
|
|
| | See also Division 2 of Part 1 of this Schedule. |
|
|
| | For radio receivers, see Category Code 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 (RF) emissions, supplied by non‑radar transmitters; |
|
|
| | Non‑radar transmitters may include commercial radio, television or cellular telecommunications base stations. |
|
|
| | Category Code 5A001.g. does not include either of the following: |
|
|
| a. | Radio‑astronomical equipment; or |
|
|
| b. | Systems or equipment, that require any radio transmission from the target. |
|
|
| h. | Counter Improvised Explosive Device (IED) equipment and related equipment, as follows: |
|
|
| 1. | Radio Frequency (RF) transmitting equipment, not specified in Category Code 5A001.f., designed or modified for prematurely activating or preventing the initiation of Improvised Explosive Devices (IEDs); |
|
|
| 2. | Equipment using techniques designed to enable radio communications in the same frequency channels on which co‑located equipment specified in Category Code 5A001.h.1. is transmitting; |
|
|
| | See also Division 2 of Part 1 of this Schedule. |
|
|
| |
| j. | Internet Protocol (IP) network communications surveillance systems or equipment, and specially designed components therefor, having both of the following characteristics: |
|
|
| 1. | Performing all of the following on a carrier class Internet Protocol (IP) network (e.g. national grade IP backbone): |
|
|
| a. | Analysis at the application layer (e.g. Layer 7 of Open Systems Interconnection (OSI) model (Ref. 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 |
|
|
| 2. | Being specially designed to carry out both 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. |
|
|
| | Category Code 5A001.j. does not include systems or equipment, specially designed for any of the following: |
|
|
| |
| b. | Network Quality of Service (QoS); or |
|
|
| c. | Quality of Experience (QoE). |
|
|
| |
| Telemetry and telecontrol equipment, including ground equipment, designed or modified for ‘missiles’. |
|
| In Category Code 5A101, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
| Category Code 5A101 does not include: |
|
| a. | Equipment designed or modified for manned aircraft or satellites; |
|
|
| b. | Ground based equipment designed or modified for terrestrial or marine applications; |
|
|
| c. | Equipment designed for commercial, civil or ‘Safety of Life’ (e.g. data integrity, flight safety) GNSS services. |
|
|
| |
| Test, Inspection and Production Equipment |
|
| Telecommunications test, inspection and production equipment, components and accessories, as follows: |
|
| a. | Equipment and specially designed components or accessories therefor, specially designed for the “development” or “production” of equipment, functions or features, specified in Category Code 5A001; |
|
|
| | Category Code 5B001.a. does not include optical fibre characterisation 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: |
|
|
| |
| 2. | Equipment employing a “laser” and having any of the following characteristics: |
|
|
| a. | A transmission wavelength exceeding 1,750 nm; or |
|
|
| |
| |
| d. | Employing analogue techniques and having a bandwidth exceeding 2.5 GHz; or |
|
|
| | Category Code 5B001.b.2.d. does not include equipment specially designed for the “development” of commercial TV systems. |
|
|
| |
| 4. | Radio equipment employing Quadrature‑Amplitude‑Modulation (QAM) techniques above level 1,024; |
|
|
| |
| |
| |
| |
| |
| |
| |
| a. | “Software” specially designed or modified for the “development”, “production” or “use” of equipment, functions or features, specified in Category Code 5A001; |
|
|
| |
| c. | Specific “software” specially designed or modified to provide characteristics, functions or features of equipment, specified in Category Code 5A001 or 5B001; |
|
|
| d. | “Software” specially designed or modified for the “development” of any of the following telecommunication transmission or switching equipment: |
|
|
| |
| 2. | Equipment employing a “laser” and having either of the following characteristics: |
|
|
| a. | A transmission wavelength exceeding 1,750 nm; or |
|
|
| b. | Employing analogue techniques and having a bandwidth exceeding 2.5 GHz; or |
|
|
| | Category Code 5D001.d.2.b. does not include “software” specially designed or modified for the “development” of commercial TV systems. |
|
|
| |
| 4. | Radio equipment employing Quadrature‑Amplitude‑Modulation (QAM) techniques above level 1,024. |
|
|
| e. | “Software”, other than that specified in Category Code 5D001.a. or 5D001.c., specially designed or modified for monitoring or analysis by law enforcement, having both of the following characteristics: |
|
|
| 1. | Execution of searches on the basis of “hard selectors” of either the content of communication or metadata acquired from a communications service provider using a ‘handover interface’; and |
|
|
| 2. | Mapping of the relational network or tracking the movement of targeted individuals based on the results of searches on content of communication or metadata or searches as described in Category Code 5D001.e.1. |
|
|
| |
| 1. | For the purpose of Category Code 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 Ref. ETSI TS 101 331, Ref. ETSI TS 101 671, Ref. 3GPP TS 33.108) or national equivalents. |
|
|
| | Category Code 5D001.e. does not include “software” specially designed or modified for any of the following: |
|
|
| |
| b. | Network Quality of Service (QoS); |
|
|
| c. | Quality of Experience (QoE); |
|
|
| |
| e. | Mobile payment or banking use. |
|
|
| |
| “Software” specially designed or modified for the “use” of equipment specified in Category Code 5A101. |
|
| |
| |
| “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 Category Code 5A001 or “software” specified in Category Code 5D001.a. or 5D001.e.; |
|
|
| b. | Specific “technology” as follows: |
|
|
| 1. | “Technology” “required” for the “development” or “production” of telecommunications equipment specially designed to be used on board satellites; |
|
|
| 2. | “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; |
|
|
| 3. | “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”; |
|
|
| 4. | “Technology” for the “development” of “spread spectrum” techniques, including “frequency hopping” techniques; |
|
|
| | Category Code 5E001.b.4. does not apply to “technology” for the “development” of either 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: |
|
|
| |
| 2. | Equipment employing a “laser” and having any of the following characteristics: |
|
|
| a. | A transmission wavelength exceeding 1,750 nm; |
|
|
| |
| |
| 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; |
|
|
| | Category Code 5E001.c.2.e. does not include “technology” for commercial TV systems. |
|
|
| | For “technology” for the “development” or “production” of non‑telecommunications equipment employing a laser, see Category 6E. |
|
|
| 3. | Equipment employing “optical switching” and having a switching time less than 1 ms; |
|
|
| 4. | Radio equipment having any of the following characteristics: |
|
|
| a. | Quadrature‑Amplitude-Modulation (QAM) techniques above level 1,024; |
|
|
| b. | Operating at input or output frequencies exceeding 31.8 GHz; or |
|
|
| | Category Code 5E001.c.4.b. does not include “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 |
|
|
| |
| 6. | Mobile equipment having both of the following characteristics: |
|
|
| a. | Operating at an optical wavelength greater than or equal to 200 nm and less 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 having any of the following characteristics: |
|
|
| | For the purpose of Category Code 5E001.d., the parameter peak saturated power output may also be referred to on product data sheets as output power, saturated power output, maximum power output, peak power output, or peak envelope power output. |
|
|
| 1. | Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz with a “fractional bandwidth” greater than 15%, and having any of the following characteristics: |
|
|
| a. | A peak saturated power output greater than 75 W (48.75 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz; |
|
|
| b. | A peak saturated power output greater than 55 W (47.4 dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz; |
|
|
| c. | A peak saturated power output greater than 40 W (46 dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or |
|
|
| d. | A peak saturated power output greater than 20 W (43 dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz; |
|
|
| 2. | Rated for operation at frequencies exceeding 6.8 GHz up to and including 16 GHz with a “fractional bandwidth” greater than 10%, and having either of the following characteristics: |
|
|
| a. | A peak saturated power output greater than 10 W (40 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; or |
|
|
| b. | A peak saturated power output greater than 5 W (37 dBm) at any frequency exceeding 8.5 GHz up to and including 16 GHz; |
|
|
| 3. | Rated for operation with a peak saturated power output greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz, and with a “fractional bandwidth” of greater than 10%; |
|
|
| 4. | Rated for operation with a peak saturated power output greater than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz; |
|
|
| 5. | Rated for operation with a peak saturated power output greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz, and with a “fractional bandwidth” of greater than 10%; |
|
|
| 6. | Rated for operation with a peak saturated power output greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz, and with a “fractional bandwidth” of greater than 10%; |
|
|
| 7. | Rated for operation with a peak saturated power output greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a “fractional bandwidth” of greater than 5%; or |
|
|
| 8. | Rated for operation with a peak saturated power output greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz; |
|
|
| e. | “Technology” (according to the General Technology Note) for the “development” or “production” of electronic devices and circuits, specially designed for telecommunications and containing components manufactured from “superconductive” materials, specially designed for operation at temperatures below the “critical temperature” of at least one of the “superconductive” constituents and having either of the following characteristics: |
|
|
| 1. | Current switching for digital circuits using “superconductive” gates with a product of delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10-14 J; or |
|
|
| 2. | Frequency selection at all frequencies using resonant circuits with Q‑values exceeding 10,000. |
|
|
| |
| “Technology” (according to the General Technology Note) for the “development”, “production” or “use” of equipment specified in Category Code 5A101. |
|
Part 2 — “INFORMATION SECURITY” |
|
|
Category 5 – Part 2 does not include products when accompanying their user for the user’s personal use. |
|
Category Codes 5A002, 5D002.a.1., 5D002.b. and 5D002.c.1. do not include goods as follows: |
|
a. | Goods 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; and |
|
|
3. | Designed for installation by the user without further substantial support by the supplier; |
|
|
b. | Hardware components or ‘executable software’, of existing goods 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; and |
|
|
3. | The feature set of the component or ‘executable software’ is fixed and is not designed or modified to customer specification. |
|
|
| For the purpose of the Cryptography Note, ‘executable software’ means “software” in executable form, from an existing hardware component excluded from Category Code 5A002 by the Cryptography 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, both 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, factors such as quantity, price, required technical skill, existing sales channels, typical customers, typical use or any exclusionary practices of the supplier may be taken into account. |
|
|
| Systems, Equipment and Components |
|
| “Information security” systems, equipment and components, as follows: |
|
| For “satellite navigation system” receiving equipment containing or employing decryption, see Category Code 7A005 and for related decryption “software” and “technology”, see Category Codes 7D005 and 7E001. |
|
| a. | Designed or modified to use ‘cryptography for data confidentiality’ having a ‘described security algorithm’, where that cryptographic capability is usable, has been activated, or can be activated by any means other than secure “cryptographic activation”, as follows: |
|
|
| 1. | Items having “information security” as a primary function; |
|
|
| 2. | Digital communication or networking systems, equipment or components, not specified in Category Code 5A002.a.1.; |
|
|
| 3. | Computers, other items having information storage or processing as a primary function, and components therefor, not specified in Category Code 5A002.a.1. or 5A002.a.2.; |
|
|
| | For operating systems, see also Category Codes 5D002.a.1. and 5D002.c.1. |
|
|
| 4. | Items, not specified in Category Codes 5A002.a.1. to 5A002.a.3., where the ‘cryptography for data confidentiality’ having a ‘described security algorithm’ has both of the following characteristics: |
|
|
| 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; |
|
|
| 1. | For the purpose of Category Code 5A002.a., ‘cryptography for data confidentiality’ means “cryptography” that employs digital techniques and performs any cryptographic function other than any of the following: |
|
|
| |
| |
| |
| |
| e. | Digital rights management, including the execution of copy‑protected “software”; |
|
|
| f. | Encryption or decryption in support of entertainment, mass commercial broadcasts or medical records management; or |
|
|
| g. | Key management in support of any function described in paragraphs a. to f. above. |
|
|
| 2. | For the purpose of Category Code 5A002.a., ‘described security algorithm’ means any of the following: |
|
|
| a. | A “symmetric algorithm” employing a key length in excess of 56 bits, not including parity bits; |
|
|
| b. | An “asymmetric algorithm” where the security of the algorithm is based on any of the following: |
|
|
| 1. | Factorisation of integers in excess of 512 bits (e.g. RSA); |
|
|
| 2. | Computation of discrete logarithms in a multiplicative group of a finite field of size greater than 512 bits (e.g. Diffie‑Hellman over Z/pZ); or |
|
|
| 3. | Discrete logarithms in a group other than mentioned in paragraph b.2. in excess of 112 bits (e.g. Diffie‑Hellman over an elliptic curve); or |
|
|
| c. | An “asymmetric algorithm” where the security of the algorithm is based on any of the following: |
|
|
| 1. | Shortest vector or closest vector problems associated with lattices (e.g. NewHope, Frodo, NTRUEncrypt, Kyber, Titanium); |
|
|
| 2. | Finding isogenies between Supersingular elliptic curves (e.g. Supersingular Isogeny Key Encapsulation); or |
|
|
| 3. | Decoding random codes (e.g. McEliece, Niederreiter). |
|
|
| | An algorithm described by Technical Note 2.c. may be referred to as being post‑quantum, quantum‑safe or quantum-resistant. |
|
|
| | 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 either of the following: |
|
|
| a. | Whether the item meets the criteria of Category Codes 5A002.a.1. to 5A002.a.4.; or |
|
|
| b. | Whether the cryptographic capability for data confidentiality specified in Category Code 5A002.a. is usable without “cryptographic activation”. |
|
|
| | Category Code 5A002.a. does not include 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 either of the following: |
|
|
| a. | The cryptographic capability meets both of the following: |
|
|
| 1. | It is restricted for use in any of the following: |
|
|
| a. | Equipment or systems not described in Category Codes 5A002.a.1. to 5A002.a.4.; |
|
|
| b. | Equipment or systems not using ‘cryptography for data confidentiality’ having a ‘described security algorithm’; or |
|
|
| c. | Equipment or systems, excluded from Category Code 5A002.a., by paragraphs b. to f. of this Note; and |
|
|
| 2. | It cannot be reprogrammed for any other use; or |
|
|
| b. | Having all of the following characteristics: |
|
|
| 1. | It is specially designed and limited to allow protection of ‘personal data’ stored within; |
|
|
| 2. | Has been, or can only be, personalised for public or commercial transactions or individual identification; and |
|
|
| 3. | Where the cryptographic capability is not user‑accessible; |
|
|
| | ‘Personal data’ includes any data specific to a particular person or entity, such as the amount of money stored and data necessary for “authentication”. |
|
|
| 2. | ‘Readers/writers’ specially designed or modified, and limited, for items specified in paragraph a.1. of this Note; |
|
|
| | ‘Readers/writers’ include equipment that communicates with smart cards or electronically readable documents through a network. |
|
|
| b. | Cryptographic equipment specially designed and limited for banking use or ‘money transactions’; |
|
|
| | ‘Money transactions’ in Category Code 5A002.a. Note 2.b. includes the collection and settlement of fares or credit functions. |
|
|
| c. | Portable or mobile radiotelephones for civil use (e.g. for use with commercial civil cellular radio communication systems) that are not capable of transmitting encrypted data directly to another radiotelephone or equipment (other than Radio Access Network (RAN) equipment), nor of passing encrypted data through RAN equipment (e.g. Radio Network Controller (RNC) or Base Station Controller (BSC)); |
|
|
| d. | Cordless telephone equipment not capable of end‑to‑end encryption where the maximum effective range of unboosted cordless operation (i.e. a single, unrelayed hop between terminal and home base station) is less than 400 metres according to the manufacturer’s specifications; |
|
|
| e. | Portable or mobile radiotelephones and similar client wireless devices for civil use, that implement only published or commercial cryptographic standards (except for anti‑piracy functions, which may be non‑published) and also meet the provisions of paragraphs a.2. and a.3. of the Cryptography Note (Note 3 in Category 5 – Part 2), that have been customised for a specific civil industry application with features that do not affect the cryptographic functionality of these original non‑customised devices; |
|
|
| f. | Items, where the “information security” functionality is limited to wireless “personal area network” functionality, implementing only published or commercial cryptographic standards; |
|
|
| g. | Mobile telecommunications Radio Access Network (RAN) equipment designed for civil use, which also meet the provisions of paragraphs a.2. and a.3. of the Cryptography Note (Note 3 to Category 5 – Part 2), having an RF output power limited to 0.1 W (20 dBm) or less, and supporting 16 or fewer concurrent users; |
|
|
| h. | Routers, switches, gateways or relays, where the “information security” functionality is limited to the tasks of “Operations, Administration or Maintenance” (“OAM”) implementing only published or commercial cryptographic standards; |
|
|
| i. | General purpose computing equipment or servers, where the “information security” functionality meets both of the following: |
|
|
| 1. | Uses only published or commercial cryptographic standards; and |
|
|
| 2. | Is any of the following: |
|
|
| a. | Integral to a CPU that meets the provisions of Note 3 to Category 5 – Part 2; |
|
|
| b. | Integral to an operating system that is not specified in Category Code 5D002; or |
|
|
| c. | Limited to “OAM” of the equipment; or |
|
|
| j. | Items specially designed for a ‘connected civil industry application’, meeting both of the following: |
|
|
| 1. | Being either of the following: |
|
|
| a. | A network‑capable endpoint device meeting either of the following: |
|
|
| 1. | The “information security” functionality is limited to securing ‘non‑arbitrary data’ or the tasks of “Operations, Administration or Maintenance” (“OAM”); or |
|
|
| 2. | The device is limited to a specific ‘connected civil industry application’; or |
|
|
| b. | Networking equipment meeting both of the following: |
|
|
| 1. | Being specially designed to communicate with the devices specified in paragraph j.1.a. above; and |
|
|
| 2. | The “information security” functionality is limited to supporting the ‘connected civil industry application’ of devices specified in paragraph j.1.a. above, or the tasks of “OAM” of this networking equipment or of other items specified in paragraph j. of this Note; and |
|
|
| 2. | Where the “information security” functionality implements only published or commercial cryptographic standards, and the cryptographic functionality cannot easily be changed by the user. |
|
|
| 1. | ‘Connected civil industry application’ means a network connected consumer or civil industry application other than “information security”, digital communication, general purpose networking or computing. |
|
|
| 2. | ‘Non‑arbitrary data’ means sensor or metering data directly related to the stability, performance or physical measurement of a system (e.g. temperature, pressure, flow rate, mass, volume, voltage, physical location, etc.), that cannot be changed by the user of the device. |
|
|
| b. | Being a ‘cryptographic activation token’; |
|
|
| | A ‘cryptographic activation token’ is an item designed or modified for either of the following: |
|
|
| 1. | Converting, by means of “cryptographic activation”, an item not specified in Category 5 – Part 2 into an item specified in Category Code 5A002.a. or 5D002.c.1., and not excluded by the Cryptography Note (Note 3 in Category 5 – Part 2); or |
|
|
| 2. | Enabling, by means of “cryptographic activation”, additional functionality specified in Category Code 5A002.a. of an item already specified in Category 5 – Part 2. |
|
|
| c. | Designed or modified to use or perform “quantum cryptography”; |
|
|
| | “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 either of the following characteristics: |
|
|
| 1. | A bandwidth exceeding 500 MHz; or |
|
|
| 2. | A “fractional bandwidth” of 20% or more; |
|
|
| e. | Designed or modified to use cryptographic techniques to generate the spreading code for “spread spectrum” systems, other than those specified in Category Code 5A002.d., including the hopping code for “frequency hopping” systems. |
|
|
| |
| Systems, equipment and components, for non‑cryptographic “information security”, as follows: |
|
| a. | Communications cable systems designed or modified using mechanical, electrical or electronic means to detect surreptitious intrusion; |
|
|
| | Category Code 5A003.a. only includes physical layer security. For the purpose of Category Code 5A003.a., the physical layer includes Layer 1 of the Reference Model of Open Systems Interconnection (OSI)(Ref. 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. |
|
|
| |
| Systems, equipment and components for defeating, weakening or bypassing “information security”, as follows: |
|
| a. | Designed or modified to perform ‘cryptanalytic functions’. |
|
|
| | Category Code 5A004.a. includes systems or equipment, designed or modified to perform ‘cryptanalytic functions’ by means of reverse engineering. |
|
|
| | ‘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 Category Code 4A005 or 5A004.a., designed to perform both of the following: |
|
|
| 1. | ‘Extract raw data’ from a computing or communications device; and |
|
|
| 2. | Circumvent “authentication” or authorisation controls of the device, in order to perform the function described in Category Code 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. |
|
|
| | Category Code 5A004.b. does not include systems or equipment specially designed for the “development” or “production” of a computing or communications device. |
|
|
| | Category Code 5A004.b. does not include any of the following: |
|
|
| 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. |
|
|
| |
| Test, Inspection and Production Equipment |
|
| “Information security” test, inspection and “production” equipment, as follows: |
|
| a. | Equipment specially designed for the “development” or “production” of equipment specified in Category Code 5A002, 5A003, 5A004 or 5B002.b.; |
|
|
| b. | Measuring equipment specially designed to evaluate and validate the “information security” functions of the equipment specified in Category Code 5A002, 5A003 or 5A004, or of “software” specified in Category Code 5D002.a. or 5D002.c. |
|
|
| |
| |
| |
| |
| |
| |
| a. | “Software” specially designed or modified for the “development”, “production” or “use” of any of the following: |
|
|
| 1. | Equipment specified in Category Code 5A002 or “software” specified in Category Code 5D002.c.1.; |
|
|
| 2. | Equipment specified in Category Code 5A003 or “software” specified in Category Code 5D002.c.2.; or |
|
|
| 3. | Equipment or “software”, as follows: |
|
|
| a. | Equipment specified in Category Code 5A004.a. or “software” specified in Category Code 5D002.c.3.a.; |
|
|
| b. | Equipment specified in Category Code 5A004.b. or “software” specified in Category Code 5D002.c.3.b.; |
|
|
| b. | “Software” having the characteristics of a ‘cryptographic activation token’ specified in Category Code 5A002.b.; |
|
|
| c. | “Software” having the characteristics of, or performing or simulating the functions of, any of the following: |
|
|
| 1. | Equipment specified in Category Code 5A002.a., 5A002.c., 5A002.d. or 5A002.e.; |
|
|
| | Category Code 5D002.c.1. does not apply to “software” limited to the tasks of “OAM” implementing only published or commercial cryptographic standards. |
|
|
| 2. | Equipment specified in Category Code 5A003; or |
|
|
| |
| a. | Equipment specified in Category Code 5A004.a.; |
|
|
| b. | Equipment specified in Category Code 5A004.b.; |
|
|
| | Category Code 5D002.c.3.b. does not include “intrusion software”. |
|
|
| |
| |
| |
| |
| a. | “Technology” (according to the General Technology Note) for the “development”, “production” or “use” of equipment specified in Category Code 5A002, 5A003, 5A004 or 5B002, or of “software” specified in Category Code 5D002.a. or 5D002.c.; |
|
|
| | Category Code 5E002.a. does not include “technology” for items specified in Category Code 5A004.b., 5D002.a.3.b. or 5D002.c.3.b. |
|
|
| b. | “Technology” having the characteristics of a ‘cryptographic activation token’ specified in Category Code 5A002.b. |
|
|
| Category Code 5E002 includes “information security” technical data resulting from procedures carried out to evaluate or determine the implementation of functions, features or techniques specified in Category 5 – Part 2. |
|
CATEGORY 6 — SENSORS AND LASERS |
|
| Systems, Equipment and Components |
|
| Acoustic systems, equipment and components, as follows: |
|
| a. | Marine acoustic systems, equipment and specially designed components therefor, as follows: |
|
|
| 1. | Active (transmitting or transmitting‑and‑receiving) systems, equipment and specially designed components therefor, as follows: |
|
|
| | Category Code 6A001.a.1. does not include equipment as follows: |
|
|
| a. | Depth sounders operating vertically below the apparatus, not including a scanning function exceeding ±20º, and limited to measuring the depth of water, the distance of submerged or buried objects or fish finding; |
|
|
| b. | Acoustic beacons, as follows: |
|
|
| 1. | Acoustic emergency beacons; |
|
|
| 2. | Pingers specially designed for relocating or returning to an underwater position. |
|
|
| a. | Acoustic seabed survey equipment, as follows: |
|
|
| 1. | Surface vessel survey equipment designed for seabed topographic mapping and having all of the following characteristics: |
|
|
| 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 of the following: |
|
|
| 1. | Motion of the acoustic sensor; |
|
|
| 2. | In‑water propagation from sensor to the seabed and back; and |
|
|
| 3. | Sound speed at the sensor; |
|
|
| |
| 1. | ‘Sounding resolution’ is the swath width (degrees) divided by the maximum number of soundings per swath. |
|
|
| 2. | ‘Enhancement’ includes the ability to compensate by external means. |
|
|
| 2. | Underwater survey equipment designed for seabed topographic mapping and having either of the following: |
|
|
| | The acoustic sensor pressure rating determines the depth rating of the equipment specified in Category Code 6A001.a.1.a.2. |
|
|
| a. | Having both of the following characteristics: |
|
|
| 1. | Designed or modified to operate at depths exceeding 300 m; and |
|
|
| 2. | ‘Sounding rate’ greater than 3,800 m/s; or |
|
|
| | ‘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 Category Code 6A001.a.1.a.2.a., having all of the following characteristics: |
|
|
| 1. | Designed or modified to operate at depths exceeding 100 m; |
|
|
| 2. | Designed to take measurements at an angle exceeding 20° from the vertical; |
|
|
| 3. | Having either of the following characteristics: |
|
|
| a. Operating frequency below 350 kHz; or |
|
| b. Designed to measure seabed topography at a range exceeding 200 m from the acoustic sensor; and |
|
| 4. | ‘Enhancement’ of the depth “accuracy” through compensation of all of the following: |
|
|
| a. Motion of the acoustic sensor; |
|
| b. In‑water propagation from sensor to the seabed and back; and |
|
| c. Sound speed at the sensor; |
|
| 3. | Side Scan Sonar (SSS) or Synthetic Aperture Sonar (SAS), designed for seabed imaging and having all of the following characteristics, and specially designed transmitting and receiving acoustic arrays therefor: |
|
|
| a. | Designed or modified to operate at depths exceeding 500 m; |
|
|
| b. | An ‘area coverage rate’ of greater than 570 m2/s while operating at the maximum range that it can operate with an ‘along track resolution’ of less than 15 cm; and |
|
|
| c. | An ‘across track resolution’ of less than 15 cm; |
|
|
| 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 characteristics: |
|
|
| 1. | A transmitting frequency below 10 kHz; |
|
|
| 2. | Sound pressure level exceeding 224 dB (reference 1 µPa at 1 m) for equipment with an operating frequency in the band from 10 kHz to 24 kHz inclusive; |
|
|
| 3. | Sound pressure level exceeding 235 dB (reference 1 µPa at 1 m) for equipment with an operating frequency in the band between 24 kHz and 30 kHz; |
|
|
| 4. | Forming beams of less than 1º on any axis and having an operating frequency of less than 100 kHz; |
|
|
| 5. | Designed to operate with an unambiguous display range exceeding 5,120 m; or |
|
|
| 6. | Designed to withstand pressure during normal operation at depths exceeding 1,000 m and having transducers with either of the following characteristics: |
|
|
| 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 characteristics: |
|
|
| | Whether acoustic projectors (including transducers), which are not specified by Category Code 6A001 and which are specially designed for other equipment, is included in Category Code 6A001.c. is determined by whether the other equipment is specified in Division 2 of Part 2 of this Schedule. |
|
|
| | Category Code 6A001.a.1.c. does not include electronic sources which direct the sound vertically only, or mechanical (e.g. air gun or vapour‑shock gun) or chemical (e.g. explosive) sources. |
|
|
| | Piezoelectric elements specified in Category Code 6A001.a.1.c. include those made from lead-magnesium-niobate/lead-titanate (Pb(Mg1/3Nb2/3)O3-PbTiO3, or PMN-PT) single crystals grown from solid solution or lead-indium-niobate/lead-magnesium-niobate/lead-titanate (Pb(In1/2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3-PbTiO3, or PIN-PMN-PT) single crystals grown from solid solution. |
|
|
| 1. | Operating at frequencies below 10 kHz and having either of the following characteristics: |
|
|
| 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 10 kHz; 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 10 kHz; or |
|
|
| |
| | 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 (reference 1 µPa at 1 m), where SLrms is the source level, TVR is the Transmitting Voltage Response and Vrms is the Driving Voltage of the Projector. |
|
|
| |
| 3. | Side‑lobe suppression exceeding 22 dB; |
|
|
| d. | Acoustic systems and equipment, designed to determine the position of surface vessels or underwater vehicles and having both of the following characteristics, and specially designed components therefor: |
|
|
| 1. | Detection range exceeding 1,000 m; and |
|
|
| 2. | Determined position error of less than 10 m rms (root mean square) when measured at a range of 1,000 m; |
|
|
| | Category Code 6A001.a.1.d. includes: |
|
|
| a. | Equipment using coherent “signal processing” between two or more beacons and the hydrophone unit carried by the surface vessel or underwater vehicle; |
|
|
| b. | Equipment capable of automatically correcting speed‑of‑sound propagation errors for calculation of a point. |
|
|
| e. | Active individual sonars, specially designed or modified to detect, locate and automatically classify swimmers or divers, having all of the following characteristics, and specially designed transmitting and receiving acoustic arrays therefor: |
|
|
| 1. | Detection range exceeding 530 m; |
|
|
| 2. | Determined position error of less than 15 m rms (root mean square) when measured at a range of 530 m; and |
|
|
| 3. | Transmitted pulse signal bandwidth exceeding 3 kHz; |
|
|
| | For diver detection systems specially designed or modified for military use, see Division 2 of Part 1 of this Schedule. |
|
|
| | For Category Code 6A001.a.1.e., where multiple detection ranges are specified for various environments, the greatest detection range is used. |
|
|
| 2. | Passive systems, equipment and specially designed components therefor, as follows: |
|
| Category Code 6A001.a.2. also includes 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 characteristics: |
|
|
| | Whether hydrophones specially designed for other equipment is included in Category Code 6A001.a.2.a. is determined by whether the other equipment is included in that Category Code. |
|
|
| 1. | Hydrophones consist of one or more sensing elements producing a single acoustic output channel. Those that contain multiple elements can be referred to as a hydrophone group. |
|
|
| 2. | For the purpose of Category Code 6A001.a.2.a., underwater acoustic transducers designed to operate as passive receivers are hydrophones. |
|
|
| 1. | Incorporating continuous flexible sensing elements; |
|
|
| 2. | Incorporating flexible assemblies of discrete sensing elements with either a diameter or length less than 20 mm and with a separation between elements of less than 20 mm; |
|
|
| 3. | Having any of the following sensing elements: |
|
|
| |
| b. | ‘Piezoelectric polymer films’ other than polyvinylidene‑fluoride (PVDF) and its co‑polymers {P(VDF‑TrFE) and P(VDF‑TFE)}; |
|
|
| c. | ‘Flexible piezoelectric composites’; |
|
|
| d. | Lead-magnesium-niobate/lead-titanate (i.e. Pb(Mg1/3Nb2/3)O3‑PbTiO3, or PMN‑PT) piezoelectric single crystals grown from solid solution; or |
|
|
| e. | Lead-indium-niobate/lead-magnesium-niobate/lead-titanate (i.e. Pb(In1/2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3‑PbTiO3, or PIN‑PMN‑PT) piezoelectric single crystals grown from solid solution; |
|
|
| 4. | A ‘hydrophone sensitivity’ better than ‑180 dB at any depth with no acceleration compensation; |
|
|
| 5. | Designed to operate at depths exceeding 35 m with acceleration compensation; or |
|
|
| 6. | Designed for operation at depths exceeding 1,000 m and having a ‘hydrophone sensitivity’ better than ‑230 dB below 4 kHz; |
|
|
| 1. | ‘Piezoelectric polymer film’ sensing elements consist of polarised polymer film that is stretched over and attached to a supporting frame or spool (mandrel). |
|
|
| 2. | ‘Flexible piezoelectric composite’ sensing elements consist of piezoelectric ceramic particles or fibres combined with an electrically insulating, acoustically transparent rubber, polymer or epoxy compound, where the compound is an integral part of the sensing elements. |
|
|
| 3. | ‘Hydrophone sensitivity’ is defined as twenty times the logarithm to the base 10 of the ratio of rms output voltage to a 1 V rms reference, when the hydrophone sensor, without a pre‑amplifier, is placed in a plane wave acoustic field with an rms pressure of 1 µPa. For example, a hydrophone of ‑160 dB (reference 1 V per µPa) would yield an output voltage of 10- 8 V in such a field, while one of ‑180 dB sensitivity would yield only 10-9 V output. Thus, ‑160 dB is better than ‑180 dB. |
|
|
| b. | Towed acoustic hydrophone arrays having any of the following characteristics: |
|
|
| | Hydrophone arrays consist of a number of hydrophones providing multiple acoustic output channels. |
|
|
| 1. | Hydrophone group spacing of less than 12.5 m or ‘able to be modified’ to have hydrophone group spacing of less than 12.5 m; |
|
|
| 2. | Designed or ‘able to be modified’ to operate at depths exceeding 35 m; |
|
|
| | ‘Able to be modified’ in Category Codes 6A001.a.2.b.1. and 2. means having provisions to allow a change of the wiring or interconnections to alter hydrophone group spacing or operating depth limits. These provisions are: spare wiring exceeding 10% of the number of wires, hydrophone group spacing adjustment blocks or internal depth limiting devices that are adjustable or that control more than one hydrophone group. |
|
|
| 3. | Heading sensors specified in Category Code 6A001.a.2.d.; |
|
|
| 4. | Longitudinally reinforced array hoses; |
|
|
| 5. | An assembled array of less than 40 mm in diameter; |
|
|
| |
| 7. | Hydrophone characteristics specified in Category Code 6A001.a.2.a.; or |
|
|
| 8. | Accelerometer‑based hydro‑acoustic sensors specified in Category Code 6A001.a.2.g.; |
|
|
| c. | Processing equipment, specially designed for towed acoustic hydrophone arrays, having “user‑accessible programmability” and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes; |
|
|
| d. | Heading sensors having both of the following characteristics: |
|
|
| 1. | An accuracy of better than 0.5º; and |
|
|
| 2. | Designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m; |
|
|
| | For inertial heading systems, see Category Code 7A003.c. |
|
|
| e. | Bottom or bay‑cable hydrophone arrays, having any of the following characteristics: |
|
|
| 1. | Incorporating hydrophones specified in Category Code 6A001.a.2.a.; |
|
|
| 2. | Incorporating multiplexed hydrophone group signal modules having both of the following characteristics: |
|
|
| a. | Designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m; and |
|
|
| b. | Capable of being operationally interchanged with towed acoustic hydrophone array modules; or |
|
|
| 3. | Incorporating accelerometer‑based hydro‑acoustic sensors specified in Category Code 6A001.a.2.g.; |
|
|
| f. | Processing equipment, specially designed for bottom or bay cable systems, having “user‑accessible programmability” and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes; |
|
|
| g. | Accelerometer‑based hydro‑acoustic sensors having all of the following characteristics: |
|
|
| 1. | Composed of three accelerometers arranged along three distinct axes; |
|
|
| 2. | Having an overall ‘acceleration sensitivity’ better than 48 dB (reference 1,000 mV rms per 1 g); |
|
|
| 3. | Designed to operate at depths greater than 35 m; and |
|
|
| 4. | Operating frequency below 20 kHz; |
|
|
| | Category Code 6A001.a.2.g. does not include particle velocity sensors or geophones. |
|
|
| 1. | Accelerometer‑based hydro‑acoustic sensors are also known as vector sensors. |
|
|
| 2. | ‘Acceleration sensitivity’ is defined as twenty times the logarithm to the base 10 of the ratio of rms output voltage to a 1 V rms reference, when the hydro‑acoustic sensor, without a preamplifier, is placed in a plane wave acoustic field with a 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 seabed, as follows: |
|
|
| 1. | Correlation‑velocity sonar log equipment having either of the following characteristics: |
|
|
| a. | Designed to operate at distances between the carrier and the seabed exceeding 500 m; or |
|
|
| b. | Having speed “accuracy” better than 1% of speed; |
|
|
| 2. | Doppler‑velocity sonar log equipment having speed “accuracy” better than 1% of speed; |
|
|
| | Category Code 6A001.b. does not include depth sounders limited to any of the following: |
|
|
| a. | Measuring the depth of water; |
|
|
| b. | Measuring the distance of submerged or buried objects; or |
|
|
| |
| | Category Code 6A001.b. does not include equipment specially designed for installation on surface vessels. |
|
|
| |
| |
| Optical sensors or equipment and components therefor, as follows: |
|
| See also Category Code 6A102. |
|
| a. | Optical detectors as follows: |
|
|
| 1. | “Space‑qualified” solid‑state detectors as follows: |
|
|
| | For the purpose of Category Code 6A002.a.1., solid‑state detectors include “focal plane arrays”. |
|
|
| a. | “Space‑qualified” solid‑state detectors having both of the following characteristics: |
|
|
| 1. | A peak response in the wavelength range exceeding 10 nm but not exceeding 300 nm; and |
|
|
| 2. | A response of less than 0.1% relative to the peak response at a wavelength exceeding 400 nm; |
|
|
| b. | “Space‑qualified” solid‑state detectors having both of the following characteristics: |
|
|
| 1. | A peak response in the wavelength range exceeding 900 nm but not exceeding 1,200 nm; and |
|
|
| 2. | A response “time constant” of 95 ns or less; |
|
|
| c. | “Space‑qualified” solid‑state detectors having a peak response in the wavelength range exceeding 1,200 nm but not exceeding 30,000 nm; |
|
|
| d. | “Space‑qualified” “focal plane arrays” having more than 2,048 elements per array and having a peak response in the wavelength range exceeding 300 nm but not exceeding 900 nm; |
|
|
| 2. | Image intensifier tubes and specially designed components therefor, as follows: |
|
|
| | Category Code 6A002.a.2. does not include non‑imaging photomultiplier tubes having an electron sensing device in the vacuum space limited solely to either of the following: |
|
|
| a. | A single metal anode; or |
|
|
| b. | Metal anodes with a centre‑to‑centre spacing greater than 500 μm. |
|
|
| | ‘Charge multiplication’ is a form of electronic image amplification and is defined as the generation of charge carriers as a result of an impact ionisation gain process. ‘Charge multiplication’ sensors may take the form of an image intensifier tube, solid state detector or “focal plane array”. |
|
|
| a. | Image intensifier tubes having all of the following characteristics: |
|
|
| 1. | A peak response in the wavelength range exceeding 400 nm but not exceeding 1,050 nm; |
|
|
| 2. | Electron image amplification using either of the following: |
|
|
| a. | A microchannel plate with a hole pitch (centre‑to‑centre spacing) of 12 µm or less; or |
|
|
| b. | An electron sensing device with a non‑binned pixel pitch of 500 μm or less, specially designed or modified to achieve ‘charge multiplication’ other than by a microchannel plate; and |
|
|
| 3. | Any of the following photocathodes: |
|
|
| a. | Multialkali photocathodes (e.g. S‑20 and S‑25) having a luminous sensitivity exceeding 350 µA/lm; |
|
|
| b. | GaAs or GaInAs photocathodes; or |
|
|
| c. | Other “III/V compound” semiconductor photocathodes having a maximum “radiant sensitivity” exceeding 10 mA/W; |
|
|
| b. | Image intensifier tubes having all of the following characteristics: |
|
|
| 1. | A peak response in the wavelength range exceeding 1,050 nm but not exceeding 1,800 nm; |
|
|
| 2. | Electron image amplification using either of the following: |
|
|
| a. | A microchannel plate with a hole pitch (centre‑to‑centre spacing) of 12 μm or less; or |
|
|
| b. | An electron sensing device with a non‑binned pixel pitch of 500 μm or less, specially designed or modified to achieve ‘charge multiplication’ other than by a microchannel plate; and |
|
|
| 3. | “III/V compound” semiconductor (e.g. GaAs or GaInAs) photocathodes and transferred electron photocathodes, having a maximum “radiant sensitivity” exceeding 15 mA/W; |
|
|
| c. | Specially designed components as follows: |
|
|
| 1. | Microchannel plates having a hole pitch (centre‑to‑centre spacing) of 12 µm or less; |
|
|
| 2. | An electron sensing device with a non‑binned pixel pitch of 500 μm or less, specially designed or modified to achieve ‘charge multiplication’ other than by a microchannel plate; |
|
|
| 3. | “III/V compound” semiconductor (e.g. GaAs or GaInAs) photocathodes and transferred electron photocathodes; |
|
|
| | Category Code 6A002.a.2.c.3. does not include compound semiconductor photocathodes designed to achieve a maximum “radiant sensitivity” of either of the following: |
|
|
| a. | 10 mA/W or less at the peak response in the wavelength range exceeding 400 nm but not exceeding 1,050 nm; or |
|
|
| b. | 15 mA/W or less at the peak response in the wavelength range exceeding 1,050 nm but not exceeding 1,800 nm. |
|
|
| 3. | Non‑“space‑qualified” “focal plane arrays” as follows: |
|
|
| | ‘Microbolometer’ non‑“space‑qualified” “focal plane arrays” are only specified in Category Code 6A002.a.3.f. |
|
|
| | Linear or two‑dimensional multi‑element detector arrays are referred to as “focal plane arrays”. |
|
|
| | Category Code 6A002.a.3. includes photoconductive arrays and photovoltaic arrays. |
|
|
| | Category Code 6A002.a.3. does not include: |
|
|
| 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; |
|
|
| |
| 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 both of the following characteristics: |
|
|
| 1. | Incorporating a response limiting mechanism designed not to be removed or modified; and |
|
|
| 2. | Either of the following characteristics: |
|
|
| 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. |
|
|
| | 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. |
|
|
| | ‘Charge multiplication’ is a form of electronic image amplification and is defined as the generation of charge carriers as a result of an impact ionisation gain process. ‘Charge multiplication’ sensors may take the form of an image intensifier tube, solid state detector or “focal plane array”. |
|
|
| a. | Non‑“space‑qualified” “focal plane arrays” having both of the following characteristics: |
|
|
| 1. | Individual elements with a peak response within the wavelength range exceeding 900 nm but not exceeding 1,050 nm; and |
|
|
| 2. | Either of the following characteristics: |
|
|
| 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 both of the following characteristics: |
|
|
| 1. | Have individual elements with a peak response in the wavelength range exceeding 1,050 nm but not exceeding 1,200 nm; and |
|
|
| 2. | Have either of the following characteristics: |
|
|
| 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 (two‑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; |
|
|
| | Silicon and other material based ‘microbolometer’ non‑“space‑qualified” “focal plane arrays” are only specified in Category Code 6A002.a.3.f. |
|
|
| d. | Non‑“space‑qualified” linear (one‑dimensional) “focal plane arrays” having both of the following characteristics: |
|
|
| 1. | Have individual elements with a peak response in the wavelength range exceeding 1,200 nm but not exceeding 3,000 nm; and |
|
|
| 2. | Either of the following characteristics: |
|
|
| 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; |
|
|
| | Category Code 6A002.a.3.d. does not include “focal plane arrays” (not to exceed 32 elements) having detector elements limited solely to germanium material. |
|
|
| | For the purpose of Category Code 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 (one‑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 (two‑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; |
|
|
| | For the purpose of Category Code 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 characteristics: |
|
|
| 1. | Have individual detector elements with a peak response in the wavelength range exceeding 400 nm but not exceeding 900 nm; |
|
|
| 2. | Specially designed or modified to achieve ‘charge multiplication’ and having a maximum “radiant sensitivity” exceeding 10 mA/W for wavelengths exceeding 760 nm; and |
|
|
| 3. | Greater than 32 elements; |
|
|
| b. | “Monospectral imaging sensors” and “multispectral imaging sensors”, designed for remote sensing applications and having either of the following characteristics: |
|
|
| 1. | An Instantaneous‑Field‑Of‑View (IFOV) of less than 200 µrad (microradians); or |
|
|
| 2. | Specified for operation in the wavelength range exceeding 400 nm but not exceeding 30,000 nm and having both of the following characteristics: |
|
|
| a. | Providing output imaging data in digital format; and |
|
|
| b. | Having either of the following characteristics: |
|
|
| |
| 2. | Designed for airborne operation, using other than silicon detectors, and having an IFOV of less than 2.5 mrad (milliradians); |
|
|
| | Category Code 6A002.b.1. does not include “monospectral imaging sensors” with a peak response in the wavelength range exceeding 300 nm but not exceeding 900 nm and only incorporating either of the following non‑“space‑qualified” detectors or non‑“space‑qualified” “focal plane arrays”: |
|
|
| a. | Charge Coupled Devices (CCD) not designed or modified to achieve ‘charge multiplication’; or |
|
|
| b. | Complementary Metal Oxide Semiconductor (CMOS) devices not designed or modified to achieve ‘charge multiplication’. |
|
|
| c. | ‘Direct view’ imaging equipment incorporating any of the following: |
|
|
| 1. | Image intensifier tubes specified in Category Code 6A002.a.2.a. or 6A002.a.2.b.; |
|
|
| 2. | “Focal plane arrays” specified in Category Code 6A002.a.3.; or |
|
|
| 3. | Solid state detectors specified in Category Code 6A002.a.1.; |
|
|
| | ‘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. |
|
|
| | Category Code 6A002.c. does not include 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; |
|
|
| |
| c. | Industrial equipment used for inspection, sorting or analysis of the properties of materials; |
|
|
| d. | Flame detectors for industrial furnaces; |
|
|
| e. | Equipment specially designed for laboratory use. |
|
|
| d. | Special support components for optical sensors, as follows: |
|
|
| 1. | “Space‑qualified” cryocoolers; |
|
|
| 2. | Non‑“space‑qualified” cryocoolers having a cooling source temperature below 218 K (‑55 ºC), 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; |
|
|
| 3. | Optical sensing fibres specially fabricated either compositionally or structurally, or modified by coating, to be acoustically, thermally, inertially, electromagnetically or nuclear radiation sensitive; |
|
|
| | Category Code 6A002.d.3. does not include encapsulated optical sensing fibres specially designed for bore hole sensing applications. |
|
|
| |
| f. | ‘Read‑out integrated circuits’ (‘ROIC’) specially designed for “focal plane arrays” specified in Category Code 6A002.a.3. |
|
|
| | Category Code 6A002.f. does not include ‘read‑out integrated circuits’ specially designed for civil automotive applications. |
|
| A ‘Read‑Out Integrated Circuit’ (‘ROIC’) is an integrated circuit designed to underlie or be bonded to a “focal plane array” (“FPA”) and is 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’. |
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|
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| Cameras, systems or equipment, and components therefor, as follows: |
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| See also Category Code 6A203. |
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| a. | Instrumentation cameras and specially designed components therefor, as follows: |
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| | Instrumentation cameras, specified in Category Codes 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. |
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| 3. | Electronic streak cameras having temporal resolution better than 50 ns; |
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| 4. | Electronic framing cameras having a speed exceeding 1,000,000 frames per second; |
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| 5. | Electronic cameras having both of the following characteristics: |
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| a. | An electronic shutter speed (gating capability) of less than 1 µs per full frame; and |
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| b. | A read out time allowing a framing rate of more than 125 full frames per second; |
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| 6. | Plug‑ins having both of the following characteristics: |
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| a. | Specially designed for instrumentation cameras which have modular structures and which are specified in Category Code 6A003.a.; and |
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| b. | Enabling these cameras to meet the characteristics specified in Category Code 6A003.a.3., 6A003.a.4. or 6A003.a.5., according to the manufacturer’s specifications; |
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| b. | Imaging cameras as follows: |
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| | Category Code 6A003.b. does not include television or video cameras, specially designed for television broadcasting. |
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| 1. | Video cameras incorporating solid state sensors, having a peak response in the wavelength range exceeding 10 nm, but not exceeding 30,000 nm and having both of the following characteristics: |
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| a. | Having any of the following characteristics: |
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| 1. | More than 4 × 106 “active pixels” per solid state array for monochrome (black and white) cameras; |
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| 2. | More than 4 × 106 “active pixels” per solid state array for colour cameras incorporating three solid state arrays; or |
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| 3. | More than 12 × 106 “active pixels” for solid state array colour cameras incorporating one solid state array; and |
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| b. | Having any of the following characteristics: |
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| 1. | Optical mirrors specified in Category Code 6A004.a.; |
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| 2. | Optical control equipment specified in Category Code 6A004.d.; or |
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| 3. | The capability for annotating internally generated ‘camera tracking data’; |
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| 1. | For the purpose of this entry, digital video cameras should be evaluated by the maximum number of “active pixels” used for capturing moving images. |
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| 2. | For the purpose of this entry, ‘camera tracking data’ is the information necessary to define camera line of sight orientation with respect to the earth. This includes: 1) the horizontal angle the camera line of sight makes with respect to the earth’s magnetic field direction; and 2) the vertical angle between the camera line of sight and the earth’s horizon. |
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| 2. | Scanning cameras and scanning camera systems, having all of the following characteristics: |
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| a. | A peak response in the wavelength range exceeding 10 nm, but not exceeding 30,000 nm; |
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| b. | Linear detector arrays with more than 8,192 elements per array; and |
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| c. | Mechanical scanning in one direction; |
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| | Category Code 6A003.b.2. does not include scanning cameras and scanning camera systems, specially designed for any of the following: |
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| a. | Industrial or civilian photocopiers; |
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| 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 |
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| 3. | Imaging cameras incorporating image intensifier tubes specified in Category Code 6A002.a.2.a. or 6A002.a.2.b.; |
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| 4. | Imaging cameras incorporating “focal plane arrays” having any of the following characteristics: |
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| a. | Incorporating “focal plane arrays” specified in Category Codes 6A002.a.3.a. to 6A002.a.3.e.; |
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| b. | Incorporating “focal plane arrays” specified in Category Code 6A002.a.3.f.; or |
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| c. | Incorporating “focal plane arrays” specified in Category Code 6A002.a.3.g.; |
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| | Imaging cameras specified in Category Code 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. |
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| | Category Code 6A003.b.4.a. does not include 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: |
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| a. | Industrial or civilian intrusion alarm, traffic or industrial movement control or counting systems; |
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| b. | Industrial equipment used for inspection or monitoring of heat flows in buildings, equipment or industrial processes; |
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| c. | Industrial equipment used for inspection, sorting or analysis of the properties of materials; |
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| d. | Equipment specially designed for laboratory use; or |
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| | Category Code 6A003.b.4.b. does not include imaging cameras having any of the following characteristics: |
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| a. | A maximum frame rate equal to or less than 9 Hz; |
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| b. | Having all of the following characteristics: |
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| 1. | Having a minimum horizontal or vertical ‘Instantaneous-Field‑of‑View (IFOV)’ of at least 2 mrad (milliradians); |
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| 2. | Incorporating a fixed focal‑length lens that is not designed to be removed; |
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| 3. | Not incorporating a ‘direct view’ display; and |
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| 4. | Having either of the following characteristics: |
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| a. | No facility to obtain a viewable image of the detected field‑of‑view; or |
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| b. | The camera is designed for a single kind of application and designed not to be user modified; or |
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| c. | The camera is specially designed for installation into a civilian passenger land vehicle and has all of the following characteristics: |
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| 1. | The placement and configuration of the camera within the vehicle are solely to assist the driver in the safe operation of the vehicle; |
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| 2. | Is only operable when installed in either of the following: |
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| a. | The civilian passenger land vehicle for which it was intended and the vehicle weighs less than 4,500 kg (gross vehicle weight); or |
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| b. | A specially designed, authorised maintenance test facility; and |
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| 3. | Incorporates an active mechanism that forces the camera not to function when it is removed from the vehicle for which it was intended. |
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| 1. | ‘Instantaneous‑Field‑of‑View (IFOV)’ specified in Category Code 6A003.b.4. Note 3.b. is the lesser figure of the ‘Horizontal IFOV’ or the ‘Vertical IFOV’. |
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| | ‘Horizontal IFOV’ = horizontal Field of View (FOV) / number of horizontal detector elements. |
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| | ‘Vertical IFOV’ = vertical Field of View (FOV) / number of vertical detector elements. |
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| 2. | ‘Direct view’ in Category Code 6A003.b.4. Note 3.b. refers to an imaging camera operating in the infrared spectrum that presents a visual image to a human observer using a near‑to‑eye micro display incorporating any light‑security mechanism. |
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| | Category Code 6A003.b.4.c. does not include imaging cameras having any of the following characteristics: |
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| a. | Having all of the following characteristics: |
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| 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: |
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| a. | Industrial process monitoring, quality control, or analysis of the properties of materials; |
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| b. | Laboratory equipment specially designed for scientific research; |
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| d. | Financial fraud detection equipment; |
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| 2. | Is only operable when installed in either of the following: |
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| a. | The system(s) or equipment for which it was intended; or |
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| b. | A specially designed, authorised maintenance facility; and |
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| 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; |
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| b. | Where the camera is specially designed for installation into a civilian passenger land vehicle or passenger and vehicle ferries, and has all of the following characteristics: |
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| 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; |
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| 2. | Is only operable when installed in any of the following: |
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| a. | The civilian passenger land vehicle for which it was intended and the vehicle weighs less than 4,500 kg (gross vehicle weight); |
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| b. | The passenger and vehicle ferry for which it was intended and having a Length Overall (LOA) 65 m or greater; or |
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| c. | A specially designed, authorised maintenance test facility; and |
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| 3. | Incorporates an active mechanism that forces the camera not to function when it is removed from the vehicle for which it was intended; |
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| c. | Limited by design to have a maximum “radiant sensitivity” of 10 mA/W or less for wavelengths exceeding 760 nm, and having all of the following characteristics: |
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| 1. | Incorporating a response limiting mechanism designed not to be removed or modified; |
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| 2. | Incorporates an active mechanism that forces the camera not to function when the response limiting mechanism is removed; and |
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| 3. | Not specially designed or modified for underwater use; or |
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| d. | Having all of the following characteristics: |
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| 1. | Not incorporating a ‘direct view’ or electronic image display; |
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| 2. | Has no facility to output a viewable image of the detected field of view; |
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| 3. | The “focal plane array” is only operable when installed in the camera for which it was intended; and |
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| 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. |
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| 5. | Imaging cameras incorporating solid‑state detectors specified in Category Code 6A002.a.1. |
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| Optical equipment and components, as follows: |
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| a. | Optical mirrors (reflectors) as follows: |
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| | For the purpose of Category Code 6A004.a., Laser Induced Damage Threshold (LIDT) is measured according to Ref. ISO 21254‑1:2011. |
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| | For optical mirrors specially designed for lithography equipment, see Category Code 3B001. |
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| 1. | ‘Deformable mirrors’ having an active optical aperture greater than 10 mm and having either of the following characteristics, and specially designed components therefor: |
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| a. | Having both of the following characteristics: |
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| 1. | A mechanical resonant frequency of 750 Hz or more; and |
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2. | Have more than 200 actuators; or |
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| b. | A Laser Induced Damage Threshold (LIDT) being either of the following: |
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| 1. | Greater than 1 kW/cm2 using a “CW laser”; or |
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| 2. | Greater than 2 J/cm2 using 20 ns “laser” pulses at 20 Hz repetition rate; |
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| | ‘Deformable mirrors’ are mirrors having either of the following characteristics: |
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| 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 |
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| 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. |
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| | ‘Deformable mirrors’ are also known as adaptive optic mirrors. |
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| 2. | Lightweight monolithic mirrors having an average “equivalent density” of less than 30 kg/m2 and a total mass exceeding 10 kg; |
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| | Category Code 6A004.a.2. does not include mirrors specially designed to direct solar radiation for terrestrial heliostat installations. |
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| 3. | Lightweight “composite” or foam mirror structures having an average “equivalent density” of less than 30 kg/m2 and a total mass exceeding 2 kg; |
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| | Category Code 6A004.a.3. does not include mirrors specially designed to direct solar radiation for terrestrial heliostat installations. |
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| 4. | Mirrors specially designed for beam steering mirror stages specified in Category Code 6A004.d.2.a. with a flatness of λ/10 or better (λ is equal to 633 nm) and having either of the following characteristics: |
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| a. | Diameter or major axis length greater than or equal to 100 mm; or |
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| b. | Having both of the following characteristics: |
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| 1. | Diameter or major axis length greater than 50 mm but less than 100 mm; and |
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| 2. | A Laser Induced Damage Threshold (LIDT) being either of the following: |
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| a. | Greater than 10 kW/cm2 using a “CW laser”; or |
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| b. | Greater than 20 J/cm2 using 20 ns “laser” pulses at 20 Hz repetition rate; |
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| 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 either of the following characteristics: |
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| 1. | Exceeding 100 cm3 in volume; or |
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| 2. | Exceeding 80 mm in diameter or length of major axis and 20 mm in thickness (depth); |
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| c. | “Space‑qualified” components for optical systems, as follows: |
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| 1. | Components lightweighted to less than 20% “equivalent density” compared with a solid blank of the same aperture and thickness; |
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| 2. | Raw substrates, processed substrates having surface coatings (single‑layer or multi‑layer, metallic or dielectric, conducting, semiconducting or insulating) or having protective films; |
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| 3. | Segments or assemblies of mirrors designed to be assembled in space into an optical system with a collecting aperture equivalent to or larger than a single optic 1 m in diameter; |
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| 4. | Components manufactured from “composite” materials having a coefficient of linear thermal expansion, in any coordinate direction equal to or less than 5 × 10-6/K; |
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| d. | Optical control equipment as follows: |
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| 1. | Equipment specially designed to maintain the surface figure or orientation of the “space‑qualified” components specified in Category Code 6A004.c.1. or 6A004.c.3.; |
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| 2. | Steering, tracking, stabilisation and resonator alignment equipment as follows: |
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| 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 characteristics, and specially designed electronic control equipment therefor: |
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| 1. | A maximum angular travel of ±26 mrad or more; |
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| 2. | A mechanical resonant frequency of 500 Hz or more; and |
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| 3. | An angular “accuracy” of 10 μrad (microradians) or less (better); |
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| b. | Resonator alignment equipment having bandwidths equal to or more than 100 Hz and an “accuracy” of 10 µrad or less (better); |
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| 3. | Gimbals having all of the following characteristics: |
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| a. | A maximum slew exceeding 5º; |
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| b. | A bandwidth of 100 Hz or more; |
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| c. | Angular pointing errors of 200 µrad (microradians) or less; and |
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| d. | Having either of the following characteristics: |
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| 1. | Exceeding 0.15 m but not exceeding 1 m in diameter or major axis length and capable of angular accelerations exceeding 2 rad (radians)/s2; or |
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| 2. | Exceeding 1 m in diameter or major axis length and capable of angular accelerations exceeding 0.5 rad (radians)/s2; |
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| e. | ‘Aspheric optical elements’ having all of the following characteristics: |
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| 1. | Largest dimension of the optical‑aperture greater than 400 mm; |
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| 2. | Surface roughness less than 1 nm (rms) for sampling lengths equal to or greater than 1 mm; and |
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| 3. | Coefficient of linear thermal expansion’s absolute magnitude less than 3 × 10-6/K at 25 ºC; |
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| 1. | An ‘aspheric optical element’ is any element used in an optical system whose imaging surface or surfaces are designed to depart from the shape of an ideal sphere. |
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| 2. | It is not necessary to evaluate the surface roughness of the optical element against the criteria in Category Code 6A004.e.2. unless the optical element was designed or manufactured with the intent to meet, or exceed the control parameter. |
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| | Category Code 6A004.e. does not include ‘aspheric optical elements’ having any of the following characteristics: |
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| a. | Largest optical‑aperture dimension less than 1 m and focal length to aperture ratio equal to or greater than 4.5:1; |
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| 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; |
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| c. | Designed as Fresnel, flyeye, stripe, prism or diffractive optical elements; |
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| d. | Fabricated from borosilicate glass having a coefficient of linear thermal expansion greater than 2.5 × 10-6/K at 25 ºC; or |
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| e. | An X‑ray optical element having inner mirror capabilities (e.g. tube‑type mirrors). |
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| | For ‘aspheric optical elements’ specially designed for lithography equipment, see Category Code 3B001. |
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| f. | Dynamic wavefront measuring equipment having both of the following characteristics: |
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1. | ‘Frame rates’ equal to or more than 1 kHz; and |
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2. | A wavefront accuracy equal to or less (better) than λ/20 at the designed wavelength. |
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| For the purpose of Category Code 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. |
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| “Lasers”, other than those specified in Category Code 0B001.g.5. or 0B001.h.6., components and optical equipment, as follows: |
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| See also Category Code 6A205. |
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| Pulsed “lasers” include those that run in a Continuous Wave (CW) mode with pulses superimposed. |
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| Excimer, semiconductor, chemical, CO, CO2, and ‘non‑repetitive pulsed’ Nd:glass “lasers” are only specified in Category Code 6A005.d. |
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| | ‘Non‑repetitive pulsed’ refers to “lasers” that produce either a single output pulse or that have a time interval between pulses exceeding one minute. |
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| Category Code 6A005 includes fibre “lasers”. |
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| 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. |
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| Category Code 6A005 does not include “lasers” as follows: |
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| a. | Ruby with output energy below 20 J; |
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| For the purpose of Category Codes 6A005.a. and 6A005.b., ‘single transverse mode’ refers to “lasers” with a beam profile having an M2‑factor of less than 1.3, while ‘multiple transverse mode’ refers to “lasers” with a beam profile having an M2‑factor of 1.3 or higher. |
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| In Category Code 6A005, ‘Wall‑plug efficiency’ is defined as the ratio of “laser” output power (or “average output power”) to total electrical input power required to operate the “laser”, including the power supply/conditioning and thermal conditioning/heat exchanger. |
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| a. | Non‑“tunable” Continuous Wave “(CW) lasers” having any of the following characteristics: |
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| 1. | Output wavelength less than 150 nm, and output power exceeding 1 W; |
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| 2. | Output wavelength of 150 nm or more but not exceeding 510 nm, and output power exceeding 30 W; |
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| | Category Code 6A005.a.2. does not include Argon “lasers” having an output power equal to or less than 50 W. |
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| 3. | Output wavelength exceeding 510 nm but not exceeding 540 nm, and having either of the following characteristics: |
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| a. | ‘Single transverse mode’ output and output power exceeding 50 W; or |
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| b. | ‘Multiple transverse mode’ output and output power exceeding 150 W; |
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| 4. | Output wavelength exceeding 540 nm but not exceeding 800 nm, and output power exceeding 30 W; |
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| 5. | Output wavelength exceeding 800 nm but not exceeding 975 nm, and either of the following characteristics: |
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| a. | ‘Single transverse mode’ output and output power exceeding 50 W; or |
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| b. | ‘Multiple transverse mode’ output and output power exceeding 80 W; |
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| 6. | Output wavelength exceeding 975 nm but not exceeding 1,150 nm, and either of the following characteristics: |
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| a. | ‘Single transverse mode’ output, and either of the following characteristics: |
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| 1. | Output power exceeding 1,000 W; or |
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| 2. | Having both of the following characteristics: |
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| a. | Output power exceeding 500 W; and |
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| b. | Spectral bandwidth less than 40 GHz; or |
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| b. | ‘Multiple transverse mode’ output, and either of the following characteristics: |
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| 1. | ‘Wall‑plug efficiency’ exceeding 18% and output power exceeding 1,000 W; or |
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| 2. | Output power exceeding 2 kW; |
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| | Category Code 6A005.a.6.b. does not include ‘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. |
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| | Category Code 6A005.a.6.b. does not include ‘multiple transverse mode’, industrial “lasers” having any of the following characteristics: |
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| b. | Output power exceeding 1 kW but not exceeding 1.6 kW, and having a Beam Parameter Product (BPP) exceeding 1.25 mm•mrad; |
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| c. | Output power exceeding 1.6 kW but not exceeding 2.5 kW, and having a BPP exceeding 1.7 mm•mrad; |
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| d. | Output power exceeding 2.5 kW but not exceeding 3.3 kW, and having a BPP exceeding 2.5 mm•mrad; |
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| e. | Output power exceeding 3.3 kW but not exceeding 6 kW, and having a BPP exceeding 3.5 mm•mrad; |
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| h. | Output power exceeding 6 kW but not exceeding 8 kW, and having a BPP exceeding 12 mm•mrad; or |
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| i. | Output power exceeding 8 kW but not exceeding 10 kW, and having a BPP exceeding 24 mm•mrad. |
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| 7. | Output wavelength exceeding 1,150 nm but not exceeding 1,555 nm and either of the following characteristics: |
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| a. | ‘Single transverse mode’ output and output power exceeding 50 W; or |
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| b. | ‘Multiple transverse mode’ output and output power exceeding 80 W; |
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| 8. | Output wavelength exceeding 1,555 nm but not exceeding 1,850 nm, and output power exceeding 1 W; |
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| 9. | Output wavelength exceeding 1,850 nm but not exceeding 2,100 nm, and either of the following characteristics: |
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| a. | ‘Single transverse mode’ output and output power exceeding 1 W; or |
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| b. | ‘Multiple transverse mode’ output and output power exceeding 120 W; or |
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| 10. | Output wavelength exceeding 2,100 nm and output power exceeding 1 W; |
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| b. | Non‑“tunable” “pulsed lasers” having any of the following characteristics: |
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| 1. | Output wavelength less than 150 nm, and either of the following characteristics: |
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| a. | Output energy exceeding 50 mJ per pulse and “peak power” exceeding 1 W; or |
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| b. | “Average output power” exceeding 1 W; |
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| 2. | Output wavelength of 150 nm or more but not exceeding 510 nm, and having either of the following characteristics: |
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| a. | Output power exceeding 1.5 J per pulse and “peak power” exceeding 30 W; or |
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| b. | “Average output power” exceeding 30 W; |
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| | Category Code 6A005.b.2.b. does not include Argon “lasers” having an “average output power” equal to or less than 50 W. |
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| 3. | Output wavelength exceeding 510 nm but not exceeding 540 nm, and either of the following characteristics: |
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| a. | ‘Single transverse mode’ output, and either of the following characteristics: |
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| 1. | Output energy exceeding 1.5 J per pulse and “peak power” exceeding 50 W; or |
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| 2. | “Average output power” exceeding 50 W; or |
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| b. | ‘Multiple transverse mode’ output, and either of the following characteristics: |
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| 1. | Output energy exceeding 1.5 J per pulse and “peak power” exceeding 150 W; or |
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| 2. | “Average output power” exceeding 150 W; |
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| 4. | Output wavelength exceeding 540 nm but not exceeding 800 nm, and either of the following characteristics: |
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| a. | “Pulse duration” less than 1 ps, and either of the following characteristics: |
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| 1. | Output energy exceeding 0.005 J per pulse and “peak power” exceeding 5 GW; or |
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| 2. | “Average output power” exceeding 20 W; or |
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| b. | “Pulse duration” equal to or exceeding 1 ps, and either of the following characteristics: |
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| 1. | Output energy exceeding 1.5 J per pulse and “peak power” exceeding 30 W; or |
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| 2. | “Average output power” exceeding 30 W; |
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| 5. | Output wavelength exceeding 800 nm but not exceeding 975 nm, and any of the following characteristics: |
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| a. | “Pulse duration” less than 1 ps, and either of the following characteristics: |
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| 1. | Output energy exceeding 0.005 J per pulse and “peak power” exceeding 5 GW; or |
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| 2. | ‘Single transverse mode’ output and “average output power” exceeding 20 W; |
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| b. | “Pulse duration” equal to or exceeding 1 ps and not exceeding 1 μs, and any of the following characteristics: |
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| 1. | Output energy exceeding 0.5 J per pulse and “peak power” exceeding 50 W; |
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| 2. | ‘Single transverse mode’ output and “average output power” exceeding 20 W; or |
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| 3. | ‘Multiple transverse mode’ output and “average output power” exceeding 50 W; or |
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| c. | “Pulse duration” exceeding 1 μs, and any of the following characteristics: |
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| 1. | Output energy exceeding 2 J per pulse and “peak power” exceeding 50 W; |
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| 2. | ‘Single transverse mode’ output and “average output power” exceeding 50 W; or |
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| 3. | ‘Multiple transverse mode’ output and “average output power” exceeding 80 W; |
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| 6. | Output wavelength exceeding 975 nm but not exceeding 1,150 nm, and any of the following characteristics: |
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| a. | “Pulse duration” of less than 1 ps, and any of the following characteristics: |
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| 1. | Output “peak power” exceeding 2 GW per pulse; |
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| 2. | “Average output power” exceeding 30 W; or |
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| 3. | Output energy exceeding 0.002 J per pulse; |
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| b. | “Pulse duration” equal to or exceeding 1 ps and less than 1 ns, and any of the following characteristics: |
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| 1. | Output “peak power” exceeding 5 GW per pulse; |
|
|
| 2. | “Average output power” exceeding 50 W; or |
|
|
| 3. | Output energy exceeding 0.1 J per pulse; |
|
|
| c. | “Pulse duration” equal to or exceeding 1 ns but not exceeding 1 μs, and either of the following characteristics: |
|
|
| 1. | ‘Single transverse mode’ output, and any of the following characteristics: |
|
|
| a. | “Peak power” exceeding 100 MW; |
|
|
| b. | “Average output power” exceeding 20 W limited by design to a maximum pulse repetition frequency less 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 |
|
|
| 2. | ‘Multiple transverse mode’ output, and any of the following characteristics: |
|
|
| 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 either of the following characteristics: |
|
|
| 1. | ‘Single transverse mode’ output, and any of the following characteristics: |
|
|
| 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 |
|
|
| 2. | ‘Multiple transverse mode’ output, and any of the following characteristics: |
|
|
| 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; |
|
|
| 7. | Output wavelength exceeding 1,150 nm but not exceeding 1,555 nm, and either of the following characteristics: |
|
|
| a. | “Pulse duration” not exceeding 1 μs, and any of the following characteristics: |
|
|
| 1. | Output energy exceeding 0.5 J per pulse and “peak power” exceeding 50 W; |
|
|
| 2. | ‘Single transverse mode’ output and “average output power” exceeding 20 W; or |
|
|
| 3. | ‘Multiple transverse mode’ output and “average output power” exceeding 50 W; or |
|
|
| b. | “Pulse duration” exceeding 1 μs, and any of the following characteristics: |
|
|
| 1. | Output energy exceeding 2 J per pulse and “peak power” exceeding 50 W; |
|
|
| 2. | ‘Single transverse mode’ output and “average output power” exceeding 50 W; or |
|
|
| 3. | ‘Multiple transverse mode’ output and “average output power” exceeding 80 W; |
|
|
| 8. | Output wavelength exceeding 1,555 nm but not exceeding 1,850 nm, and either of the following characteristics: |
|
|
| a. | Output energy exceeding 100 mJ per pulse and “peak power” exceeding 1 W; or |
|
|
| b. | “Average output power” exceeding 1 W; |
|
|
| 9. | Output wavelength exceeding 1,850 nm but not exceeding 2,100 nm, and either of the following characteristics: |
|
|
| a. | ‘Single transverse mode’ output, and either of the following characteristics: |
|
|
| 1. | Output energy exceeding 100 mJ per pulse and “peak power” exceeding 1 W; or |
|
|
| 2. | “Average output power” exceeding 1 W; or |
|
|
| b. | ‘Multiple transverse mode’ output, and either of the following characteristics: |
|
|
| 1. | Output energy exceeding 100 mJ per pulse and “peak power” exceeding 10 kW; or |
|
|
| 2. | “Average output power” exceeding 120 W; or |
|
|
| 10. | Output wavelength exceeding 2,100 nm and either of the following characteristics: |
|
|
| 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 characteristics: |
|
|
| 1. | Output wavelength less than 600 nm, and either of the following characteristics: |
|
|
| a. | Output energy exceeding 50 mJ per pulse and “peak power” exceeding 1 W; or |
|
|
| b. | Average or CW output power exceeding 1 W; |
|
|
| | Category Code 6A005.c.1. does not include dye “lasers” or other liquid “lasers”, having a multimode output and a wavelength of 150 nm or more but not exceeding 600 nm and both of the following characteristics: |
|
|
| 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. |
|
|
| 2. | Output wavelength of 600 nm or more but not exceeding 1,400 nm, and either of the following characteristics: |
|
|
| 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 |
|
|
| 3. | Output wavelength exceeding 1,400 nm, and either of the following characteristics: |
|
|
| 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 Category Code 6A005.a., 6A005.b. or 6A005.c. as follows: |
|
|
| 1. | Semiconductor “lasers” as follows: |
|
|
| | Category Code 6A005.d.1. includes semiconductor “lasers” having optical output connectors (e.g. fibre optic pigtails). |
|
|
| | The control status of semiconductor “lasers” specially designed for other equipment is determined by the control status of the other equipment. |
|
|
| a. | Individual single‑transverse mode semiconductor “lasers” having either of the following characteristics: |
|
|
| 1. | Wavelength equal or less than 1,510 nm and average or CW output power, exceeding 1.5 W; or |
|
|
| 2. | Wavelength greater than 1,510 nm and average or CW output power, exceeding 500 mW; |
|
|
| b. | Individual multiple‑transverse mode semiconductor “lasers” having any of the following characteristics: |
|
|
| 1. | Wavelength of less than 1,400 nm, and average or CW output power exceeding 15 W; |
|
|
| 2. | Wavelength equal to or greater than 1,400 nm and less than 1,900 nm, and average or CW output power exceeding 2.5 W; or |
|
|
| 3. | Wavelength equal to or greater than 1,900 nm, and average or CW output power exceeding 1 W; |
|
|
| c. | Individual semiconductor “laser” ‘bars’, having any of the following characteristics: |
|
|
| 1. | Wavelength of less than 1,400 nm, and average or CW output power exceeding 100 W; |
|
|
| 2. | Wavelength equal to or greater than 1,400 nm and less than 1,900 nm, and average or CW output power exceeding 25 W; or |
|
|
| 3. | Wavelength equal to or greater than 1,900 nm, and average or CW output power exceeding 10 W; |
|
|
| d. | Semiconductor “laser” ‘stacked arrays’ (two‑dimensional arrays) having any of the following characteristics: |
|
|
| 1. | Wavelength less than 1,400 nm, and having any of the following characteristics: |
|
|
| a. | Average or CW total output power less than 3 kW, and having average or CW output ‘power density’ greater than 500 W/cm2; |
|
|
| b. | Average or CW total output power equal to or exceeding 3 kW but less or equal to 5 kW, and having average or CW output ‘power density’ greater than 350 W/cm2; |
|
|
| c. | Average or CW total output power exceeding 5 kW; |
|
|
| d. | Peak pulsed ‘power density’ exceeding 2,500 W/cm2; or |
|
|
| | Category Code 6A005.d.1.d.1.d. does not include epitaxially‑fabricated monolithic devices. |
|
|
| e. | Spatially coherent average or CW total output power greater than 150 W; |
|
|
| 2. | Wavelength greater than or equal to 1,400 nm but less than 1,900 nm, and having any of the following characteristics: |
|
|
| a. | Average or CW total output power less than 250 W, and average or CW output ‘power density’ greater than 150 W/cm2; |
|
|
| b. | Average or CW total output power equal to or exceeding 250 W but less or equal to 500 W, and having average or CW output ‘power density’ greater than 50 W/cm2; |
|
|
| c. | Average or CW total output power exceeding 500 W; |
|
|
| d. | Peak pulsed ‘power density’ exceeding 500 W/cm2; or |
|
|
| | Category Code 6A005.d.1.d.2.d. does not include epitaxially‑fabricated monolithic devices. |
|
|
| e. | Spatially coherent average or CW total output power, exceeding 15 W; |
|
|
| 3. | Wavelength greater than or equal to 1,900 nm, and having any of the following characteristics: |
|
|
| a. | Average or CW output ‘power density’ greater than 50 W/cm2; |
|
|
| b. | Average or CW output power greater than 10 W; or |
|
|
| c. | Spatially coherent average or CW total output power exceeding 1.5 W; or |
|
|
| 4. | At least one “laser” ‘bar’ specified in Category Code 6A005.d.1.c.; |
|
|
| | For the purpose of Category Code 6A005.d.1.d., ‘power density’ means the total “laser” output power divided by the emitter surface area of the ‘stacked array’. |
|
|
| e. | Semiconductor “laser” ‘stacked arrays’, other than those specified in Category Code 6A005.d.1.d., having both of the following characteristics: |
|
|
| 1. | Specially designed or modified to be combined with other ‘stacked arrays’ to form a larger ‘stacked array’; and |
|
|
| 2. | Integrated connections, common for both electronics and cooling; |
|
|
| | ‘Stacked arrays’, formed by combining semiconductor “laser” ‘stacked arrays’ specified in Category Code 6A005.d.1.e., that are not designed to be further combined or modified are specified in Category Code 6A005.d.1.d. |
|
|
| | ‘Stacked arrays’, formed by combining semiconductor “laser” ‘stacked arrays’ specified in Category Code 6A005.d.1.e., that are designed to be further combined or modified are specified in Category Code 6A005.d.1.e. |
|
|
| | Category Code 6A005.d.1.e. does not include modular assemblies of single ‘bars’ designed to be fabricated into end‑to‑end stacked linear arrays. |
|
|
| 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”. |
|
|
| 2. | Carbon monoxide (CO) “lasers” having either of the following characteristics: |
|
|
| a. | Output energy exceeding 2 J per pulse and “peak power” exceeding 5 kW; or |
|
|
| b. | Average or CW output power exceeding 5 kW; |
|
|
| 3. | Carbon dioxide (CO2) “lasers” having any of the following characteristics: |
|
|
| a. | CW output power exceeding 15 kW; |
|
|
| b. | Pulsed output with a “pulse duration” exceeding 10 μs, and either of the following characteristics: |
|
|
| 1. | “Average output power” exceeding 10 kW; or |
|
|
| 2. | “Peak power” exceeding 100 kW; or |
|
|
| c. | Pulsed output with a “pulse duration” equal to or less than 10 μs, and either of the following characteristics: |
|
|
| 1. | Pulse energy exceeding 5 J per pulse; or |
|
|
| 2. | “Average output power” exceeding 2.5 kW; |
|
|
| 4. | Excimer “lasers” having any of the following characteristics: |
|
|
| a. | Output wavelength not exceeding 150 nm, and either of the following characteristics: |
|
|
| 1. | Output energy exceeding 50 mJ per pulse; or |
|
|
| 2. | “Average output power” exceeding 1 W; |
|
|
| b. | Output wavelength exceeding 150 nm but not exceeding 190 nm, and either of the following characteristics: |
|
|
| 1. | Output energy exceeding 1.5 J per pulse; or |
|
|
| 2. | “Average output power” exceeding 120 W; |
|
|
| c. | Output wavelength exceeding 190 nm but not exceeding 360 nm, and either of the following characteristics: |
|
|
| 1. | Output energy exceeding 10 J per pulse; or |
|
|
| 2. | “Average output power” exceeding 500 W; or |
|
|
| d. | Output wavelength exceeding 360 nm, and either of the following characteristics: |
|
|
| 1. | Output energy exceeding 1.5 J per pulse; or |
|
|
| 2. | “Average output power” exceeding 30 W; |
|
|
| | For excimer “lasers” specially designed for lithography equipment, see Category Code 3B001. |
|
|
| 5. | “Chemical lasers” as follows: |
|
|
| a. | Hydrogen Fluoride (HF) “lasers”; |
|
|
| b. | Deuterium Fluoride (DF) “lasers”; |
|
|
| c. | ‘Transfer lasers’, as follows: |
|
|
| 1. | Oxygen Iodine (O2‑I) “lasers”; |
|
|
| 2. | Deuterium Fluoride‑Carbon dioxide (DF‑CO2) “lasers”; |
|
| ‘Transfer lasers’ are “lasers” in which the lasing species are excited through the transfer of energy by collision of a non‑lasing atom or molecule with a lasing atom or molecule species. |
|
|
| 6. | ‘Non‑repetitive pulsed’ Nd: glass “lasers” having either of the following characteristics: |
|
|
| a. | “Pulse duration” not exceeding 1 μs and output energy exceeding 50 J per pulse; or |
|
|
| b. | “Pulse duration” exceeding 1 μs and output energy exceeding 100 J per pulse; |
|
|
| | ‘Non‑repetitive pulsed’ refers to “lasers” that produce either a single output pulse or that have a time interval between pulses exceeding one minute. |
|
|
| |
| 1. | Mirrors cooled either by ‘active cooling’ or by heat pipe cooling; |
|
|
| | ‘Active cooling’ is a cooling technique for optical components using flowing fluids within the subsurface (nominally less than 1 mm below the optical surface) of the optical component to remove heat from the optic. |
|
|
| 2. | Optical mirrors or transmissive or partially transmissive optical or electro‑optical components, other than fused tapered fibre combiners and Multi‑Layer Dielectric gratings (MLDs), specially designed for use with specified “lasers”; |
|
|
| | Fibre combiners and MLDs are specified in Category Code 6A005.e.3. |
|
|
| 3. | Fibre “laser” components as follows: |
|
|
| a. | Multimode to multimode fused tapered fibre combiners having both of the following characteristics: |
|
|
| 1. | An insertion loss better (less) than or equal to 0.3 dB maintained at a rated total average or CW output power (excluding output power transmitted through the single mode core if present) exceeding 1,000 W; and |
|
|
| 2. | Number of input fibres equal to or greater than 3; |
|
|
| b. | Single mode to multimode fused tapered fibre combiners having all of the following characteristics: |
|
|
| 1. | An insertion loss better (less) than 0.5 dB maintained at a rated total average or CW output power exceeding 4,600 W; |
|
|
| 2. | Number of input fibres equal to or greater than 3; and |
|
|
| 3. | Having either of the following characteristics: |
|
|
| a. | A Beam Parameter Product (BPP) measured at the output not exceeding 1.5 mm•mrad for a number of input fibres not more than 5; or |
|
|
| b. | A BPP measured at the output not exceeding 2.5 mm•mrad for a number of input fibres greater than 5; |
|
|
| c. | MLDs having both of the following characteristics: |
|
|
| 1. | Designed for spectral or coherent beam combination of 5 or more fibre “lasers”; and |
|
|
| 2. | CW “Laser” Induced Damage Threshold (LIDT) greater than or equal to 10 kW/cm2; |
|
|
| f. | Optical equipment as follows: |
|
|
| | For shared aperture optical elements, capable of operating in “Super High Power Laser” (“SHPL”) applications, see Division 2 of Part 1 of this Schedule. |
|
|
| |
| 2. | “Laser” diagnostic equipment specially designed for dynamic measurement of “SHPL” system angular beam steering errors and having an angular “accuracy” of 10 μrad (microradians) or less (better); |
|
|
| 3. | Optical equipment and components, specially designed for coherent beam combination in a phased‑array “SHPL” system and having either of the following characteristics: |
|
a. | An “accuracy” of 0.1 μm or less, for wavelengths greater than 1 μm; or |
|
b. | An “accuracy” of λ/10 or less (better) at the designed wavelength, for wavelengths equal to or less than 1 μm; |
|
|
| 4. | Projection telescopes specially designed for use with “SHPL” systems; |
|
|
| g. | ‘Laser acoustic detection equipment’ having all of the following characteristics: |
|
|
| 1. | CW “laser” output power equal to or exceeding 20 mW; |
|
|
| 2. | “Laser” frequency stability equal to or better (less) than 10 MHz; |
|
|
| 3. | “Laser” wavelengths equal to or exceeding 1,000 nm but not exceeding 2,000 nm; |
|
|
| 4. | Optical system resolution better (less) than 1 nm; and |
|
|
| 5. | Optical Signal to Noise ratio equal to or exceeding 103. |
|
|
| | ‘Laser acoustic detection equipment’ is sometimes referred to as a “Laser” Microphone or Particle Flow Detection Microphone. |
|
|
| |
| “Magnetometers”, “magnetic gradiometers”, “intrinsic magnetic gradiometers”, underwater electric field sensors, “compensation systems”, and specially designed components therefor, as follows: |
|
| See also Category Code 7A103.d. |
|
| Category Code 6A006 does not include instruments specially designed for fishery applications or biomagnetic measurements for medical diagnostics. |
|
| a. | “Magnetometers” and sub‑systems, as follows: |
|
|
| 1. | “Magnetometers” using “superconductive” (SQUID) “technology” and having either of the following: |
|
|
| a. | SQUID systems designed for stationary operation, without specially designed sub‑systems designed to reduce in‑motion noise, and having a ‘sensitivity’ equal to or lower (better) than 50 fT (rms) per square root Hz at a frequency of 1 Hz; or |
|
|
| b. | SQUID systems having an in‑motion‑magnetometer ‘sensitivity’ lower (better) than 20 pT (rms) per square root Hz at a frequency of 1 Hz and specially designed to reduce in‑motion noise; |
|
|
| 2. | “Magnetometers” using optically pumped or nuclear precession (proton/Overhauser) “technology” having a ‘sensitivity’ lower (better) than 20 pT (rms) per square root Hz at a frequency of 1 Hz; |
|
|
| 3. | “Magnetometers” using fluxgate “technology” having a ‘sensitivity’ equal to or lower (better) than 10 pT (rms) per square root Hz at a frequency of 1 Hz; |
|
|
| 4. | Induction coil “magnetometers” having a ‘sensitivity’ lower (better) than any of the following: |
|
|
| a. | 0.05 nT (rms) per square root Hz at frequencies of less than 1 Hz; |
|
|
| b. | 1 × 10-3 nT (rms) per square root Hz at frequencies of 1 Hz or more but not exceeding 10 Hz; or |
|
|
| c. | 1 × 10-4 nT (rms) per square root Hz at frequencies exceeding 10 Hz; |
|
|
| 5. | Fibre optic “magnetometers” having a ‘sensitivity’ lower (better) than 1 nT (rms) per square root Hz; |
|
|
| b. | Underwater electric field sensors having a ‘sensitivity’ lower (better) than 8 nanovolt per metre per square root Hz when measured at 1 Hz; |
|
|
| c. | “Magnetic gradiometers” as follows: |
|
|
| 1. | “Magnetic gradiometers” using multiple “magnetometers” specified in Category Code 6A006.a.; |
|
|
| 2. | Fibre optic “intrinsic magnetic gradiometers” having a magnetic gradient field ‘sensitivity’ lower (better) than 0.3 nT/m (rms) per square root Hz; |
|
|
| 3. | “Intrinsic magnetic gradiometers”, using “technology” other than fibre‑optic “technology”, having a magnetic gradient field ‘sensitivity’ lower (better) than 0.015 nT/m (rms) per square root Hz; |
|
|
| d. | “Compensation systems” for magnetic or underwater electric field sensors resulting in a performance equal to or better than the specified parameters of Category Code 6A006.a., 6A006.b. or 6A006.c.; |
|
|
| e. | Underwater electromagnetic receivers incorporating magnetic field sensors specified in Category Code 6A006.a. or underwater electric field sensors specified in Category Code 6A006.b. |
|
|
| For the purpose of Category Code 6A006, ‘sensitivity’ (noise level) is the root mean square of the device‑limited noise floor which is the lowest signal that can be measured. |
|
| |
| Gravity meters (gravimeters) and gravity gradiometers, as follows: |
|
| See also Category Code 6A107. |
|
| a. | Gravity meters designed or modified for ground use and having a static “accuracy” of less (better) than 10 µGal; |
|
|
| | Category Code 6A007.a. does not include ground gravity meters of the quartz element (Worden) type. |
|
|
| b. | Gravity meters designed for mobile platforms and having both of the following characteristics: |
|
|
| 1. | A static “accuracy” of less (better) than 0.7 mGal; and |
|
|
| 2. | An in‑service (operational) “accuracy” of less (better) than 0.7 mGal having a “time‑to‑steady‑state registration” of less than 2 minutes under any combination of attendant corrective compensations and motional influences; |
|
|
| |
| |
| Radar systems, equipment and assemblies, having any of the following characteristics, and specially designed components therefor: |
|
| See also Category Code 6A108. |
|
| Category Code 6A008 does not include: |
|
| − | Secondary Surveillance Radar (SSR); |
|
|
| |
| − | Displays or monitors used for Air Traffic Control (ATC); |
|
|
| − | Meteorological (weather) radar; |
|
|
| − | Precision Approach Radar (PAR) equipment conforming to ICAO standards and employing electronically steerable linear (one‑dimensional) arrays or mechanically positioned passive antennae. |
|
|
| a. | Operating at frequencies from 40 GHz to 230 GHz, and having either of the following characteristics: |
|
|
| 1. | An average output power exceeding 100 mW; or |
|
|
| 2. | Locating “accuracy” of 1 m or less (better) in range and 0.2 degree or less (better) in azimuth; |
|
|
| b. | A tunable bandwidth exceeding ±6.25% of the ‘centre operating frequency’; |
|
|
| | The ‘centre operating frequency’ equals one half of the sum of the highest plus the lowest specified operating frequencies. |
|
|
| c. | Capable of operating simultaneously on more than two carrier frequencies; |
|
|
| d. | Capable of operating in Synthetic Aperture Radar (SAR), Inverse Synthetic Aperture Radar (ISAR) mode, or Sidelooking Airborne Radar (SLAR) mode; |
|
|
| e. | Incorporating electronically scanned array antennae; |
|
| Electronically scanned array antennae are also known as electronically steerable array antennae. |
|
|
| f. | Capable of heightfinding non‑cooperative targets; |
|
|
| g. | Specially designed for airborne (balloon or airframe mounted) operation and having Doppler “signal processing” for the detection of moving targets; |
|
|
| h. | Employing processing of radar signals and using either of the following: |
|
|
| 1. | “Radar spread spectrum” techniques; or |
|
|
| 2. | “Radar frequency agility” techniques; |
|
|
| i. | Providing ground‑based operation with a maximum ‘instrumented range’ exceeding 185 km; |
|
|
| | Category Code 6A008.i. does not include: |
|
|
| a. | Fishing ground surveillance radar; |
|
|
| b. | Ground radar equipment specially designed for enroute Air Traffic Control (ATC) and having all of the following characteristics: |
|
|
| 1. | A maximum ‘instrumented range’ of 500 km or less; |
|
|
| 2. | Configured so that radar target data can be transmitted only one way from the radar site to one or more civil ATC centres; |
|
|
| 3. | Contains no provisions for remote control of the radar scan rate from the enroute ATC centre; and |
|
|
| 4. | Is permanently installed; |
|
|
| c. | Weather balloon tracking radars. |
|
|
| | For the purpose of Category Code 6A008.i., ‘instrumented range’ is the specified unambiguous display range of a radar. |
|
|
| j. | Being “laser” radar or Light Detection and Ranging (LIDAR) equipment, and having any of the following characteristics: |
|
|
| |
| 2. | Employing coherent heterodyne or homodyne detection techniques, and having an angular resolution of less (better) than 20 µrad (microradians); or |
|
|
| 3. | Designed for carrying out airborne bathymetric littoral surveys to International Hydrographic Organisation (IHO) Order 1a Standard (5th Edition February 2008) for Hydrographic Surveys or better, and using one or more “lasers” with a wavelength exceeding 400 nm but not exceeding 600 nm; |
|
|
| | LIDAR equipment specially designed for surveying is only specified in Category Code 6A008.j.3. |
|
|
| | Category Code 6A008.j. does not include LIDAR equipment specially designed for meteorological observation. |
|
|
| | Parameters in the IHO Order 1a Standard (5th Edition February 2008) are summarised as follows: |
|
|
| − | Horizontal Accuracy (95% Confidence Level) = 5 m + 5% of depth |
|
|
| − | Depth Accuracy for Reduced Depths (95% confidence level) = , where: |
|
|
| | a = 0.5 m = constant depth error, i.e. the sum of all constant depth errors |
|
|
| | b = 0.013 = factor of depth dependent error |
|
|
| | b*d = depth dependent error, i.e. the sum of all depth dependent errors |
|
|
| |
| − | Feature Detection = Cubic features > 2 m in depths up to 40 m; 10% of depth beyond 40 m. |
|
|
| k. | Having “signal processing” sub‑systems using “pulse compression”, and having either of the following characteristics: |
|
|
| 1. | A “pulse compression” ratio exceeding 150; or |
|
|
| 2. | A compressed pulse width of less than 200 ns; or |
|
|
| | Category Code 6A008.k.2. does not include two‑dimensional ‘marine radar’ or ‘vessel traffic service’ radar, having all of the following characteristics: |
|
|
| a. | “Pulse compression” ratio not exceeding 150; |
|
|
| b. | Compressed pulse width of greater than 30 ns; |
|
|
| c. | Single and rotating mechanically scanned antenna; |
|
|
| d. | Peak output power not exceeding 250 W; and |
|
|
| e. | Not capable of “frequency hopping”. |
|
|
| l. | Having data processing sub‑systems, and having either of the following characteristics: |
|
|
| 1. | ‘Automatic target tracking’ providing, at any antenna rotation, the predicted target position beyond the time of the next antenna beam passage; or |
|
|
| | Category Code 6A008.l.1. does not include conflict alert capability in ATC systems, or ‘marine radar’. |
|
| ‘Automatic target tracking’ is a processing technique that automatically determines and provides as output an extrapolated value of the most probable position of the target in real‑time. |
|
|
| |
| |
| 4. | Configured to provide superposition and correlation, or fusion, of target data within 6 s from two or more ‘geographically dispersed’ radar sensors to improve the aggregate performance beyond that of any single sensor specified in Category Code 6A008.f. or 6A008.i. |
|
|
| | See also Division 2 of Part 1 of this Schedule. |
|
|
| | Category Code 6A008.l.4. does not include systems, equipment and assemblies used for ‘vessel traffic service’. |
|
|
| | Sensors are considered ‘geographically dispersed’ when each location of a sensor is more than 1,500 m away from any other sensor in any direction. Mobile sensors are always considered ‘geographically dispersed’. |
|
|
| 1. | For the purpose of Category Code 6A008, ‘marine radar’ is a radar that is used to navigate safely at sea, inland waterways or near‑shore environments. |
|
|
| 2. | For the purpose of Category Code 6A008, ‘vessel traffic service’ is a vessel traffic monitoring and control service similar to Air Traffic Control (ATC) for “aircraft”. |
|
|
| |
| Radiation hardened ‘detectors’, other than those specified in Category Code 6A002, specially designed or modified for protecting against nuclear effects (e.g. electromagnetic pulse (EMP), X‑rays, combined blast and thermal effects) and usable for “missiles”, designed or rated to withstand radiation levels which meet or exceed a total irradiation dose of 5 × 105 rads (silicon). |
|
| In Category Code 6A102, a ‘detector’ is defined as a mechanical, electrical, optical or chemical device that automatically identifies and records, or registers a stimulus such as an environmental change in pressure or temperature, an electrical or electromagnetic signal or radiation from a radioactive material. This includes devices that sense by one time operation or failure. |
|
| |
| Gravity meters (gravimeters) and components for gravity meters and gravity gradiometers, as follows: |
|
| a. | Gravity meters, other than those specified in Category Code 6A007.b., designed or modified for airborne or marine use, and having a static or operational accuracy equal to or less (better) than 0.7 milligal (mgal), and having a time‑to‑steady‑state registration of two minutes or less; |
|
|
| b. | Specially designed components for gravity meters specified in Category Code 6A007.b. or 6A107.a. and gravity gradiometers specified in Category Code 6A007.c. |
|
|
| |
| Radar systems, tracking systems and radomes, other than those specified in Category Code 6A008, as follows: |
|
| a. | Radar and laser radar systems designed or modified for use in space launch vehicles specified in Category Code 9A004 or sounding rockets specified in Category Code 9A104; |
|
|
| | Category Code 6A108.a. includes the following: |
|
|
| a. | Terrain contour mapping equipment; |
|
|
| b. | Imaging sensor equipment; |
|
|
| c. | Scene mapping and correlation (both digital and analogue) equipment; |
|
|
| d. | Doppler navigation radar equipment; |
|
|
| e. | Imaging sensor equipment (both active and passive). |
|
|
| b. | Precision tracking systems, usable for ‘missiles’, as follows: |
|
|
| 1. | Tracking systems which use a code translator in conjunction with either surface or airborne references or navigation satellite systems to provide real‑time measurements of in‑flight position and velocity; |
|
|
| 2. | Range instrumentation radars including associated optical/infrared trackers with all of the following capabilities: |
|
|
| a. | Angular resolution better than 1.5 milliradians; |
|
|
| b. | Range of 30 km or greater with a range resolution better than 10 m rms; and |
|
|
| c. | Velocity resolution better than 3 m/s; |
|
|
| | In Category Code 6A108.b., ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
|
| c. | Radomes designed to withstand a combined thermal shock greater than 4.184 x 106 J/m2 accompanied by a peak over pressure of greater than 50 kPa, and usable in “missiles” for protecting against nuclear effects (e.g. electromagnetic pulse (EMP), X‑rays, combined blast and thermal effects). |
|
|
| |
| Photomultiplier tubes having both of the following characteristics: |
|
| a. | Photocathode area of greater than 20 cm2; and |
|
|
| b. | Anode pulse rise time of less than 1 ns. |
|
|
| |
| Cameras and components, other than those specified in Category Code 6A003, as follows: |
|
| “Software” specially designed to enhance or release the performance of a camera or imaging device to meet the characteristics of Category Code 6A203.a., 6A203.b. or 6A203.c. is specified in Category Code 6D203. |
|
| “Technology” in the form of codes or keys to enhance or release the performance of a camera or imaging device to meet the characteristics of Category Code 6A203.a., 6A203.b. or 6A203.c. is specified in Category Code 6E203. |
|
| Category Codes 6A203.a. to 6A203.c. do not include cameras or imaging devices if they have hardware, “software” or “technology” constraints that limit the performance to less than that specified below, provided they meet any of the following: |
|
| a. | They need to be returned to the original manufacturer to make the enhancements or release the constraints; |
|
|
| b. | They require “software” as specified in Category Code 6D203 to enhance or release the performance to meet the characteristics of Category Code 6A203; or |
|
|
| c. | They require “technology” in the form of keys or codes as specified in Category Code 6E203 to enhance or release the performance to meet the characteristics of Category Code 6A203. |
|
|
| a. | Streak cameras, and specially designed components therefor, as follows: |
|
|
| 1. | Streak cameras with writing speeds greater than 0.5 mm/μs; |
|
|
| 2. | Electronic streak cameras capable of 50 ns or less time resolution; |
|
|
| 3. | Streak tubes for cameras specified in Category Code 6A203.a.2.; |
|
|
| 4. | Plug‑ins specially designed for use with streak cameras which have modular structures and that enable the performance specifications in Category Code 6A203.a.1. or 6A203.a.2.; |
|
|
| 5. | Synchronising electronics units, rotor assemblies consisting of turbines, mirrors and bearings specially designed for cameras specified in Category Code 6A203.a.1.; |
|
|
| b. | Framing cameras, and specially designed components therefor, as follows: |
|
|
| 1. | Framing cameras with recording rates greater than 225,000 frames per second; |
|
|
| 2. | Framing cameras capable of 50 ns or less frame exposure time; |
|
|
| 3. | Framing tubes and solid‑state imaging devices having a fast image gating (shutter) time of 50 ns or less specially designed for cameras specified in Category Code 6A203.b.1. or 6A203.b.2.; |
|
|
| 4. | Plug‑ins specially designed for use with framing cameras which have modular structures and that enable the performance specifications in Category Code 6A203.b.1. or 6A203.b.2.; |
|
|
| 5. | Synchronising electronics units, rotor assemblies consisting of turbines, mirrors and bearings specially designed for cameras specified in Category Code 6A203.b.1. or 6A203.b.2.; |
|
|
| | In Category Code 6A203.b., high speed single frame cameras can be used alone to produce a single image of a dynamic event, or several such cameras can be combined in a sequentially triggered system to produce multiple images of an event. |
|
|
| c. | Solid state or electron tube cameras, and specially designed components therefor, as follows: |
|
|
| 1. | Solid‑state cameras or electron tube cameras with a fast image gating (shutter) time of 50 ns or less; |
|
|
| 2. | Solid‑state imaging devices and image intensifier tubes having a fast image gating (shutter) time of 50 ns or less specially designed for cameras specified in Category Code 6A203.c.1.; |
|
|
| 3. | Electro‑optical shuttering devices (Kerr or Pockels cells) with a fast image gating (shutter) time of 50 ns or less; |
|
|
| 4. | Plug‑ins specially designed for use with cameras which have modular structures and that enable the performance specifications in Category Code 6A203.c.1.; |
|
|
| d. | Radiation‑hardened TV cameras, or lenses therefor, specially designed or rated as radiation hardened to withstand a total radiation dose greater than 50 × 103 Gy (silicon) (5 × 106 rad (silicon)) without operational degradation. |
|
|
| | The term Gy (silicon) refers to the energy in Joules per kilogram absorbed by an unshielded silicon sample when exposed to ionising radiation. |
|
|
| |
| “Lasers”, “laser” amplifiers and oscillators, other than those specified in Category Codes 0B001.g.5., 0B001.h.6. and 6A005, as follows: |
|
| For copper vapour lasers, see Category Code 6A005.b. |
|
| a. | Argon ion “lasers” having both of the following characteristics: |
|
|
| 1. | Operating at wavelengths between 400 nm and 515 nm; and |
|
|
| 2. | An “average output power” greater than 40 W; |
|
|
| b. | Tunable pulsed single‑mode dye laser oscillators having all of the following characteristics: |
|
|
| 1. | Operating at wavelengths between 300 nm and 800 nm; |
|
|
| 2. | An “average output power” greater than 1 W; |
|
|
| 3. | A repetition rate greater than 1 kHz; and |
|
|
| 4. | Pulse width less than 100 ns; |
|
|
| c. | Tunable pulsed dye laser amplifiers and oscillators, having all of the following characteristics: |
|
|
| 1. | Operating at wavelengths between 300 nm and 800 nm; |
|
|
| 2. | An “average output power” greater than 30 W; |
|
|
| 3. | A repetition rate greater than 1 kHz; and |
|
|
| 4. | Pulse width less than 100 ns; |
|
|
| | Category Code 6A205.c. does not include single mode oscillators. |
|
|
| d. | Pulsed carbon dioxide (CO2) “lasers” having all of the following characteristics: |
|
|
| 1. | Operating at wavelengths between 9,000 nm and 11,000 nm; |
|
|
| 2. | A repetition rate greater than 250 Hz; |
|
|
| 3. | An “average output power” greater than 500 W; and |
|
|
| 4. | Pulse width of less than 200 ns; |
|
|
| e. | Para‑hydrogen Raman shifters designed to operate at 16 µm output wavelength and at a repetition rate greater than 250 Hz; |
|
|
| f. | Neodymium‑doped (other than glass) “lasers” with an output wavelength between 1,000 nm and 1,100 nm having either of the following characteristics: |
|
|
| 1. | Pulse‑excited and Q‑switched with a pulse duration equal to or more than 1 ns, and having either of the following characteristics: |
|
|
| a. | A single‑transverse mode output with an “average output power” greater than 40 W; or |
|
|
| b. | A multiple‑transverse mode output having an average power greater than 50 W; or |
|
|
| 2. | Incorporating frequency doubling to give an output wavelength between 500 nm and 550 nm with an “average output power” of more than 40 W; |
|
|
| g. | Pulsed carbon monoxide (CO) “lasers”, other than those specified in Category Code 6A005.d.2., having all of the following characteristics: |
|
|
| 1. | Operating at wavelengths between 5,000 nm and 6,000 nm; |
|
|
| 2. | A repetition rate greater than 250 Hz; |
|
|
| 3. | An “average output power” greater than 200 W; and |
|
|
| 4. | Pulse width of less than 200 ns. |
|
|
| |
| Velocity interferometers for measuring velocities exceeding 1 km/s during time intervals of less than 10 µs. |
|
| Category Code 6A225 includes velocity interferometers such as VISARs (Velocity Interferometer Systems for Any Reflector), DLIs (Doppler Laser Interferometers) and PDV (Photonic Doppler Velocimeters) also known as Het‑V (Heterodyne Velocimeters). |
|
| |
| Pressure sensors, as follows: |
|
| a. | Shock pressure gauges capable of measuring pressures greater than 10 GPa, including gauges made with manganin, ytterbium, and either polyvinylidene fluoride (PVDF) or polyvinyl difluoride (PVF2); |
|
|
| b. | Quartz pressure transducers for pressures greater than 10 GPa. |
|
|
| |
| Test, Inspection and Production Equipment |
|
| Masks and reticles, specially designed for optical sensors specified in Category Code 6A002.a.1.b. or 6A002.a.1.d. |
|
| |
| Optical equipment as follows: |
|
| a. | Equipment for measuring absolute reflectance to an “accuracy” of equal to or better than 0.1% of the reflectance value; |
|
|
| b. | Equipment other than optical surface scattering measurement equipment, having an unobscured aperture of more than 10 cm, specially designed for the non‑contact optical measurement of a non‑planar optical surface figure (profile) to an “accuracy” of 2 nm or less (better) against the required profile. |
|
|
| Category Code 6B004 does not include microscopes. |
|
| |
| Equipment to produce, align and calibrate land‑based gravity meters with a static “accuracy” of better than 0.1 mGal. |
|
| |
| Pulse radar cross‑section measurement systems having transmit pulse widths of 100 ns or less, and specially designed components therefor. |
|
| See also Category Code 6B108. |
|
| |
| Systems, other than those specified in Category Code 6B008, specially designed for radar cross‑section measurement usable for ‘missiles’ and their sub‑systems. |
|
| In Category Code 6B108, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
| |
| |
| Optical sensor materials as follows: |
|
| a. | Elemental tellurium (Te) of purity levels of 99.9995% or more; |
|
|
| b. | Single crystals (including epitaxial wafers) of any of the following: |
|
|
| 1. | Cadmium zinc telluride (CdZnTe), with zinc content of less than 6% by ‘mole fraction’; |
|
|
| 2. | Cadmium telluride (CdTe) of any purity level; or |
|
|
| 3. | Mercury cadmium telluride (HgCdTe) of any purity level. |
|
|
| | ‘Mole fraction’ is defined as the ratio of moles of ZnTe to the sum of moles of CdTe and ZnTe present in the crystal. |
|
|
| |
| Optical materials as follows: |
|
| a. | Zinc selenide (ZnSe) and zinc sulphide (ZnS) “substrate blanks”, produced by the Chemical Vapour Deposition (CVD) process and having either of the following characteristics: |
|
|
| 1. | A volume greater than 100 cm3; or |
|
|
| 2. | A diameter greater than 80 mm and a thickness of 20 mm or more; |
|
|
| b. | Electro‑optic materials and non‑linear optical materials, as follows: |
|
|
| 1. | Potassium titanyl arsenate (KTA) (59400‑80‑5); |
|
|
| 2. | Silver gallium selenide (AgGaSe2, also known as AGSE) (12002‑67‑4); |
|
|
| 3. | Thallium arsenic selenide (Tl3AsSe3, also known as TAS) (16142‑89‑5); |
|
|
| 4. | Zinc germanium phosphide (ZnGeP2, also known as ZGP, zinc germanium biphosphide or zinc germanium diphosphide); |
|
|
| 5. | Gallium selenide (GaSe) (12024‑11‑2); |
|
|
| c. | Non‑linear optical materials, other than those specified in Category Code 6C004.b., having either of the following characteristics: |
|
|
| 1. | Having both of the following characteristics: |
|
|
| a. | Dynamic (also known as non‑stationary) third order non‑linear susceptibility (χ(3), chi 3) of 10-6 m2/V2 or more; and |
|
|
| b. | Response time of less than 1 ms; or |
|
|
| 2. | Second order non‑linear susceptibility (χ(2), chi 2) of 3.3 × 10-11 m/V or more; |
|
|
| d. | “Substrate blanks” of silicon carbide or beryllium (Be/Be) deposited materials, exceeding 300 mm in diameter or major axis length; |
|
|
| e. | Glass, including fused silica, phosphate glass, fluorophosphate glass, zirconium fluoride (ZrF4) (7783‑64‑4) and hafnium fluoride (HfF4) (13709‑52‑9) and having all of the following characteristics: |
|
|
| 1. | A hydroxyl ion (OH-) concentration of less than 5 parts per million (ppm); |
|
|
| 2. | Integrated metallic purity levels of less than 1 parts per million (ppm); and |
|
|
| 3. | High homogeneity (index of refraction variance) less than 5 × 10-6; |
|
|
| f. | Synthetically produced diamond material with an absorption of less than 10-5 cm-1 for wavelengths exceeding 200 nm but not exceeding 14,000 nm. |
|
|
| |
| “Laser” materials as follows: |
|
| a. | Synthetic crystalline “laser” host material in unfinished form as follows: |
|
|
| 1. | Titanium doped sapphire; |
|
|
| |
| b. | Rare‑earth‑metal doped double‑clad fibres having either of the following characteristics: |
|
|
| 1. | Nominal “laser” wavelength of 975 nm to 1,150 nm, and having both of the following characteristics: |
|
|
| a. | Average core diameter equal to or greater than 25 µm; and |
|
|
| b. | Core ‘Numerical Aperture’ (‘NA’) less than 0.065; or |
|
|
| | Category Code 6C005.b.1. does not include double‑clad fibres having an inner glass cladding diameter exceeding 150 µm and not exceeding 300 µm. |
|
|
| 2. | Nominal “laser” wavelength exceeding 1,530 nm, and having both of the following characteristics: |
|
|
| a. | Average core diameter equal to or greater than 20 µm; and |
|
|
| b. | Core ‘NA’ less than 0.1. |
|
|
| 1. | For the purpose of Category Code 6C005.b., the core ‘Numerical Aperture’ (‘NA’) is measured at the emission wavelengths of the fibre. |
|
2. | Category Code 6C005.b. includes fibres assembled with end caps. |
|
|
| |
| |
| “Software” specially designed for the “development” or “production” of equipment specified in Category Code 6A004, 6A005, 6A008 or 6B008. |
|
| |
| “Software” specially designed for the “use” of equipment specified in Category Code 6A002.b., 6A008 or 6B008. |
|
| |
| Other “software” as follows: |
|
| |
| 1. | “Software” specially designed for acoustic beam forming for the “real‑time processing” of acoustic data for passive reception using towed hydrophone arrays; |
|
|
| 2. | “Source code” for the “real‑time processing” of acoustic data for passive reception using towed hydrophone arrays; |
|
|
| 3. | “Software” specially designed for acoustic beam forming for “real‑time processing” of acoustic data for passive reception using bottom or bay cable systems; |
|
|
| 4. | “Source code” for “real‑time processing” of acoustic data for passive reception using bottom or bay cable systems; |
|
|
| 5. | “Software” or “source code”, specially designed for both of the following: |
|
|
| a. | “Real‑time processing” of acoustic data from sonar systems specified in Category Code 6A001.a.1.e.; and |
|
|
| b. | Automatically detecting, classifying and determining the location of divers or swimmers; |
|
|
| | For diver detection “software” or “source code”, specially designed or modified for military use, see Division 2 of Part 1 of this Schedule. |
|
|
| |
| c. | “Software” designed or modified for cameras incorporating “focal plane arrays” specified in Category Code 6A002.a.3.f. and designed or modified to remove a frame rate restriction and allow the camera to exceed the frame rate specified in Category Code 6A003.b.4. Note 3.a.; |
|
|
| d. | “Software” specially designed to maintain the alignment and phasing of segmented mirror systems consisting of mirror segments having a diameter or major axis length equal to or larger than 1 m; |
|
|
| |
| |
| 1. | “Software” specially designed for magnetic and electric field “compensation systems” for magnetic sensors designed to operate on mobile platforms; |
|
|
| 2. | “Software” specially designed for magnetic and electric field anomaly detection on mobile platforms; |
|
|
| 3. | “Software” specially designed for “real‑time processing” of electromagnetic data using underwater electromagnetic receivers specified in Category Code 6A006.e.; |
|
|
| 4. | “Source code” for “real‑time processing” of electromagnetic data using underwater electromagnetic receivers specified in Category Code 6A006.e.; |
|
|
| g. | “Software” specially designed to correct motional influences of gravity meters or gravity gradiometers; |
|
|
| |
| 1. | Air Traffic Control (ATC) “software” application “programs” designed to be hosted on general purpose computers located at Air Traffic Control (ATC) centres and capable of accepting radar target data from more than four primary radars; |
|
|
| 2. | “Software” for the design or “production” of radomes and having both of the following characteristics: |
|
|
| a. | Specially designed to protect the electronically scanned array antennae specified in Category Code 6A008.e.; and |
|
|
| b. | Resulting in an antenna pattern having an ‘average side lobe level’ more than 40 dB below the peak of the main beam level. |
|
|
| | ‘Average side lobe level’ in Category Code 6D003.h.2.b. is measured over the entire array excluding the angular extent of the main beam and the first two side lobes on either side of the main beam. |
|
|
| |
| “Software” specially designed or modified for the “use” of goods specified in Category Code 6A108. |
|
| |
| “Software” which processes post‑flight, recorded data, enabling determination of vehicle position throughout its flight path, specially designed or modified for ‘missiles’. |
|
| In Category Code 6D103, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
| |
| “Software” specially designed to enhance or release the performance of cameras or imaging devices to meet the characteristics of Category Codes 6A203.a. to 6A203.c. |
|
| |
| |
| “Technology” (according to the General Technology Note) for the “development” of equipment, materials or “software” specified in Category 6A, 6B, 6C or 6D. |
|
| |
| “Technology” (according to the General Technology Note) for the “production” of equipment or materials specified in Category 6A, 6B or 6C. |
|
| |
| Other “technology”, as follows: |
|
| a. | “Technology” as follows: |
|
|
| 1. | “Technology” “required” for the coating and treatment of optical surfaces to achieve an ‘optical thickness’ uniformity of 99.5% or better for optical coatings 500 mm or more in diameter or major axis length and with a total loss (absorption and scatter) of less than 5 × 10-3; |
|
|
| | See also Category Code 2E003.f. |
|
|
| | ‘Optical thickness’ is the mathematical product of the index of refraction and the physical thickness of the coating. |
|
|
| 2. | “Technology” for the fabrication of optics using single point diamond turning techniques to produce surface finish “accuracies” of better than 10 nm rms on non‑planar surfaces exceeding 0.5 m2; |
|
|
| b. | “Technology” “required” for the “development”, “production” or “use” of specially designed diagnostic instruments or targets in test facilities for “SHPL” testing or testing or evaluation of materials irradiated by “SHPL” beams. |
|
|
| |
| “Technology” (according to the General Technology Note) for the “use” of equipment or “software” specified in Category Code 6A002, 6A007.b. and .c., 6A008, 6A102, 6A107, 6A108, 6B108, 6D102 or 6D103. |
|
| Category Code 6E101 only specifies “technology” for equipment specified in Category Codes 6A002, 6A007 and 6A008 when it is designed for airborne applications and are usable in “missiles”. |
|
| |
| “Technology” (according to the General Technology Note) for the “use” of equipment specified in Category Code 6A003, 6A005.a.2., 6A005.b.2., 6A005.b.3., 6A005.b.4., 6A005.b.6., 6A005.c.2., 6A005.d.3.c., 6A005.d.4.c., 6A202, 6A203, 6A205, 6A225 or 6A226. |
|
| Category Code 6E201 only specifies “technology” for cameras specified in Category Code 6A003 if the cameras are also specified by any of the control parameters of Category Code 6A203. |
|
| Category Code 6E201 only specifies “technology” for lasers in Category Code 6A005.b.6. that are neodymium‑doped and specified by any of the control parameters of Category Code 6A205.f. |
|
| |
| “Technology”, in the form of codes or keys, to enhance or release the performance of cameras or imaging devices to meet the characteristics of Category Codes 6A203.a. to 6A203.c. |
|
CATEGORY 7 — NAVIGATION AND AVIONICS |
|
| Systems, Equipment and Components |
|
| For automatic pilots for underwater vehicles, see Category 8. For radar, see Category 6. |
|
| |
| Accelerometers as follows and specially designed components therefor: |
|
| See also Category Code 7A101. |
For angular or rotational accelerometers, see Category Code 7A001.b. |
|
| a. | Linear accelerometers having any of the following characteristics: |
|
|
| 1. | Specified to function at linear acceleration levels less than or equal to 15 g, and having either of the following characteristics: |
|
|
| a. | A “bias” “stability” of less (better) than 130 micro g with respect to a fixed calibration value over a period of one year; or |
|
|
| b. | A “scale factor” “stability” of less (better) than 130 parts per million (ppm) with respect to a fixed calibration value over a period of one year; |
|
|
| 2. | Specified to function at linear acceleration levels exceeding 15 g but less than or equal to 100 g, and having both of the following characteristics: |
|
|
| a. | A “bias” “repeatability” of less (better) than 1,250 micro g over a period of one year; and |
|
|
| b. | A “scale factor” “repeatability” of less (better) than 1,250 parts per million (ppm) over a period of one year; or |
|
|
| 3. | Designed for use in inertial navigation or guidance systems and specified to function at linear acceleration levels exceeding 100 g; |
|
|
| | Category Codes 7A001.a.1. and 7A001.a.2. do not include accelerometers limited to measurement of only vibration or shock. |
|
|
| b. | Angular or rotational accelerometers, specified to function at linear acceleration levels exceeding 100 g. |
|
|
| |
| Gyros or angular rate sensors, having either of the following characteristics, and specially designed components therefor: |
|
| See also Category Code 7A102. |
|
| For angular or rotational accelerometers, see Category Code 7A001.b. |
|
| a. | Specified to function at linear acceleration levels less than or equal to 100 g, and having either of the following characteristics: |
|
|
| 1. | An angular rate range of less than 500 degrees per second, and having either of the following characteristics: |
|
|
| a. | A “bias” “stability” of less (better) than 0.5 degree per hour, when measured in a 1 g environment over a period of one month, and with respect to a fixed calibration value; or |
|
|
| b. | An “angle random walk” of less (better) than or equal to 0.0035 degree per square root hour; or |
|
|
| | Category Code 7A002.a.1.b. does not include “spinning mass gyros”. |
|
|
| 2. | An angular rate range greater than or equal to 500 degrees per second, and having either of the following characteristics: |
|
|
| a. | A “bias” “stability” of less (better) than 4 degrees per hour, when measured in a 1 g environment over a period of three minutes, and with respect to a fixed calibration value; or |
|
|
| b. | An “angle random walk” of less (better) than or equal to 0.1 degree per square root hour; or |
|
|
| | Category Code 7A002.a.2.b. does not include “spinning mass gyros”. |
|
|
| b. | Specified to function at linear acceleration levels exceeding 100 g. |
|
|
| |
| ‘Inertial measurement equipment or systems’, having any of the following characteristics: |
|
| See also Category Code 7A103. |
|
| ‘Inertial measurement equipment or systems’ incorporate accelerometers or gyroscopes to measure changes in velocity and orientation in order to determine or maintain heading or position without requiring an external reference once aligned. ‘Inertial measurement equipment or systems’ include: |
|
| − Attitude and Heading Reference Systems (AHRSs); |
|
| |
| − Inertial Measurement Units (IMUs); |
|
| − Inertial Navigation Systems (INSs); |
|
| − Inertial Reference Systems (IRSs); |
|
| − Inertial Reference Units (IRUs). |
|
| Category Code 7A003 does not include ‘inertial measurement equipment or systems’ which are certified for use on “civil aircraft” by civil authorities of one or more “participating states”. |
|
| ‘Positional aiding references’ independently provide position, and include: |
|
| a. | “Satellite navigation system”; |
|
|
| b. | “Data‑Based Referenced Navigation” (“DBRN”). |
|
|
| a. | Designed for “aircraft”, land vehicles or vessels, providing position without the use of ‘positional aiding references’, and having any of the following “accuracies” subsequent to normal alignment: |
|
|
| 1. | 0.8 nautical miles per hour (nm/hr) “Circular Error Probable” (“CEP”) rate or less (better); |
|
|
| 2. | 0.5% distanced travelled “CEP” or less (better); or |
|
|
| 3. | Total drift of 1 nautical mile “CEP” or less (better) in a 24‑hour period; |
|
|
| | The performance parameters in Category Codes 7A003.a.1., 7A003.a.2. and 7A003.a.3. typically apply to ‘inertial measurement equipment or systems’ designed for “aircraft”, vehicles and vessels, respectively. These parameters result from the utilisation of specialised non‑positional aiding references (e.g. altimeter, odometer, velocity log). As a consequence, the specified performance values cannot be readily converted between these parameters. Equipment designed for multiple platforms are evaluated against each applicable Category Code 7A003.a.1., 7A003.a.2. or 7A003.a.3. |
|
|
| b. | Designed for “aircraft”, land vehicles or vessels, with an embedded ‘positional aiding reference’ and providing position after loss of all ‘positional aiding references’ for a period of up to 4 minutes, having an “accuracy” of less (better) than 10 meters “CEP”; |
|
|
| | Category Code 7A003.b. refers to systems in which ‘inertial measurement equipment or systems’ and other independent ‘positional aiding references’ are built into a single unit (i.e. embedded) in order to achieve improved performance. |
|
|
| c. | Designed for “aircraft”, land vehicles or vessels, providing heading or True North determination and having either of the following characteristics: |
|
|
| 1. | A maximum operating angular rate less (lower) than 500 degrees per second and a heading “accuracy” without the use of ‘positional aiding references’ equal to or less (better) than 0.07 degree second (Lat) (equivalent to 6 arc minutes rms at 45 degrees latitude); or |
|
|
| 2. | A maximum operating angular rate equal to or greater (higher) than 500 degrees per second and a heading “accuracy” without the use of ‘positional aiding references’ equal to or less (better) than 0.2 degree second (Lat) (equivalent to 17 arc minutes rms at 45 degrees latitude); or |
|
|
| d. | Providing acceleration measurements or angular rate measurements, in more than one dimension, and having either of the following characteristics: |
|
|
| 1. | Performance specified in Category Code 7A001 or 7A002 along any axis, without the use of any aiding references; or |
|
|
| 2. | Being “space‑qualified” and providing angular rate measurements having an “angle random walk” along any axis of less (better) than or equal to 0.1 degree per square root hour. |
|
|
| | Category Code 7A003.d.2. does not include ‘inertial measurement equipment or systems’ that contain “spinning mass gyros” as the only type of gyro. |
|
|
| |
| ‘Star trackers’ and components therefor, as follows: |
|
| See also Category Code 7A104. |
|
| a. | ‘Star trackers’ with a specified azimuth “accuracy” of equal to or less (better) than 20 seconds of arc throughout the specified lifetime of the equipment; |
|
|
| b. | Components specially designed for equipment specified in Category Code 7A004.a. as follows: |
|
|
| 1. | Optical heads or baffles; |
|
|
| |
| ‘Star trackers’ are also referred to as stellar attitude sensors or gyro‑astro compasses. |
|
| |
| “Satellite navigation system” receiving equipment having either of the following characteristics and specially designed components therefor: |
|
| See also Category Code 7A105. |
For equipment specially designed for military use, see Division 2 of Part 1 of this Schedule. |
|
| a. | Employing a decryption algorithm specially designed or modified for government use to access the ranging code for position and time; or |
|
|
| b. | Employing ‘adaptive antenna systems’. |
|
|
| | Category Code 7A005.b. does not include “satellite navigation system” receiving equipment that only uses components designed to filter, switch or combine signals from multiple omni‑directional antennae that do not implement adaptive antenna techniques. |
|
|
| | For the purpose of Category Code 7A005.b., ‘adaptive antenna systems’ dynamically generate one or more spatial nulls in an antenna array pattern by signal processing in the time domain or frequency domain. |
|
|
| |
| Airborne altimeters operating at frequencies other than 4.2 GHz to 4.4 GHz inclusive and having either of the following characteristics: |
|
| See also Category Code 7A106. |
|
| |
| b. | Using phase shift key modulation. |
|
|
| | ‘Power management’ is changing the transmitted power of the altimeter signal so that received power at the “aircraft” altitude is always at the minimum necessary to determine the altitude. |
|
|
| |
| Underwater sonar navigation systems using doppler velocity or correlation velocity logs integrated with a heading source and having a positioning “accuracy” of equal to or less (better) than 3% of distance travelled “Circular Error Probable” (“CEP”) and specially designed components therefor. |
|
| Category Code 7A008 does not include systems specially designed for installation on surface vessels or systems requiring acoustic beacons or buoys to provide positioning data. |
|
| See Category Code 6A001.a. for acoustic systems, and Category Code 6A001.b. for correlation‑velocity and Doppler‑velocity sonar log equipment. |
|
| See Category Code 8A002 for other marine systems. |
|
| |
| Linear accelerometers, other than those specified in Category Code 7A001, designed for use in Inertial Navigation Systems (INSs) or in guidance systems of all types, usable in ‘missiles’, having both of the following characteristics, and specially designed components therefor: |
|
| a. | A “bias” “repeatability” of less (better) than 1,250 micro g; and |
|
|
| b. | A “scale factor” “repeatability” of less (better) than 1,250 parts per million (ppm). |
|
|
| Category Code 7A101 does not include accelerometers specially designed and developed as Measurement While Drilling (MWD) Sensors for use in downhole well service operations. |
|
| 1. | In Category Code 7A101, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
|
| 2. | In Category Code 7A101, the measurement of “bias” and “scale factor” refers to a one sigma standard deviation with respect to a fixed calibration over a period of one year. |
|
|
| |
| All types of gyros, other than those specified in Category Code 7A002, usable in ‘missiles’, with a rated “drift rate” ‘stability’ of less than 0.5º (1 sigma or rms) per hour in a 1 g environment and specially designed components therefor. |
|
| 1. | In Category Code 7A102, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
|
| 2. | In Category Code 7A102, ‘stability’ is defined as a measure of the ability of a specific mechanism or performance coefficient to remain invariant when continuously exposed to a fixed operating condition (Ref. IEEE Std 528‑2001 paragraph 2.247). |
|
|
| |
| Instrumentation, navigation equipment and systems, other than those specified in Category Code 7A003, as follows; and specially designed components therefor: |
|
| a. | ‘Inertial measurement equipment or systems’, using accelerometers or gyros, as follows: |
|
|
| 1. | Accelerometers specified in Category Code 7A001.a.3., 7A001.b. or 7A101 or gyros specified in Category Code 7A002 or 7A102; |
|
|
| | Category Code 7A103.a.1. does not include equipment containing accelerometers specified in Category Code 7A001.a.3. that are designed to measure vibration or shock. |
|
|
| 2. | Accelerometers specified in Category Code 7A001.a.1. or 7A001.a.2., designed for use in Inertial Navigation Systems (INSs) or in guidance systems of all types, and usable in ‘missiles’; |
|
|
| | Category Code 7A103.a.2. does not include equipment containing accelerometers specified in Category Code 7A001.a.1. or 7A001.a.2. where such accelerometers are specially designed and developed as MWD (Measurement While Drilling) sensors for use in downhole well service operations. |
|
|
| | ‘Inertial measurement equipment or systems’ specified in Category Code 7A103.a. incorporate accelerometers or gyros to measure changes in velocity and orientation in order to determine or maintain heading or position without requiring an external reference once aligned. |
|
|
| | ‘Inertial measurement equipment or systems’ in Category Code 7A103.a. include: |
|
|
| − | Attitude and Heading Reference Systems (AHRSs); |
|
|
| |
| − | Inertial Measurement Units (IMUs); |
|
|
| − | Inertial Navigation Systems (INSs); |
|
|
| − | Inertial Reference Systems (IRSs); |
|
|
| − | Inertial Reference Units (IRUs). |
|
|
| b. | Integrated flight instrument systems which include gyrostabilisers or automatic pilots, designed or modified for use in ‘missiles’; |
|
|
| c. | ‘Integrated navigation systems’, designed or modified for ‘missiles’ and capable of providing a navigational accuracy of 200 m ‘CEP’ or less; |
|
|
| 1. | An ‘integrated navigation system’ typically incorporates the following components: |
|
|
| a. | An inertial measurement device (e.g. an Attitude and Heading Reference System (AHRS), Inertial Reference Unit (IRU), or Inertial Navigation System (INS)); |
|
b. | One or more external sensors used to update the position and/or velocity, either periodically or continuously throughout the flight (e.g. satellite navigation receiver, radar altimeter or Doppler radar); and |
|
c. | Integration hardware and software. |
|
|
| 2. | In Category Code 7A103.c., ‘CEP’ (Circular Error Probable or Circle of Equal Probability) is a measure of accuracy, defined as the radius of the circle inside of which there is a 50% probability of being located. |
|
|
| d. | Three axis magnetic heading sensors, designed or modified to be integrated with flight control and navigation systems, other than those specified in Category Code 6A006, having both of the following characteristics, and specially designed components therefor: |
|
|
| 1. | Internal tilt compensation in pitch (±90 degrees) and roll (±180 degrees) axes; and |
|
|
| 2. | Azimuthal accuracy better (less) than 0.5 degrees rms at latitude of ±80 degrees, reference to local magnetic field. |
|
|
| | Flight control and navigation systems in Category Code 7A103.d. include gyrostabilisers, automatic pilots and Inertial Navigation Systems (INSs). |
|
|
| In Category Code 7A103, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
| |
| Gyro‑astro compasses and other devices, other than those specified in Category Code 7A004, which derive position or orientation by means of automatically tracking celestial bodies or satellites and specially designed components therefor. |
|
| |
| Receiving equipment for ‘navigation satellite systems’, other than those specified in Category Code 7A005, having either of the following characteristics, and specially designed components therefor: |
|
| a. | Designed or modified for use in space launch vehicles specified in Category Code 9A004, sounding rockets specified in Category Code 9A104 or unmanned aerial vehicles specified in Category Code 9A012 or 9A112.a.; or |
|
|
| b. | Designed or modified for airborne applications and having any of the following characteristics: |
|
|
| 1. | Capable of providing navigation information at speeds in excess of 600 m/s; |
|
|
| 2. | Employing decryption, designed or modified for military or governmental services, to gain access to a ‘navigation satellite system’ secured signal/data; or |
|
|
| 3. | Being specially designed to employ anti‑jam features (e.g. null steering antenna or electronically steerable antenna) to function in an environment of active or passive countermeasures. |
|
|
| | Category Codes 7A105.b.2. and 7A105.b.3. do not include equipment designed for commercial, civil or ‘Safety of Life’ (e.g. data integrity, flight safety) ‘navigation satellite system’ services. |
|
|
| In Category Code 7A105, ‘navigation satellite system’ includes Global Navigation Satellite Systems (GNSS; e.g. GPS, GLONASS, Galileo or BeiDou) and Regional Navigation Satellite Systems (RNSS; e.g. NavIC, QZSS). |
|
| |
| Altimeters, other than those specified in Category Code 7A006, of radar or laser radar type, designed or modified for use in space launch vehicles specified in Category Code 9A004 or sounding rockets specified in Category Code 9A104. |
|
| |
| Passive sensors for determining bearing to specific electromagnetic source (direction finding equipment) or terrain characteristics, designed or modified for use in space launch vehicles specified in Category Code 9A004 or sounding rockets specified in Category Code 9A104. |
|
| Equipment specified in Category Codes 7A105, 7A106 and 7A115 includes the following: |
|
| a. | Terrain contour mapping equipment; |
|
|
| b. | Scene mapping and correlation (both digital and analogue) equipment; |
|
|
| c. | Doppler navigation radar equipment; |
|
|
| d. | Passive interferometer equipment; |
|
|
| e. | Imaging sensor equipment (both active and passive). |
|
|
| |
| Flight control systems and servo valves, as follows; designed or modified for use in space launch vehicles specified in Category Code 9A004, sounding rockets specified in Category Code 9A104 or “missiles”: |
|
| a. | Pneumatic, hydraulic, mechanical, electro‑optical, or electro‑mechanical flight control systems (including fly‑by‑wire and fly‑by‑light systems); |
|
|
| b. | Attitude control equipment; |
|
|
| c. | Flight control servo valves designed or modified for the systems specified in Category Code 7A116.a. or 7A116.b., and designed or modified to operate in a vibration environment greater than 10 g rms between 20 Hz and 2 kHz. |
|
|
| For conversion of manned aircraft to operate as “missiles”, Category Code 7A116 includes the systems, equipment and valves designed or modified to enable operation of manned aircraft as unmanned aerial vehicles. |
|
| |
| “Guidance sets”, usable in “missiles” capable of achieving system accuracy of 3.33% or less of the range (e.g. a ‘CEP’ of 10 km or less at a range of 300 km). |
|
| In Category Code 7A117, ‘CEP’ (Circular Error Probable or Circle of Equal Probability) is a measure of accuracy, defined as the radius of the circle centred at the target, at a specific range, in which 50% of the payloads impact. |
|
| |
| Test, Inspection and Production Equipment |
|
| Test, calibration or alignment equipment, specially designed for equipment specified in Category 7A. |
|
| Category Code 7B001 does not include test, calibration or alignment equipment for ‘Maintenance Level I’ or ‘Maintenance Level II’. |
|
| | The failure of an inertial navigation unit is detected on the “aircraft” by indications from the Control and Display Unit (CDU) or by the status message from the corresponding sub‑system. By following the manufacturer’s manual, the cause of the failure may be localised at the level of the malfunctioning Line Replaceable Unit (LRU). The operator then removes the LRU and replaces it with a spare. |
|
|
| | The defective LRU is sent to the maintenance workshop (the manufacturer’s or that of the operator responsible for level II maintenance). At the maintenance workshop, the malfunctioning LRU is tested by various appropriate means to verify and localise the defective Shop Replaceable Assembly (SRA) module responsible for the failure. This SRA is removed and replaced by an operative spare. The defective SRA (or possibly the complete LRU) is then shipped to the manufacturer. ‘Maintenance Level II’ does not include the disassembly or repair of controlled accelerometers or gyro sensors. |
|
|
| |
| Equipment specially designed to characterise mirrors for ring “laser” gyros, as follows: |
|
| See also Category Code 7B102. |
|
| a. | Scatterometers having a measurement “accuracy” of 10 parts per million (ppm) or less (better); |
|
|
| b. | Profilometers having a measurement “accuracy” of 0.5 nm (5 angstrom) or less (better). |
|
|
| |
| Equipment specially designed for the “production” of equipment specified in Category 7A. |
|
| Category Code 7B003 includes: |
|
| − | Gyro tuning test stations; |
|
|
| − | Gyro dynamic balance stations; |
|
|
| − | Gyro run‑in/motor test stations; |
|
|
| − | Gyro evacuation and fill stations; |
|
|
| − | Centrifuge fixtures for gyro bearings; |
|
|
| − | Accelerometer axis align stations; |
|
|
| − | Fibre optic gyro coil winding machines. |
|
|
| |
| Reflectometers specially designed to characterise mirrors, for “laser” gyros, having a measurement accuracy of 50 parts per million (ppm) or less (better). |
|
| |
| “Production facilities” and “production equipment” as follows: |
|
| a. | “Production facilities” specially designed for equipment specified in Category Code 7A117; |
|
|
| b. | “Production equipment”, and other test, calibration and alignment equipment, other than that specified in Category Codes 7B001 to 7B003, designed or modified to be used with equipment specified in Category 7A. |
|
|
| |
| |
| |
| |
| |
| “Software” specially designed or modified for the “development” or “production” of equipment specified in Category 7A or 7B. |
|
| |
| “Source code” for the operation or maintenance of any inertial navigation equipment, including inertial equipment not specified in Category Code 7A003 or 7A004, or ‘Attitude and Heading Reference Systems’ (‘AHRS’). |
|
| Category Code 7D002 does not include “source code” for the “use” of gimballed ‘AHRS’. |
|
| ‘AHRS’ generally differ from Inertial Navigation Systems (INSs) in that an ‘AHRS’ provides attitude and heading information and normally does not provide the acceleration, velocity and position information associated with an INS. |
|
| |
| Other “software” as follows: |
|
| a. | “Software” specially designed or modified to improve the operational performance or reduce the navigational error of systems to the levels specified in Category Code 7A003, 7A004 or 7A008; |
|
|
| b. | “Source code” for hybrid integrated systems which improves the operational performance or reduces the navigational error of systems to the level specified in Category Code 7A003 or 7A008 by continuously combining heading data with any of the following: |
|
|
| 1. | Doppler radar or sonar velocity data; |
|
|
| 2. | “Satellite navigation system” reference data; or |
|
|
| 3. | Data from “Data‑Based Referenced Navigation” (“DBRN”) systems; |
|
|
| |
| |
| e. | Computer‑Aided‑Design (CAD) “software” specially designed for the “development” of “active flight control systems”, helicopter multi‑axis fly‑by‑wire or fly‑by‑light controllers or helicopter “circulation-controlled anti‑torque or circulation‑controlled direction control systems”, whose “technology” is specified in Category Code 7E004.b.1., 7E004.b.3. to 7E004.b.5., 7E004.b.7., 7E004.b.8., 7E004.c.1. or 7E004.c.2. |
|
|
| |
| “Source code” incorporating “development” “technology” specified in Category Code 7E004.a.2., 7E004.a.3., 7E004.a.5., 7E004.a.6. or 7E004.b., for any of the following: |
|
| a. | Digital flight management systems for “total control of flight”; |
|
|
| b. | Integrated propulsion and flight control systems; |
|
|
| c. | “Fly‑by‑wire systems” or “fly‑by‑light systems”; |
|
|
| d. | Fault‑tolerant or self‑reconfiguring “active flight control systems”; |
|
|
| |
| f. | Air data systems based on surface static data; or |
|
|
| g. | Three‑dimensional displays. |
|
|
| Category Code 7D004 does not include “source code” associated with common computer elements and utilities (e.g. input signal acquisition, output signal transmission, computer program and data loading, built‑in test, task scheduling mechanisms) not providing a specific flight control system function. |
|
| |
| “Software” specially designed to decrypt “satellite navigation system” ranging code designed for government use. |
|
| |
| “Software” specially designed or modified for the “use” of equipment specified in Category Code 7A001 to 7A006, 7A101 to 7A106, 7A115, 7A116.a., 7A116.b., 7B001, 7B002, 7B003, 7B102 or 7B103. |
|
| |
| Integration “software” as follows: |
|
| a. | Integration “software” for the equipment specified in Category Code 7A103.b.; |
|
|
| b. | Integration “software” specially designed for the equipment specified in Category Code 7A003 or 7A103.a.; |
|
|
| c. | Integration “software” designed or modified for the equipment specified in Category Code 7A103.c. |
|
|
| A common form of integration “software” employs Kalman filtering. |
|
| |
| “Software” specially designed for modelling or simulation of the “guidance sets” specified in Category Code 7A117 or for their design integration with the space launch vehicles specified in Category Code 9A004 or sounding rockets specified in Category Code 9A104. |
|
| “Software” specified in Category Code 7D103 remains within the description in that Category when combined with specially designed hardware specified in Category Code 4A102. |
|
| |
| “Software” specially designed or modified for the operation or maintenance of “guidance sets” specified in Category Code 7A117. |
|
| Category Code 7D104 includes “software”, specially designed or modified to enhance the performance of “guidance sets” to achieve or exceed the accuracy specified in Category Code 7A117. |
|
| |
| |
| “Technology” (according to the General Technology Note) for the “development” of equipment or “software”, specified in Category 7A, 7B or Category Codes 7D001, 7D002, 7D003, 7D005 and 7D101 to 7D103. |
|
| Category Code 7E001 includes key management “technology” exclusively for equipment specified in Category Code 7A005.a. |
|
| |
| “Technology” (according to the General Technology Note) for the “production” of equipment specified in Category 7A or 7B. |
|
| |
| “Technology” (according to the General Technology Note) for the repair, refurbishing or overhaul of equipment specified in Category Codes 7A001 to 7A004. |
|
| Category Code 7E003 does not include “technology” for maintenance, directly associated with calibration, removal or replacement of damaged or unserviceable LRUs and SRAs of a “civil aircraft” as described in ‘Maintenance Level I’ or ‘Maintenance Level II’. |
|
| See Technical Notes to Category Code 7B001. |
|
| |
| Other “technology” as follows: |
|
| a. | “Technology” for the “development” or “production” of any of the following: |
|
|
| |
| 2. | Air data systems based on surface static data only, i.e. which dispense with conventional air data probes; |
|
|
| 3. | Three‑dimensional displays for “aircraft”; |
|
|
| |
| 5. | Electric actuators (i.e. electromechanical, electrohydrostatic and integrated actuator package) specially designed for ‘primary flight control’; |
|
|
| | ‘Primary flight control’ is “aircraft” stability or manoeuvring control using force or moment generators, i.e. aerodynamic control surfaces or propulsive thrust vectoring. |
|
|
| 6. | ‘Flight control optical sensor array’ specially designed for implementing “active flight control systems”; or |
|
| A ‘flight control optical sensor array’ is a network of distributed optical sensors, using “laser” beams, to provide real‑time flight control data for on‑board processing. |
|
|
| 7. | “DBRN” systems designed to navigate underwater, using sonar or gravity databases, that provide a positioning “accuracy” equal to or less (better) than 0.4 nautical miles; |
|
|
| b. | “Development” “technology”, as follows, for “active flight control systems” (including “fly‑by‑wire systems” or “fly‑by‑light systems”): |
|
|
| 1. | Photonic‑based “technology” for sensing “aircraft” or flight control component state, transferring flight control data, or commanding actuator movement, “required” for “fly‑by‑light systems” “active flight control systems”; |
|
|
| |
| 3. | Real‑time algorithms to analyse component sensor information to predict and preemptively mitigate impending degradation and failures of components within an “active flight control system”; |
|
|
| | Category Code 7E004.b.3. does not include algorithms for purpose of off‑line maintenance. |
|
|
| 4. | Real‑time algorithms to identify component failures and reconfigure force and moment controls to mitigate “active flight control system” degradations and failures; |
|
|
| | Category Code 7E004.b.4. does not include algorithms for the elimination of fault effects through comparison of redundant data sources, or off‑line pre‑planned responses to anticipated failures. |
|
|
| 5. | Integration of digital flight control, navigation and propulsion control data, into a digital flight management system for “total control of flight”; |
|
|
| | Category Code 7E004.b.5. does not include: |
|
|
| a. | “Technology” for integration of digital flight control, navigation and propulsion control data, into a digital flight management system for ‘flight path optimisation’; |
|
|
| b. | “Technology” for “aircraft” flight instrument systems integrated solely for VOR, DME, ILS or MLS navigation or approaches. |
|
| ‘Flight path optimisation’ is a procedure that minimises deviations from a four‑dimensional (space and time) desired trajectory based on maximising performance or effectiveness for mission tasks. |
|
|
| |
| 7. | “Technology” “required” for deriving the functional requirements for “fly‑by‑wire systems” having both of the following characteristics: |
|
|
| a. | ‘Inner‑loop’ airframe stability controls requiring loop closure rates of 40 Hz or greater; and |
|
|
| | ‘Inner‑loop’ refers to functions of “active flight control systems” that automate airframe stability controls. |
|
|
| b. | Having any of the following characteristics: |
|
|
| 1. | Corrects an aerodynamically unstable airframe, measured at any point in the design flight envelope, that would lose recoverable control if not corrected within 0.5 s; |
|
|
| 2. | Couples controls in two or more axes while compensating for ‘abnormal changes in aircraft state’; |
|
|
| | ‘Abnormal changes in aircraft state’ include in‑flight structural damage, loss of engine thrust, disabled control surface, or destabilising shifts in cargo load. |
|
|
| 3. | Performs the functions specified in Category Code 7E004.b.5.; or |
|
|
| | Category Code 7E004.b.7.b.3. does not include autopilots. |
|
|
| 4. | Enables “aircraft” to have a stable controlled flight, other than during take‑off or landing, at greater than 18 degrees angle of attack, 15 degrees side slip, 15 degrees per second pitch or yaw rate, or 90 degrees per second roll rate; |
|
|
| 8. | “Technology” “required” for deriving the functional requirements for “fly‑by‑wire systems” to achieve both of the following: |
|
|
| a. | No loss of control of the “aircraft” in the event of a consecutive sequence of any two individual faults within the “fly‑by‑wire system”; and |
|
|
| b. | Probability of loss of control of the “aircraft” being less (better) than 1 × 10-9 failures per flight hour; |
|
|
| | Category Code 7E004.b. does not include “technology” associated with common computer elements and utilities (e.g. input signal acquisition, output signal transmission, computer program and data loading, built‑in test, task scheduling mechanisms) not providing a specific flight control system function. |
|
|
| c. | “Technology” for the “development” of helicopter systems, as follows: |
|
|
| 1. | Multi‑axis fly‑by‑wire or fly‑by‑light controllers, which combine the functions of at least two of the following into one controlling element: |
|
|
| |
| |
| |
| 2. | “Circulation‑controlled anti‑torque or circulation‑controlled direction control systems”; |
|
|
| 3. | Rotor blades incorporating ‘variable geometry airfoils’, for use in systems using individual blade control. |
|
| ‘Variable geometry airfoils’ use trailing edge flaps or tabs, or leading edge slats or pivoted nose droop, the position of which can be controlled in flight. |
|
|
| |
| “Technology” (according to the General Technology Note) for the “use” of equipment specified in Category Codes 7A001 to 7A006, 7A101 to 7A106, 7A115 to 7A117, 7B001, 7B002, 7B003, 7B102, 7B103 and 7D101 to 7D103. |
|
| |
| “Technology” for protection of avionics and electrical sub‑systems against electromagnetic pulse (EMP) and electromagnetic interference (EMI) hazards, from external sources, as follows: |
|
| a. | Design “technology” for shielding systems; |
|
|
| b. | Design “technology” for the configuration of hardened electrical circuits and sub‑systems; |
|
|
| c. | Design “technology” for the determination of hardening criteria of Category Codes 7E102.a. and 7E102.b. |
|
|
| |
| “Technology” for the integration of the flight control, guidance, and propulsion data into a flight management system for optimisation of rocket system trajectory. |
|
|
| Systems, Equipment and Components |
|
| Submersible vehicles and surface vessels, as follows: |
|
| For equipment for submersible vehicles, see: |
|
| |
| − | Categories 7 and 8 for navigation equipment; |
|
|
| − | Category 8A for underwater equipment. |
|
|
| a. | Manned, tethered submersible vehicles designed to operate at depths exceeding 1,000 m; |
|
|
| b. | Manned, untethered submersible vehicles having any of the following characteristics: |
|
|
| 1. | Designed to ‘operate autonomously’ and having a lifting capacity of both the following: |
|
|
| a. | 10% or more of their weight in air; and |
|
|
| |
| 2. | Designed to operate at depths exceeding 1,000 m; or |
|
|
| 3. | Having both of the following characteristics: |
|
|
| a. | Designed to continuously ‘operate autonomously’ for 10 hours or more; and |
|
|
| b. | ‘Range’ of 25 nautical miles or more; |
|
|
| 1. | For the purpose of Category Code 8A001.b., ‘operate autonomously’ means fully submerged, without snorkel, all systems working and cruising at minimum speed at which the submersible can safely control its depth dynamically by using its depth planes only, with no need for a support vessel or support base on the surface, seabed or shore, and containing a propulsion system for submerged or surface use. |
|
|
| 2. | For the purpose of Category Code 8A001.b., ‘range’ means half the maximum distance a submersible vehicle can ‘operate autonomously’. |
|
|
| c. | Unmanned submersible vehicles, as follows: |
|
|
| 1. | Unmanned submersible vehicles having any of the following characteristics: |
|
|
| a. | Designed for deciding a course relative to any geographical reference without real‑time human assistance; |
|
|
| b. | Acoustic data or command link; or |
|
|
| c. | Optical data or command link exceeding 1,000 m; |
|
|
| 2. | Unmanned submersible vehicles, not specified in Category Code 8A001.c.1., having all of the following characteristics: |
|
|
| a. | Designed to operate with a tether; |
|
|
| b. | Designed to operate at depths exceeding 1,000 m; and |
|
|
| c. | Having either of the following: |
|
|
| 1. | Designed for self‑propelled manoeuvre using propulsion motors or thrusters specified in Category Code 8A002.a.2.; or |
|
|
| |
| |
| e. | Ocean salvage systems with a lifting capacity exceeding 5 MN for salvaging objects from depths exceeding 250 m and having either of the following: |
|
|
| 1. | Dynamic positioning systems capable of position keeping within 20 m of a given point provided by the navigation system; or |
|
|
| 2. | Seafloor navigation and navigation integration systems, for depths exceeding 1,000 m and with positioning “accuracies” to within 10 m of a predetermined point; |
|
|
| |
| |
| |
| |
| |
| Marine systems, equipment and components, as follows: |
|
| For underwater communications systems, see Category 5 – Part 1 − Telecommunications. |
|
| a. | Systems, equipment and components, specially designed or modified for submersible vehicles and designed to operate at depths exceeding 1,000 m, as follows: |
|
|
| 1. | Pressure housings or pressure hulls with a maximum inside chamber diameter exceeding 1.5 m; |
|
|
| 2. | Direct current propulsion motors or thrusters; |
|
|
| 3. | Umbilical cables, and connectors therefor, using optical fibre and having synthetic strength members; |
|
|
| 4. | Components manufactured from material specified in Category Code 8C001; |
|
|
| | Category Code 8A002.a.4. includes ‘syntactic foam’ specified in Category Code 8C001 when an intermediate stage of manufacture has been performed and it is not yet in the final component form. |
|
|
| b. | Systems specially designed or modified for the automated control of the motion of submersible vehicles specified in Category Code 8A001, using navigation data, having closed loop servo‑controls and having any of the following functions: |
|
|
| 1. | Enabling a vehicle to move within 10 m of a predetermined point in the water column; |
|
|
| 2. | Maintaining the position of the vehicle within 10 m of a predetermined point in the water column; or |
|
|
| 3. | Maintaining the position of the vehicle within 10 m while following a cable on or under the seabed; |
|
|
| c. | Fibre optic pressure hull penetrators; |
|
|
| d. | Underwater vision systems, having both of the following characteristics: |
|
|
| 1. | Specially designed or modified for remote operation with an underwater vehicle; and |
|
|
| 2. | Employing either of the following techniques to minimise the effects of back scatter: |
|
|
| a. | Range-gated illuminators; or |
|
|
| b. | Range-gated laser systems; |
|
|
| |
| |
| g. | Light systems specially designed or modified for underwater use, as follows: |
|
|
| 1. | Stroboscopic light systems capable of a light output energy of more than 300 J per flash and a flash rate of more than 5 flashes per second; |
|
|
| 2. | Argon arc light systems specially designed for use below 1,000 m; |
|
|
| h. | “Robots” specially designed for underwater use, controlled by using a dedicated computer and having either of the following characteristics: |
|
|
| 1. | Systems that control the “robot” using information from sensors which measure force or torque applied to an external object, distance to an external object, or tactile sense between the “robot” and an external object; or |
|
|
| 2. | The ability to exert a force of 250 N or more or a torque of 250 Nm or more and using titanium based alloys or “composite” “fibrous or filamentary materials” in their structural members; |
|
|
| i. | Remotely controlled articulated manipulators specially designed or modified for use with submersible vehicles and having either of the following characteristics: |
|
|
| 1. | Systems which control the manipulator using information from sensors which measure either of the following: |
|
|
| a. | Torque or force applied to an external object; or |
|
|
| b. | Tactile sense between the manipulator and an external object; or |
|
|
| 2. | Controlled by proportional master‑slave techniques and having 5 degrees of ‘freedom of movement’ or more; |
|
|
| | Only functions having proportionally related motion control using positional feedback are counted when determining the number of degrees of ‘freedom of movement’. |
|
|
| j. | Air independent power systems specially designed for underwater use, as follows: |
|
|
| 1. | Brayton or Rankine cycle engine air independent power systems having any of the following: |
|
|
| a. | Chemical scrubber or absorber systems, specially designed to remove carbon dioxide, carbon monoxide and particulates from recirculated engine exhaust; |
|
|
| b. | Systems specially designed to use a monoatomic gas; |
|
|
| c. | Devices or enclosures, specially designed for underwater noise reduction in frequencies below 10 kHz, or special mounting devices for shock mitigation; or |
|
|
| d. | Systems having all of the following characteristics: |
|
|
| 1. | Specially designed to pressurise the products of reaction or for fuel reformation; |
|
|
| 2. | Specially designed to store the products of the reaction; and |
|
|
| 3. | Specially designed to discharge the products of the reaction against a pressure of 100 kPa or more; |
|
|
| 2. | Diesel cycle engine air independent systems having all of the following: |
|
|
| a. | Chemical scrubber or absorber systems, specially designed to remove carbon dioxide, carbon monoxide and particulates from recirculated engine exhaust; |
|
|
| b. | Systems specially designed to use a monoatomic gas; |
|
|
| c. | Devices or enclosures, specially designed for underwater noise reduction in frequencies below 10 kHz, or special mounting devices for shock mitigation; and |
|
|
| d. | Specially designed exhaust systems that do not exhaust continuously the products of combustion; |
|
|
| 3. | “Fuel cell” air independent power systems with an output exceeding 2 kW and having either of the following: |
|
|
| a. | Devices or enclosures, specially designed for underwater noise reduction in frequencies below 10 kHz, or special mounting devices for shock mitigation; or |
|
|
| b. | Systems having all of the following characteristics: |
|
|
| 1. | Specially designed to pressurise the products of reaction or for fuel reformation; |
|
|
| 2. | Specially designed to store the products of the reaction; and |
|
|
| 3. | Specially designed to discharge the products of the reaction against a pressure of 100 kPa or more; |
|
|
| 4. | Stirling cycle engine air independent power systems having both of the following: |
|
|
| a. | Devices or enclosures, specially designed for underwater noise reduction in frequencies below 10 kHz, or special mounting devices for shock mitigation; and |
|
|
| b. | Specially designed exhaust systems which discharge the products of combustion against a pressure of 100 kPa or more; |
|
|
| |
| |
| |
| |
| o. | Propellers, power transmission systems, power generation systems and noise reduction systems, as follows: |
|
|
| |
| 2. | Water‑screw propeller, power generation systems or transmission systems, designed for use on vessels, as follows: |
|
|
| a. | Controllable‑pitch propellers and hub assemblies, rated at more than 30 MW; |
|
|
| b. | Internally liquid‑cooled electric propulsion engines with a power output exceeding 2.5 MW; |
|
|
| c. | “Superconductive” propulsion engines or permanent magnet electric propulsion engines, with a power output exceeding 0.1 MW; |
|
|
| d. | Power transmission shaft systems incorporating “composite” material components and capable of transmitting more than 2 MW; |
|
|
| e. | Ventilated or base‑ventilated propeller systems, rated at more than 2.5 MW; |
|
|
| 3. | Noise reduction systems designed for use on vessels of 1,000 tonnes displacement or more, as follows: |
|
|
| a. | Systems that attenuate underwater noise at frequencies below 500 Hz and consist of compound acoustic mounts for the acoustic isolation of diesel engines, diesel generator sets, gas turbines, gas turbine generator sets, propulsion motors or propulsion reduction gears, specially designed for sound or vibration isolation and having an intermediate mass exceeding 30% of the equipment to be mounted; |
|
|
| b. | ‘Active noise reduction or cancellation systems’ or magnetic bearings, specially designed for power transmission systems; |
|
|
| | ‘Active noise reduction or cancellation systems’ incorporate electronic control systems capable of actively reducing equipment vibration by the generation of anti‑noise or anti‑vibration signals directly to the source. |
|
|
| p. | Pumpjet propulsion systems having both of the following characteristics: |
|
|
| 1. | Power output exceeding 2.5 MW; and |
|
|
| 2. | Using divergent nozzle and flow conditioning vane techniques to improve propulsive efficiency or reduce propulsion‑generated underwater‑radiated noise; |
|
|
| q. | Underwater swimming and diving equipment as follows: |
|
|
| 1. | Closed circuit rebreathers; |
|
|
| 2. | Semi-closed circuit rebreathers; |
|
|
| | Category Code 8A002.q. does not include individual rebreathers for personal use when accompanying their users. |
|
|
| | For equipment and devices specially designed for military use, see Division 2 of Part 1 of this Schedule. |
|
|
| r. | Diver deterrent acoustic systems specially designed or modified to disrupt divers and having a sound pressure level equal to or exceeding 190 dB (reference 1 µPa at 1 m) at frequencies of 200 Hz and below. |
|
|
| | Category Code 8A002.r. does not include diver deterrent systems based on underwater explosive devices, air guns or combustible sources. |
|
|
| | Category Code 8A002.r. includes diver deterrent acoustic systems that use spark gap sources, also known as plasma sound sources. |
|
|
| |
| Test, Inspection and Production Equipment |
|
| Water tunnels designed to have a background noise of less than 100 dB (reference 1 µPa, 1 Hz) within the frequency range exceeding 0 Hz but not exceeding 500 Hz and designed for measuring acoustic fields generated by a hydro‑flow around propulsion system models. |
|
| |
| |
| ‘Syntactic foam’ designed for underwater use and having both of the following characteristics: |
|
| See also Category Code 8A002.a.4. |
|
| a. | Designed for marine depths exceeding 1,000 m; and |
|
|
| b. | A density less than 561 kg/m3. |
|
|
| ‘Syntactic foam’ consists of hollow spheres of plastic or glass embedded in a resin “matrix”. |
|
| |
| |
| “Software” specially designed or modified for the “development”, “production” or “use” of equipment or materials, specified in Category 8A, 8B or 8C. |
|
| |
| Specific “software” specially designed or modified for the “development”, “production”, repair, overhaul or refurbishing (re‑machining) of propellers specially designed for underwater noise reduction. |
|
| |
| |
| “Technology” (according to the General Technology Note) for the “development” or “production” of equipment or materials specified in Category 8A, 8B or 8C. |
|
| |
| Other “technology”, as follows: |
|
| a. | “Technology” for the “development”, “production”, repair, overhaul or refurbishing (re‑machining) of propellers specially designed for underwater noise reduction; |
|
|
| b. | “Technology” for the overhaul or refurbishing of equipment specified in Category Code 8A001, 8A002.b., 8A002.j., 8A002.o. or 8A002.p. |
|
|
| c. | “Technology” (according to the General Technology Note) for the “development” or “production” of any of the following: |
|
|
| 1. | Surface‑effect vehicles (fully skirted variety) having all of the following characteristics: |
|
|
| a. | Maximum design speed, fully loaded, exceeding 30 knots in a significant wave height of 1.25 m or more; |
|
|
| b. | Cushion pressure exceeding 3,830 Pa; and |
|
|
| c. | Light‑ship‑to‑full‑load displacement ratio of less than 0.70; |
|
|
| 2. | Surface‑effect vehicles (rigid sidewalls) with a maximum design speed, fully loaded, exceeding 40 knots in a significant wave height of 3.25 m or more; |
|
|
| 3. | Hydrofoil vessels with active systems for automatically controlling foil systems, with a maximum design speed, fully loaded, of 40 knots or more in a significant wave height of 3.25 m or more; or |
|
|
| 4. | ‘Small waterplane area vessels’ having either of the following characteristics: |
|
|
| a. | Full load displacement exceeding 500 tonnes with a maximum design speed, fully loaded, exceeding 35 knots in a significant wave height of 3.25 m or more; or |
|
|
| b. | Full load displacement exceeding 1,500 tonnes with a maximum design speed, fully loaded, exceeding 25 knots in a significant wave height of 4 m or more. |
|
|
| | A ‘small waterplane area vessel’ is defined by the following formula: waterplane area at an operational design draft less than 2 x (displaced volume at the operational design draft) 2/3. |
|
|
CATEGORY 9 — AEROSPACE AND PROPULSION |
|
| Systems, Equipment and Components |
|
| For propulsion systems designed or rated against neutron or transient ionising radiation, see Division 2 of Part 1 of this Schedule. |
|
| |
| Aero gas turbine engines having either of the following characteristics: |
|
| See also Category Code 9A101. |
|
| a. | Incorporating any of the “technologies” specified in Category Code 9E003.a., 9E003.h. or 9E003.i.; or |
|
|
| | Category Code 9A001.a. does not include aero gas turbine engines which meet both of the following: |
|
|
| a. | Certified by the civil aviation authority of a “participating state”; and |
|
|
| b. | Intended to power non‑military manned “aircraft” for which either of the following has been issued by civil aviation authority of a “participating state” for the “aircraft” with this specific engine type: |
|
|
| 1. | A civil type certificate; or |
|
|
| 2. | An equivalent document recognised by the International Civil Aviation Organisation (ICAO). |
|
|
| | Category Code 9A001.a. does not include aero gas turbine engines designed for Auxiliary Power Units (APUs) approved by the civil aviation authority of a “participating state”. |
|
|
| b. | Designed to power an “aircraft” to cruise at Mach 1 or higher, for more than 30 minutes. |
|
|
| |
| ‘Marine gas turbine engines’ designed to use liquid fuel and having both of the following characteristics, and specially designed assemblies and components therefor: |
a. | Maximum continuous power when operating in “steady state mode” at standard reference conditions specified in Ref. ISO 3977‑2:1997 (or national equivalent) of 24,245 kW or more; and |
|
b. | ‘Corrected specific fuel consumption’ not exceeding 0.219 kg/kWh at 35% of the maximum continuous power when using liquid fuel. |
|
|
| The term ‘marine gas turbine engines’ includes those industrial, or aero‑derivative, gas turbine engines adapted for a ship’s electric power generation or propulsion. |
For the purpose of Category Code 9A002, ‘corrected specific fuel consumption’ is the specific fuel consumption of the engine corrected to a marine distillate liquid fuel having a net specific energy (i.e. net heating value) of 42 MJ/kg (Ref. ISO 3977‑2:1997). |
|
| |
| Specially designed assemblies or components, incorporating any of the “technologies” specified in Category Code 9E003.a., 9E003.h. or 9E003.i., for either of the following aero gas turbine engines: |
|
| a. | Specified in Category Code 9A001; or |
|
|
| b. | Whose design or production origins are either non‑“participating state” or unknown to the manufacturer. |
|
|
| |
| Space launch vehicles, “spacecraft”, “spacecraft buses”, “spacecraft payloads”, “spacecraft” on‑board systems or equipment, terrestrial equipment and air‑launch platforms, as follows: |
|
| See also Category Code 9A104. |
|
| |
| |
| |
| d. | “Spacecraft payloads” incorporating items specified in Category Code 3A001.b.1.a.4., 3A002.g., 5A001.a.1., 5A001.b.3., 5A002.c., 5A002.e., 6A002.a.1., 6A002.a.2., 6A002.b., 6A002.d., 6A003.b., 6A004.c., 6A004.e., 6A008.d., 6A008.e., 6A008.k., 6A008.l. or 9A010.c.; |
|
|
| e. | On‑board systems or equipment, specially designed for “spacecraft” and having any of the following functions: |
|
|
| 1. | ‘Command and telemetry data handling’; |
|
|
| | For the purpose of Category Code 9A004.e.1., ‘command and telemetry data handling’ includes bus data management, storage, and processing. |
|
|
| 2. | ‘Payload data handling’; or |
|
|
| | For the purpose of Category Code 9A004.e.2., ‘payload data handling’ includes payload data management, storage, and processing. |
|
|
| 3. | ‘Attitude and orbit control’; |
|
|
| | For the purpose of Category Code 9A004.e.3., ‘attitude and orbit control’ includes sensing and actuation to determine and control the position and orientation of a “spacecraft”. |
|
|
| | For equipment specially designed for military use, see Division 2 of Part 1 of this Schedule. |
|
|
| f. | Terrestrial equipment specially designed for “spacecraft”, as follows: |
|
|
| 1. | Telemetry and telecommand equipment specially designed for any of the following data processing functions: |
|
a. | Telemetry data processing of frame synchronisation and error corrections, for monitoring of operational status (also known as health and safe status) of the “spacecraft bus”; or |
|
b. | Command data processing for formatting command data being sent to the “spacecraft” to control the “spacecraft bus”; |
|
|
| 2. | Simulators specially designed for ‘verification of operational procedures’ of “spacecraft”; |
|
| For the purpose of Category Code 9A004.f.2., ‘verification of operational procedures’ is any of the following: |
|
1. | Command sequence confirmation; |
|
3. | Operational rehearsals; or |
|
|
| g. | “Aircraft” specially designed or modified to be air‑launch platforms for space launch vehicles; |
|
|
| |
| |
| Liquid rocket propulsion systems containing any of the systems or components, specified in Category Code 9A006. |
|
| See also Category Codes 9A105 and 9A119. |
|
| |
| Systems and components, specially designed for liquid rocket propulsion systems, as follows: |
|
| See also Category Codes 9A106, 9A108 and 9A120. |
|
| a. | Cryogenic refrigerators, flightweight dewars, cryogenic heat pipes or cryogenic systems, specially designed for use in space vehicles and capable of restricting cryogenic fluid losses to less than 30% per year; |
|
|
| b. | Cryogenic containers or closed‑cycle refrigeration systems, capable of providing temperatures of 100 K (-173 ºC) or less for “aircraft” capable of sustained flight at speeds exceeding Mach 3, launch vehicles or “spacecraft”; |
|
|
| c. | Slush hydrogen storage or transfer systems; |
|
|
| d. | High pressure (exceeding 17.5 MPa) turbo pumps, pump components or their associated gas generator or expander cycle turbine drive systems; |
|
|
| e. | High‑pressure (exceeding 10.6 MPa) thrust chambers and nozzles therefor; |
|
|
| f. | Propellant storage systems using the principle of capillary containment or positive expulsion (i.e. with flexible bladders); |
|
|
| g. | Liquid propellant injectors with individual orifices of 0.381 mm or smaller in diameter (an area of 1.14 × 10‑3 cm2 or smaller for non‑circular orifices) and specially designed for liquid rocket engines; |
|
|
| h. | One‑piece carbon‑carbon thrust chambers or one‑piece carbon‑carbon exit cones, with densities exceeding 1.4 g/cm3 and tensile strengths exceeding 48 MPa. |
|
|
| |
| Solid rocket propulsion systems having any of the following characteristics: |
|
| See also Category Codes 9A107 and 9A119. |
|
| a. | Total impulse capacity exceeding 1.1 MNs; |
|
|
| b. | Specific impulse of 2.4 kNs/kg or more, when the nozzle flow is expanded to ambient sea level conditions for an adjusted chamber pressure of 7 MPa; |
|
|
| c. | Stage mass fractions exceeding 88% and propellant solid loadings exceeding 86%; |
|
|
| d. | Components specified in Category Code 9A008; or |
|
|
| e. | Insulation and propellant bonding systems, using direct‑bonded motor designs to provide a ‘strong mechanical bond’ or a barrier to chemical migration between the solid propellant and case insulation material. |
|
|
| | ‘Strong mechanical bond’ means bond strength equal to or more than propellant strength. |
|
|
| |
| Components specially designed for solid rocket propulsion systems, as follows: |
|
| See also Category Code 9A108. |
|
| a. | Insulation and propellant bonding systems, using liners to provide a ‘strong mechanical bond’ or a barrier to chemical migration between the solid propellant and case insulation material; |
|
|
| | ‘Strong mechanical bond’ means bond strength equal to or more than propellant strength. |
|
|
| b. | Filament‑wound “composite” motor cases exceeding 0.61 m in diameter or having ‘structural efficiency ratios (PV/W)’ exceeding 25 km; |
|
|
| | ‘Structural efficiency ratio (PV/W)’ is the burst pressure (P) multiplied by the vessel volume (V) divided by the total pressure vessel weight (W). |
|
|
| c. | Nozzles with thrust levels exceeding 45 kN or nozzle throat erosion rates of less than 0.075 mm/s; |
|
|
| d. | Movable nozzle or secondary fluid injection thrust vector control systems, capable of any of the following: |
|
|
| 1. | Omni‑axial movement exceeding ±5º; |
|
|
| 2. | Angular vector rotations of 20º/s or more; or |
|
|
| 3. | Angular vector accelerations of 40º/s2 or more. |
|
|
| |
| Hybrid rocket propulsion systems having either of the following characteristics: |
|
| See also Category Codes 9A109 and 9A119. |
|
| a. | Total impulse capacity exceeding 1.1 MNs; or |
|
|
| b. | Thrust levels exceeding 220 kN in vacuum exit conditions. |
|
|
| |
| Specially designed components, systems and structures, for launch vehicles, launch vehicle propulsion systems or “spacecraft”, as follows: |
|
| See also Category Codes 1A002 and 9A110. |
|
| a. | Components and structures, each exceeding 10 kg and specially designed for launch vehicles manufactured using any of the following: |
|
|
| 1. | “Composite” materials consisting of “fibrous or filamentary materials” specified in Category Code 1C010.e. and resins specified in Category Code 1C008 or 1C009.b.; |
|
|
| 2. | Metal “matrix” “composites” reinforced by any of the following: |
|
|
| a. | Material specified in Category Code 1C007; |
|
|
| b. | “Fibrous or filamentary materials” specified in Category Code 1C010; or |
|
|
| c. | Aluminides specified in Category Code 1C002.a.; or |
|
|
| 3. | Ceramic “matrix” “composite” materials specified in Category Code 1C007; |
|
|
| | The weight cut‑off is not relevant for nose cones. |
|
|
| b. | Components and structures, specially designed for launch vehicle propulsion systems specified in Category Codes 9A005 to 9A009 manufactured using any of the following: |
|
|
| 1. | “Fibrous or filamentary materials” specified in Category Code 1C010.e. and resins specified in Category Code 1C008 or 1C009.b.; |
|
|
| 2. | Metal “matrix” “composites” reinforced by any of the following: |
|
|
| a. | Materials specified in Category Code 1C007; |
|
|
| b. | “Fibrous or filamentary materials” specified in Category Code 1C010; or |
|
|
| c. | Aluminides specified in Category Code 1C002.a.; or |
|
|
| 3. | Ceramic “matrix” “composite” materials specified in Category Code 1C007; |
|
|
| c. | Structural components and isolation systems, specially designed to control actively the dynamic response or distortion of “spacecraft” structures; |
|
|
| d. | Pulsed liquid rocket engines with thrust‑to‑weight ratios equal to or more than 1 kN/kg and a ‘response time’ of less than 30 ms. |
|
|
| | For the purpose of Category Code 9A010.d., ‘response time’ is the time required to achieve 90% of total rated thrust from start‑up. |
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|
| |
| Ramjet, scramjet or ‘combined cycle engines’, and specially designed components therefor. |
|
| See also Category Codes 9A111 and 9A118. |
|
| |
| For the purpose of Category Code 9A011, ‘combined cycle engines’ combine two or more of the following types of engines: |
|
| a. | Gas turbine engine (turbojet, turboprop and turbofan); |
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| |
| c. | Rocket motor or engine (liquid/gel/solid‑propellant and hybrid). |
|
|
| |
| “Unmanned aerial vehicles” (“UAVs”), unmanned “airships”, related equipment and components, as follows: |
|
| See also Category Code 9A112. |
|
| For “UAVs” that are “sub-orbital craft”, see Category Code 9A004.h.. |
|
| a. | “UAVs” or unmanned “airships”, designed to have controlled flight out of the direct ‘natural vision’ of the ‘operator’ and having either of the following characteristics: |
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|
| 1. | Having both of the following characteristics: |
|
|
| a. | A maximum ‘endurance’ greater than or equal to 30 minutes but less than 1 hour; and |
|
|
| b. | Designed to take‑off and have stable controlled flight in wind gusts equal to or exceeding 46.3 km/h (25 knots); or |
|
|
| 2. | A maximum ‘endurance’ of 1 hour or greater; |
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| |
| 1. | For the purpose of Category Code 9A012.a., ‘operator’ is a person who initiates or commands the “UAV” or unmanned “airship” flight. |
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|
| 2. | For the purpose of Category Code 9A012.a., ‘endurance’ is to be calculated for ISA conditions (Ref. ISO 2533:1975) at sea level in zero wind. |
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|
| 3. | For the purpose of Category Code 9A012.a., ‘natural vision’ means unaided human sight, with or without corrective lenses. |
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|
| b. | Related equipment and components, as follows: |
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| |
| |
| 3. | Equipment or components, specially designed to convert a manned “aircraft” or manned “airship”, to a “UAV” or unmanned “airship”, specified in Category Code 9A012.a.; |
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|
| 4. | Air breathing reciprocating or rotary internal combustion type engines, specially designed or modified to propel “UAVs” or unmanned “airships”, at altitudes above 15,240 metres (50,000 feet). |
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|
| |
| Turbojet and turbofan engines, other than those specified in Category Code 9A001, as follows: |
|
| a. | Engines having all of the following characteristics: |
|
|
| 1. | ‘Maximum thrust value’ greater than 400 N excluding civil certified engines with a ‘maximum thrust value’ greater than 8,890 N; |
|
|
| 2. | Specific fuel consumption of 0.15 kg N-1 h-1 or less; |
|
|
| 3. | ‘Dry weight’ less than 750 kg; and |
|
|
| 4. | ‘First‑stage rotor diameter’ less than 1 m; |
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| |
| 1. | For the purpose of Category Code 9A101.a.1., ‘maximum thrust value’ is the manufacturer’s demonstrated maximum thrust for the engine type un‑installed at sea level static conditions using the ICAO standard atmosphere. The civil type certified thrust value will be equal to or less than the manufacturer’s demonstrated maximum thrust for the engine type un‑installed. |
|
|
| 2. | Specific fuel consumption is determined at maximum continuous thrust for engine type un‑installed at sea level static conditions using the ICAO standard atmosphere. |
|
|
| 3. | ‘Dry weight’ is the weight of the engine without fluids (fuel, hydraulic fluid, oil, etc.) and does not include the nacelle (housing). |
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|
| 4. | ‘First‑stage rotor diameter’ is the diameter of the first rotating stage of the engine, whether a fan or compressor, measured at the leading edge of the blade tips. |
|
|
| b. | Engines designed or modified for use in “missiles” or unmanned aerial vehicles specified in Category Code 9A012 or 9A112.a. |
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| |
| ‘Turboprop engine systems’ specially designed for unmanned aerial vehicles specified in Category Code 9A012 or 9A112.a., and specially designed components therefor, having a ‘maximum power’ greater than 10 kW. |
|
| Category Code 9A102 does not include civil certified engines. |
|
| 1. | For the purpose of Category Code 9A102, a ‘turboprop engine system’ incorporates both of the following: |
|
|
| |
| b. | Power transmission system to transfer the power to a propeller. |
|
|
| 2. | For the purpose of Category Code 9A102, the ‘maximum power’ is achieved un‑installed at sea level static conditions using the ICAO standard atmosphere. |
|
|
| |
| Sounding rockets, capable of a range of at least 300 km. |
|
| See also Category Code 9A004. |
|
| |
| Liquid propellant rocket engines or gel propellant rocket motors, as follows: |
|
| See also Category Code 9A119. |
|
| a. | Liquid propellant rocket engines or gel propellant rocket motors, usable in “missiles”, other than those specified in Category Code 9A005, integrated, or designed or modified to be integrated, into a liquid propellant or gel propellant propulsion system which has a total impulse capacity equal to or greater than 1.1 MNs; |
|
|
| b. | Liquid propellant rocket engines or gel propellant rocket motors, usable in complete rocket systems or unmanned aerial vehicles, capable of a range of 300 km, other than those specified in Category Code 9A005 or 9A105.a., integrated, or designed or modified to be integrated, into a liquid propellant or gel propellant propulsion system which has a total impulse capacity equal to or greater than 0.841 MNs. |
|
|
| |
| Systems or components, other than those specified in Category Code 9A006 as follows, specially designed for liquid rocket propulsion or gel propellant rocket systems: |
|
| |
| |
| c. | Thrust vector control sub‑systems, usable in “missiles”; |
|
|
| | Examples of methods of achieving thrust vector control specified in Category Code 9A106.c. are: |
|
|
| |
| b. | Fluid or secondary gas injection; |
|
|
| c. | Movable engine or nozzle; |
|
|
| d. | Deflection of exhaust gas stream (jet vanes or probes); or |
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| |
| d. | Liquid, slurry and gel propellant (including oxidisers) control systems, and specially designed components therefor, usable in “missiles”, designed or modified to operate in vibration environments greater than 10 g rms between 20 Hz and 2 kHz; |
|
|
| | The only servo valves, pumps and gas turbines specified in Category Code 9A106.d., are the following: |
|
|
| a. | Servo valves designed for flow rates equal to or greater than 24 litres per minute, at an absolute pressure equal to or greater than 7 MPa, that have an actuator response time of less than 100 ms; |
|
|
| b. | Pumps, for liquid propellants, with shaft speeds equal to or greater than 8,000 rpm at a maximum operating mode or with discharge pressures equal to or greater than 7 MPa; |
|
|
| c. | Gas turbines, for liquid propellant turbopumps, with shaft speeds equal to or greater than 8,000 rpm at the maximum operating mode. |
|
|
| e. | Combustion chambers and nozzles for liquid propellant rocket engines or gel propellant rocket motors specified in Category Code 9A005 or 9A105. |
|
|
| |
| Solid propellant rocket motors, usable in complete rocket systems or unmanned aerial vehicles, capable of a range of 300 km, other than those specified in Category Code 9A007, having total impulse capacity equal to or greater than 0.841 MNs. |
|
| See also Category Code 9A119. |
|
| |
| Components, other than those specified in Category Code 9A008, as follows, specially designed for solid and hybrid rocket propulsion systems: |
|
| a. | Rocket motor cases and “insulation” components therefor, usable in sub‑systems specified in Category Code 9A007, 9A009, 9A107 or 9A109.a.; |
|
|
| b. | Rocket nozzles, usable in sub‑systems specified in Category Code 9A007, 9A009, 9A107 or 9A109.a.; |
|
|
| c. | Thrust vector control sub‑systems, usable in “missiles”. |
|
|
| | Examples of methods of achieving thrust vector control specified in Category Code 9A108.c. are: |
|
|
| |
| b. | Fluid or secondary gas injection; |
|
|
| c. | Movable engine or nozzle; |
|
|
| d. | Deflection of exhaust gas stream (jet vanes or probes); or |
|
|
| |
| |
| Hybrid rocket motors and specially designed components, as follows: |
|
| a. | Hybrid rocket motors usable in complete rocket systems or unmanned aerial vehicles, capable of 300 km, other than those specified in Category Code 9A009, having a total impulse capacity equal to or greater than 0.841 MNs, and specially designed components therefor; |
|
|
| b. | Specially designed components for hybrid rocket motors specified in Category Code 9A009 that are usable in “missiles”. |
|
|
| See also Category Codes 9A009 and 9A119. |
|
| |
| Composite structures, laminates and manufactures thereof, other than those specified in Category Code 9A010, specially designed for use in ‘missiles’ or the sub‑systems specified in Category Code 9A005, 9A007, 9A105, 9A106.c., 9A107, 9A108.c., 9A116 or 9A119. |
|
| See also Category Code 1A002. |
|
| In Category Code 9A110, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
| |
| Pulse jet or detonation engines, usable in “missiles” or unmanned aerial vehicles specified in Category Code 9A012 or 9A112.a., and specially designed components therefor. |
|
| See also Category Codes 9A011 and 9A118. |
|
| In Category Code 9A111, detonation engines utilise detonation to produce a rise in effective pressure across the combustion chamber. Examples of detonation engines include pulse detonation engines, rotating detonation engines or continuous wave detonation engines. |
|
| |
| “Unmanned aerial vehicles” (“UAVs”), other than those specified in Category Code 9A012, as follows: |
|
| a. | “Unmanned aerial vehicles” (“UAVs”) capable of a range of 300 km; |
|
|
| b. | “Unmanned aerial vehicles” (“UAVs”) having both of the following characteristics: |
|
|
| 1. | Having either of the following characteristics: |
|
|
| a. | An autonomous flight control and navigation capability; or |
|
|
| b. | Capability of controlled flight out of direct vision range involving a human operator; and |
|
|
| 2. | Having either of the following characteristics: |
|
|
| a. | Incorporating an aerosol dispensing system or mechanism with a capacity greater than 20 litres; or |
|
|
| b. | Designed or modified to incorporate an aerosol dispensing system or mechanism with a capacity greater than 20 litres. |
|
|
| 1. | An aerosol consists of particulate or liquids other than fuel components, by products or additives, as part of the payload to be dispersed in the atmosphere. Examples of aerosols include pesticides for crop dusting and dry chemicals for cloud seeding. |
|
|
| 2. | An aerosol dispensing system or mechanism contains all those devices (mechanical, electrical, hydraulic, etc.), which are necessary for storage and dispersion of an aerosol into the atmosphere. This includes the possibility of aerosol injection into the combustion exhaust vapour and into the propeller slip stream. |
|
|
| |
| Launch support equipment as follows: |
|
| a. | Apparatus and devices for handling, control, activation or launching, designed or modified for space launch vehicles specified in Category Code 9A004, sounding rockets specified in Category Code 9A104 or ‘missiles’; |
|
| In Category Code 9A115.a., ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
|
| b. | Vehicles for transport, handling, control, activation or launching, designed or modified for space launch vehicles specified in Category Code 9A004, sounding rockets specified in Category Code 9A104 or “missiles”. |
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| |
| Re‑entry vehicles, usable in “missiles”, and equipment designed or modified therefor, as follows: |
|
| |
| b. | Heat shields and components therefor, fabricated of ceramic or ablative materials; |
|
|
| c. | Heat sinks and components therefor, fabricated of light‑weight, high heat capacity materials; |
|
|
| d. | Electronic equipment specially designed for re‑entry vehicles. |
|
|
| |
| Staging mechanisms, separation mechanisms, and interstages, usable in “missiles”. |
|
| See also Category Code 9A121. |
|
| |
| Devices to regulate combustion usable in engines, which are usable in “missiles” or unmanned aerial vehicles specified in Category Code 9A012 or 9A112.a., specified in Category Code 9A011 or 9A111. |
|
| |
| Individual rocket stages, usable in complete rocket systems or unmanned aerial vehicles, capable of a range of 300 km, other than those specified in Category Codes 9A005, 9A007, 9A009, 9A105, 9A107 and 9A109. |
|
| |
| Liquid or gel propellant tanks, other than those specified in Category Code 9A006, specially designed for propellants specified in Category Code 1C111 or ‘other liquid or gel propellants’ used in rocket systems capable of delivering at least a 500 kg payload to a range of at least 300 km. |
|
| In Category Code 9A120, ‘other liquid or gel propellants’ includes, but is not limited to, propellants specified in Division 2 of Part 1 of this Schedule. |
|
| |
| Umbilical and interstage electrical connectors specially designed for “missiles”, space launch vehicles specified in Category Code 9A004 or sounding rockets specified in Category Code 9A104. |
|
| Interstage connectors referred to in Category Code 9A121 also include electrical connectors installed between the “missile”, space launch vehicle or sounding rocket and their payload. |
|
| |
| Spraying or fogging systems, specially designed or modified for fitting to aircraft, “lighter‑than‑air vehicles” or unmanned aerial vehicles, and specially designed components therefor, as follows: |
|
| a. | Complete spraying or fogging systems capable of delivering, from a liquid suspension, an initial droplet ‘VMD’ of less than 50 µm at a flow rate of greater than two litres per minute; |
|
|
| b. | Spray booms or arrays of aerosol generating units capable of delivering, from a liquid suspension, an initial droplet ‘VMD’ of less than 50 µm at a flow rate of greater than two litres per minute; |
|
|
| c. | Aerosol generating units specially designed for fitting to systems specified in Category Codes 9A350.a. and .b. |
|
|
| | Aerosol generating units are devices specially designed or modified for fitting to aircraft such as nozzles, rotary drum atomisers and similar devices. |
|
|
| Category Code 9A350 does not include spraying or fogging systems and components that are demonstrated not to be capable of delivering biological agents in the form of infectious aerosols. |
|
| 1. | Droplet size for spray equipment or nozzles specially designed for use on aircraft, “lighter‑than‑air vehicles” or unmanned aerial vehicles should be measured using either of the following: |
|
|
| a. | Doppler laser method; or |
|
|
| b. | Forward laser diffraction method. |
|
|
| 2. | In Category Code 9A350, ‘VMD’ means Volume Median Diameter and for water‑based systems this equates to Mass Median Diameter (MMD). |
|
|
| |
| Test, Inspection and Production Equipment |
|
| Manufacturing equipment, tooling or fixtures, as follows: |
|
| See also Category Code 2B226. |
|
| a. | Directional solidification or Single Crystal (SC) casting equipment designed for “superalloys”; |
|
|
| b. | Casting tooling, specially designed for manufacturing gas turbine engine blades, vanes or “tip shrouds”, manufactured from refractory metals or ceramics, as follows: |
|
|
| |
| |
| 3. | Combined core and shell (mould) units; |
|
|
| c. | Directional‑solidification or Single Crystal (SC) additive‑manufacturing equipment, specially designed for manufacturing gas turbine engine blades, vanes or “tip shrouds”. |
|
|
| |
| On‑line (real‑time) control systems, instrumentation (including sensors) or automated data acquisition and processing equipment, having both of the following characteristics: |
|
| a. | Specially designed for the “development” of gas turbine engines, assemblies or components; and |
|
|
| b. | Incorporating any of the “technologies” specified in Category Code 9E003.h. or 9E003.i. |
|
|
| |
| Equipment specially designed for the “production” or test of gas turbine brush seals designed to operate at tip speeds exceeding 335 m/s and temperatures in excess of 773 K (500 ºC), and specially designed components or accessories therefor. |
|
| |
| Tools, dies or fixtures, for the solid state joining of “superalloy”, titanium or intermetallic airfoil‑to‑disk combinations described in Category Code 9E003.a.3. or 9E003.a.6. for gas turbines. |
|
| |
| On‑line (real‑time) control systems, instrumentation (including sensors) or automated data acquisition and processing equipment, specially designed for use with any of the following: |
|
| See also Category Code 9B105. |
|
| a. | Wind tunnels designed for speeds of Mach 1.2 or more; |
|
|
| | Category Code 9B005.a. does not include wind tunnels specially designed for educational purposes and having a ‘test section size’ (measured laterally) of less than 250 mm. |
|
|
| | ‘Test section size’ means the diameter of the circle, or the side of the square, or the longest side of the rectangle, at the largest test section location. |
|
|
| b. | Devices for simulating flow‑environments at speeds exceeding Mach 5, including hot‑shot tunnels, plasma arc tunnels, shock tubes, shock tunnels, gas tunnels and light gas guns; or |
|
|
| c. | Wind tunnels or devices, other than two‑dimensional sections, capable of simulating Reynolds number flows exceeding 25 × 106. |
|
|
| |
| Acoustic vibration test equipment capable of producing sound pressure levels of 160 dB or more (referenced to 20 µPa) with a rated output of 4 kW or more at a test cell temperature exceeding 1,273 K (1,000 ºC), and specially designed quartz heaters therefor. |
|
| See also Category Code 9B106. |
|
| |
| Equipment specially designed for inspecting the integrity of rocket motors and using Non‑Destructive Test (NDT) techniques other than planar X‑ray or basic physical or chemical analysis. |
|
| |
| Direct measurement wall skin friction transducers specially designed to operate at a test flow total (stagnation) temperature exceeding 833 K (560 ºC). |
|
| |
| Tooling specially designed for producing gas turbine engine powder metallurgy rotor components having both of the following characteristics: |
|
| a. | Designed to operate at stress levels of 60% of Ultimate Tensile Strength (UTS) or more measured at a temperature of 873 K (600 ºC); and |
|
|
| b. | Designed to operate at 873 K (600 ºC) or more. |
|
|
| Category Code 9B009 does not include tooling for the production of powder. |
|
| |
| Equipment specially designed for the production of items specified in Category Code 9A012. |
|
| |
| ‘Aerodynamic test facilities’ for speeds of Mach 0.9 or more, usable for ‘missiles’ and their sub‑systems. |
|
| See also Category Code 9B005. |
|
| Category Code 9B105 does not include wind tunnels for speeds of Mach 3 or less with dimension of the ‘test cross section size’ equal to or less than 250 mm. |
|
| 1. | In Category Code 9B105, ‘aerodynamics test facilities’ includes wind tunnels and shock tunnels for the study of airflow over objects. |
|
|
| 2. | In Note to Category Code 9B105, ‘test cross section size’ means the diameter of the circle, or the side of the square, or the longest side of the rectangle, or the major axis of the ellipse at the largest ‘test cross section’ location. ‘Test cross section’ is the section perpendicular to the flow direction. |
|
|
| 3. | In Category Code 9B105, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
|
| |
| Environmental chambers and anechoic chambers, as follows: |
|
| a. | Environmental chambers having both of the following characteristics: |
|
|
| 1. | Capable of simulating either of the following flight conditions: |
|
|
| a. | Altitude equal to or greater than 15 km; or |
|
|
| b. | Temperature range from below 223 K (-50 ºC) to above 398 K (125 ºC); and |
|
|
| 2. | Incorporating, or ‘designed or modified’ to incorporate, a shaker unit or other vibration test equipment to produce vibration environments equal to or greater than 10 g rms, measured ‘bare table’, between 20 Hz and 2 kHz while imparting forces equal to or greater than 5 kN; |
|
|
| 1. | Category Code 9B106.a.2. describes systems that are capable of generating a vibration environment with a single wave (e.g. a sine wave) and systems capable of generating a broad band random vibration (i.e. power spectrum). |
|
|
| 2. | In Category Code 9B106.a.2., ‘designed or modified’ means the environmental chamber provides appropriate interfaces (e.g. sealing devices) to incorporate a shaker unit or other vibration test equipment as specified in Category Code 2B116. |
|
|
| 3. | In Category Code 9B106.a.2., ‘bare table’ means a flat table, or surface, with no fixture or fittings. |
|
|
| b. | Environmental chambers capable of simulating both of the following flight conditions: |
|
|
| 1. | Acoustic environments at an overall sound pressure level of 140 dB or greater (referenced to 20 µPa) or with a total rated acoustic power output of 4 kW or greater; and |
|
|
| 2. | Having either of the following characteristics: |
|
|
| a. | Altitude equal to greater than 15 km; or |
|
|
| b. | Temperature range from below 223 K (-50 ºC) to above 398 K (125 ºC). |
|
|
| |
| ‘Aerothermodynamic test facilities’, usable for ‘missiles’, ‘missile’ rocket propulsion systems, and re‑entry vehicles and equipment specified in Category Code 9A116, having either of the following characteristics: |
|
| a. | An electrical power supply equal to or greater than 5 MW; or |
|
|
| b. | A gas supply total pressure equal to or greater than 3 MPa. |
|
|
| 1. | ‘Aerothermodynamic test facilities’ include plasma arc jet facilities and plasma wind tunnels for the study of thermal and mechanical effects of airflow on objects. |
|
2. | In Category Code 9B107, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
|
| |
| Specially designed “production equipment” for the systems, sub‑systems and components specified in Category Codes 9A005 to 9A009, 9A011, 9A101, 9A102, 9A105 to 9A109, 9A111, 9A116 to 9A120. |
|
| |
| Specially designed “production facilities” for the space launch vehicles specified in Category Code 9A004, or systems, sub‑systems, and components specified in Category Codes 9A005 to 9A009, 9A011, 9A101, 9A102, 9A104 to 9A109, 9A111, 9A116 to 9A120 or ‘missiles’. |
|
| In Category Code 9B116, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
| |
| Test benches or test stands for solid or liquid propellant rockets or rocket motors, having either of the following characteristics: |
|
| a. | The capacity to handle more than 68 kN of thrust; or |
|
|
| b. | Capable of simultaneously measuring the three axial thrust components. |
|
|
| |
| |
| “Insulation” material in bulk form and “interior lining”, other than those specified in Category Code 9A008, for rocket motor cases usable in “missiles” or specially designed for solid propellant rocket engines specified in Category Code 9A007 or 9A107. |
|
| |
| Resin impregnated fibre prepregs and metal coated fibre preforms therefor, for composite structures, laminates and manufactures specified in Category Code 9A110, made either with organic matrix or metal matrix utilising fibrous or filamentary reinforcements having a “specific tensile strength” greater than 7.62 × 104 m and a “specific modulus” greater than 3.18 × 106 m. |
|
| See also Category Codes 1C010 and 1C210. |
|
| The only resin impregnated fibre prepregs specified in Category Code 9C110 are those using resins with a glass transition temperature (Tg), after cure, exceeding 418 K (145 ºC) as determined by ASTM D4065 or equivalent. |
|
| |
| |
| “Software”, not specified in Category Code 9D003 or 9D004, specially designed or modified for the “development” of equipment or “technology”, specified in Category Codes 9A001 to 9A119, Category 9B or Category Code 9E003. |
|
| |
| “Software”, not specified in Category Code 9D003 or 9D004, specially designed or modified for the “production” of equipment specified in Category Codes 9A001 to 9A119 or Category 9B. |
|
| |
| “Software” incorporating “technology” specified in Category Code 9E003.h. and used in “FADEC Systems” for systems specified in Category 9A or equipment specified in Category 9B. |
|
| |
| Other “software” as follows: |
|
| a. | 2D or 3D viscous “software”, validated with wind tunnel or flight test data required for detailed engine flow modelling; |
|
b. | “Software” for testing aero gas turbine engines, assemblies or components, having both of the following characteristics: |
|
1. | Specially designed for testing either of the following: |
|
a. | Aero gas turbine engines, assemblies or components, incorporating “technology” specified in Category Code 9E003.a., 9E003.h. or 9E003.i.; or |
|
b. | Multi‑stage compressors providing either bypass or core flow, specially designed for aero gas turbine engines incorporating “technology” specified in Category Code 9E003.a. or 9E003.h.; and |
|
2. | Specially designed for both of the following: |
|
a. | Acquisition and processing of data, in real‑time; and |
|
b. | Feedback control of the test article or test conditions (e.g. temperature, pressure, flow rate) while the test is in progress; |
|
|
| | Category Code 9D004.b. does not include software for operation of the test facility or operator safety (e.g. overspeed shutdown, fire detection and suppression), or production, repair or maintenance acceptance‑testing limited to determining if the item has been properly assembled or repaired. |
|
|
| c. | “Software” specially designed to control directional solidification or Single Crystal (SC) material growth in equipment specified in Category Code 9B001.a. or 9B001.c.; |
|
|
| |
| e. | “Software” specially designed or modified for the operation of items specified in Category Code 9A012; |
|
|
| f. | “Software” specially designed to design the internal cooling passages of aero gas turbine blades, vanes and “tip shrouds”; |
|
|
| g. | “Software” having both of the following characteristics: |
|
|
| 1. | Specially designed to predict aero thermal, aeromechanical and combustion conditions in aero gas turbine engines; and |
|
|
| 2. | Theoretical modelling predictions of the aero thermal, aeromechanical and combustion conditions, which have been validated with actual aero gas turbine engine (experimental or production) performance data. |
|
|
| |
| “Software” specially designed or modified for the operation of items specified in Category Code 9A004.e. or 9A004.f. |
|
| For “software” for items specified in Category Code 9A004.d. that are incorporated into “spacecrafts payloads”, see the appropriate Categories. |
|
| |
| “Software” specially designed or modified for the “use” of goods specified in Category Code 9B105, 9B106, 9B116 or 9B117. |
|
| |
| “Software” specially designed for modelling, simulation or design integration of the space launch vehicles specified in Category Code 9A004, sounding rockets specified in Category Code 9A104 or “missiles”, or the sub‑systems specified in Category Code 9A005, 9A007, 9A105, 9A106.c., 9A107, 9A108.c., 9A116 or 9A119. |
|
| “Software” specified in Category Code 9D103 remains within the description of that Category when combined with specially designed hardware specified in Category Code 4A102. |
|
| |
| |
| a. | “Software” specially designed or modified for the “use” of goods specified in Category Code 9A001, 9A005, 9A006.d., 9A006.g., 9A007.a., 9A009.a., 9A010.d., 9A011, 9A101, 9A102, 9A105, 9A106.d., 9A107, 9A109, 9A111, 9A115.a., 9A117 or 9A118.; |
|
|
| b. | “Software” specially designed or modified for the operation or maintenance of sub-systems or equipment specified in Category Code 9A008.d., 9A106.c., 9A108.c. or 9A116.d. |
|
|
| |
| “Software” specially designed or modified to coordinate the function of more than one sub‑system, other than that specified in Category Code 9D004.e., in space launch vehicles specified in Category Code 9A004 or sounding rockets specified in Category Code 9A104 or ‘missiles’. |
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| Category Code 9D105 includes “software” specially designed for a manned “aircraft” converted to operate as “unmanned aerial vehicle”, as follows: |
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| a. | “Software” specially designed or modified to integrate the conversion equipment with the “aircraft” system functions; |
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b. | “Software” specially designed or modified to operate the “aircraft” as an “unmanned aerial vehicle”. |
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| In Category Code 9D105, ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
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| “Development” or “production” “technology” specified in Category Codes 9E001 to 9E003 for gas turbine engines remains within the description of that Category when used for repair or overhaul. Excluded from that Category are: technical data, drawings or documentation for maintenance activities directly associated with calibration, removal or replacement of damaged or unserviceable Line Replaceable Units (LRUs), including replacement of whole engines or engine modules. |
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| “Technology” (according to the General Technology Note) for the “development” of equipment or “software”, specified in Category Code 9A001.b., 9A004 to 9A012, 9A350, Category 9B or 9D. |
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| “Technology” (according to the General Technology Note) for the “production” of equipment specified in Category Code 9A001.b., 9A004 to 9A011, 9A350 or Category 9B. |
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| For “technology” for the repair of structures, laminates or materials, see Category Code 1E002.f. |
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| Other “technology” as follows: |
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| a. | “Technology” “required” for the “development” or “production” of any of the following gas turbine engine components or systems: |
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| 1. | Gas turbine blades, vanes or “tip shrouds”, made from Directionally Solidified (DS) or Single Crystal (SC) alloys and having (in the 001 Miller Index Direction) a stress‑rupture life exceeding 400 hours at 1,273 K (1,000 °C) at a stress of 200 MPa, based on the average property values; |
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| | For the purpose of Category Code 9E003.a.1., stress‑rupture life testing is typically conducted on a test specimen. |
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| 2. | Combustors having any of the following characteristics: |
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| a. | ‘Thermally decoupled liners’ designed to operate at ‘combustor exit temperature’ exceeding 1,883 K (1,610 °C); |
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| c. | Non‑metallic shells; or |
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| d. | Liners designed to operate at ‘combustor exit temperature’ exceeding 1,883 K (1,610 °C) and having holes that meet the parameters specified in Category Code 9E003.c.; |
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| | The “required” “technology” for holes in Category Code 9E003.a.2. is limited to the derivation of the geometry and location of the holes. |
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| 1. | ‘Thermally decoupled liners’ are liners that feature at least a support structure designed to carry mechanical loads and a combustion facing structure designed to protect the support structure from the heat of combustion. The combustion facing structure and support structure have independent thermal displacement (mechanical displacement due to thermal load) with respect to one another, i.e. they are thermally decoupled. |
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| 2. | ‘Combustor exit temperature’ is the bulk average gas path total (stagnation) temperature between the combustor exit plane and the leading edge of the turbine inlet guide vane (i.e. measured at engine station T40 as defined in SAE ARP 755A) when the engine is running in a “steady state mode” of operation at the certificated maximum continuous operating temperature. |
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| | See Category Code 9E003.c. for “technology” “required” for manufacturing cooling holes. |
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| 3. | Components that are any of the following: |
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| a. | Manufactured from organic “composite” materials designed to operate above 588 K (315 °C); |
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| b. | Manufactured from either of the following: |
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| 1. | Metal “matrix” “composites” reinforced by any of the following: |
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| a. | Materials specified in Category Code 1C007; |
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| b. | “Fibrous or filamentary materials” specified in Category Code 1C010; or |
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| c. | Aluminides specified in Category Code 1C002.a.; or |
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| 2. | Ceramic “matrix” “composites” specified in Category Code 1C007; or |
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| c. | Stators, vanes, blades, tip seals (shrouds), rotating blings, rotating blisks, or ‘splitter ducts’, that are all of the following: |
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| 1. | Not specified in Category Code 9E003.a.3.a.; |
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| 2. | Designed for compressors or fans; and |
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| 3. | Manufactured from material specified in Category Code 1C010.e. with resins specified in Category Code 1C008; |
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| | A ‘splitter duct’ performs the initial separation of the air‑mass flow between the bypass and core sections of the engine. |
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| 4. | Uncooled turbine blades, vanes or “tip shrouds”, designed to operate at a ‘gas path temperature’ of 1,373 K (1,100 ºC) or more; |
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| 5. | Cooled turbine blades, vanes, “tip shrouds” other than those described in Category Code 9E003.a.1., designed to operate at a ‘gas path temperature’ of 1,693 K (1,420 ºC) or more; |
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| | ‘Gas path temperature’ is the bulk average gas path total (stagnation) temperature at the leading edge plane of the turbine component when the engine is running in a “steady state mode” of operation at the certificated or specified maximum continuous operating temperature. |
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| 6. | Airfoil‑to‑disk blade combinations using solid state joining; |
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| 8. | ‘Damage tolerant’ gas turbine engine rotor components using powder metallurgy materials specified in Category Code 1C002.b.; or |
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| | ‘Damage tolerant’ components are designed using methodology and substantiation to predict and limit crack growth. |
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| 11. | ‘Fan blades’ having both of the following characteristics: |
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| a. | 20% or more of the total volume being one or more closed cavities containing vacuum or gas only; and |
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| b. | One or more closed cavities having a volume of 5 cm3 or larger; |
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| | For the purpose of Category Code 9E003.a.11., a 'fan blade' is the aerofoil portion of the rotating stage or stages, which provide both compressor and bypass flow in a gas turbine engine. |
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| b. | “Technology” “required” for the “development” or “production” of either of the following: |
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| 1. | Wind tunnel aero‑models equipped with non‑intrusive sensors capable of transmitting data from the sensors to the data acquisition system; or |
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| 2. | “Composite” propeller blades or propfans, capable of absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55; |
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| c. | “Technology” “required” for manufacturing cooling holes, in gas turbine engine components incorporating any of the “technologies” specified in Category Code 9E003.a.1., 9E003.a.2. or 9E003.a.5., and having either of the following characteristics: |
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| 1. | Having all of the following characteristics: |
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| a. | Minimum ‘cross‑sectional area’ less than 0.45 mm2; |
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| b. | ‘Hole shape ratio’ greater than 4.52; and |
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| c. | ‘Incidence angle’ equal to or less than 25º; or |
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| 2. | Having all of the following characteristics: |
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| a. | Minimum ‘cross-sectional area’ less than 0.12 mm2; |
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| b. | ‘Hole shape ratio’ greater than 5.65; and |
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| c. | ‘Incidence angle’ more than 25º; |
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| | Category Code 9E003.c. does not include “technology” for manufacturing constant radius cylindrical holes that are straight through and enter and exit on the external surfaces of the component. |
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| 1. | For the purpose of Category Code 9E003.c., the ‘cross‑sectional area’ is the area of the hole in the plane perpendicular to the hole axis. |
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| 2. | For the purpose of Category Code 9E003.c., ‘hole shape ratio’ is the nominal length of the axis of the hole divided by the square root of its minimum ‘cross‑sectional area’. |
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| 3. | For the purpose of Category Code 9E003.c., ‘incidence angle’ is the acute angle measured between the plane tangential to the aerofoil surface and the hole axis at the point where the hole axis enters the aerofoil surface. |
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| 4. | Methods for manufacturing holes in Category Code 9E003.c. include “laser” beam machining, water jet machining, Electro‑Chemical Machining (ECM) or Electrical Discharge Machining (EDM). |
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| d. | “Technology” “required” for the “development” or “production” of helicopter power transfer systems or tilt rotor or tilt wing “aircraft” power transfer systems; |
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| e. | “Technology” for the “development” or “production” of reciprocating diesel engine ground vehicle propulsion systems having all of the following characteristics: |
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| 1. | ‘Box volume’ of 1.2 m3 or less; |
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| 2. | An overall power output of more than 750 kW based on 80/1269/EEC, Ref. ISO 2534 or national equivalents; and |
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| 3. | Power density of more than 700 kW/m3 of ‘box volume’; |
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| | ‘Box volume’ in Category Code 9E003.e. is the product of three perpendicular dimensions measured in the following way: |
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| | The length of the crankshaft from front flange to flywheel face; |
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| | The widest of any of the following: |
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| a. | The outside dimension from valve cover to valve cover; |
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| b. | The dimensions of the outside edges of the cylinder heads; or |
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| c. | The diameter of the flywheel housing; |
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| | The largest of either of the following: |
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| a. | The dimension of the crankshaft centre-line to the top plane of the valve cover (or cylinder head) plus twice the stroke; or |
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| b. | The diameter of the flywheel housing. |
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| f. | “Technology” “required” for the “production” of specially designed components for high output diesel engines, as follows: |
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| 1. | “Technology” “required” for the “production” of engine systems having all of the following components employing ceramics materials specified in Category Code 1C007: |
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| d. | One or more other components (including exhaust ports, turbochargers, valve guides, valve assemblies or insulated fuel injectors); |
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| 2. | “Technology” “required” for the “production” of turbocharger systems with single‑stage compressors and having all of the following characteristics: |
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| a. | Operating at pressure ratios of 4:1 or higher; |
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| b. | Mass flow in the range from 30 kg to 130 kg per minute; and |
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| c. | Variable flow area capability within the compressor or turbine sections; |
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| 3. | “Technology” “required” for the “production” of fuel injection systems with a specially designed multifuel (e.g. diesel or jet fuel) capability covering a viscosity range from diesel fuel (2.5 cSt at 310.8 K (37.8 ºC)) down to gasoline fuel (0.5 cSt at 310.8 K (37.8 ºC)) and having both of the following characteristics: |
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| a. | Injection amount in excess of 230 mm3 per injection per cylinder; and |
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| b. | Electronic control features specially designed for switching governor characteristics automatically depending on fuel property to provide the same torque characteristics by using the appropriate sensors; |
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| g. | “Technology” “required” for the “development” or “production” of ‘high output diesel engines’ for solid, gas phase or liquid film (or combinations thereof) cylinder wall lubrication and permitting operation to temperatures exceeding 723 K (450 ºC), measured on the cylinder wall at the top limit of travel of the top ring of the piston; |
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| | ‘High output diesel engines’ are diesel engines with a specified brake mean effective pressure of 1.8 MPa or more at a speed of 2,300 rpm, provided the rated speed is 2,300 rpm or more. |
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| h. | “Technology” for gas turbine engine “FADEC Systems” as follows: |
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| 1. | “Development” “technology” for deriving the functional requirements for the components necessary for the “FADEC System” to regulate engine thrust or shaft power (e.g. feedback sensor time constants and accuracies, fuel valve slew rate); |
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| 2. | “Development” or “production” “technology” for control and diagnostic components unique to the “FADEC System” and used to regulate engine thrust or shaft power; |
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| 3. | “Development” “technology” for the control law algorithms, including “source code”, unique to the “FADEC System” and used to regulate engine thrust or shaft power; |
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| | Category Code 9E003.h. does not include technical data related to engine “aircraft” integration required by the relevant civil aviation certification authorities of a “participating state” to be published for general airline use (e.g. installation manuals, operating instructions, instructions for continued airworthiness) or interface functions (e.g. input/output processing, airframe thrust or shaft power demand). |
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| i. | “Technology” for adjustable flow path systems designed to maintain engine stability for gas generator turbines, fan or power turbines, or propelling nozzles, as follows: |
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| 1. | “Development” “technology” for deriving the functional requirements for the components that maintain engine stability; |
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| 2. | “Development” or “production” “technology” for components unique to the adjustable flow path system and that maintain engine stability; |
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| 3. | “Development” “technology” for the control law algorithms, including “source code”, unique to the adjustable flow path system and that maintain engine stability; |
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| | Category Code 9E003.i. does not include “technology” for any of the following: |
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| b. | Variable pitch fans or propfans; |
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| c. | Variable compressor vanes; |
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| d. | Compressor bleed valves; or |
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| e. | Adjustable flow path geometry for reverse thrust. |
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| j. | “Technology” “required” for the “development” of wing‑folding systems designed for fixed‑wing “aircraft” powered by gas turbine engines. |
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| | For “technology” “required” for the “development” of wing‑folding systems designed for fixed‑wing “aircraft”, see also Division 2 of Part 1 of this Schedule. |
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| a. | “Technology” (according to the General Technology Note) for the “development” of goods specified in Category Code 9A101, 9A102, 9A104 to 9A111, 9A112.a. or 9A115 to 9A121. |
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| b. | “Technology” (according to the General Technology Note) for the “production” of ‘UAVs’ specified in Category Code 9A012 or goods specified in Category Code 9A101, 9A102, 9A104 to 9A111, 9A112.a. or 9A115 to 9A121. |
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| | In Category Code 9E101.b., ‘UAV’ means unmanned aerial vehicle systems capable of a range exceeding 300 km. |
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| “Technology” (according to the General Technology Note) for the “use” of space launch vehicles specified in Category Code 9A004, goods specified in Category Codes 9A005 to 9A011, ‘UAVs’ specified in Category Code 9A012 or goods specified in Category Code 9A101, 9A102, 9A104 to 9A111, 9A112.a., 9A115 to 9A121, 9B105, 9B106, 9B115, 9B116, 9B117, 9D101 or 9D103. |
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| In Category Code 9E102, ‘UAV’ means unmanned aerial vehicle systems capable of a range exceeding 300 km. |
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