Restricted Goods and Technologies List

This Annex outlines restricted goods and technologies, as referenced in the Special Economic Measures (Russia) Regulations and the Special Economic Measures (Belarus) Regulations.

All references to Export Control List in this Annex mean the Export Control List pursuant to the Export and Import Permits Act.

All references to the Guide in this Annex mean A Guide to Canada’s Export Control List, as amended from time to time.

Restricted Goods and Technologies listed in this Annex excludes all items specified by the Export Control List as delineated in the Guide, other than item 5400.

The General Technology Note and the General Software Note to Group 1 of the Guide apply to this Annex.

Terms in “quotations” are defined terms. Refer to ‘Definitions of Terms used in this List’ at the end of this List for definitions of words in “quotation” marks. Terms that are not in “quotations” take their commonly accepted (dictionary) meanings, unless a local definition for a particular term is given.

Non-controlled items containing one or more components listed do not become controlled by the incorporation of these components unless expressly stated in the corresponding list entry in this Annex.

3A991 Electronic devices and components, as follows:

a. “Microprocessor microcircuits”, “microcomputer microcircuits”, and microcontroller microcircuits having any of the following:
- a.1. A performance speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more;
- a.2. A clock frequency rate exceeding 25 MHz; or
- a.3. More than one data or instruction bus or serial communication port that provides a direct external interconnection between parallel “microprocessor microcircuits” with a transfer rate of 2.5 Mbyte/s;
b. Storage integrated circuits, as follows:
- b.1. Electrical erasable programmable read-only memories (EEPROMs) with a storage capacity;
  - b.1.a. Exceeding 16 Mbits per package for flash memory types; or
  - b.1.b. Exceeding either of the following limits for all other EEPROM types:
    - b.1.b.1. Exceeding 1 Mbit per package; or
    - b.1.b.2. Exceeding 256 kbit per package and a maximum access time of less than 80 ns;
- b.2. Static random access memories (SRAMs) with a storage capacity:
  - b.2.a. Exceeding 1 Mbit per package; or
  - b.2.b. Exceeding 256 kbit per package and a maximum access time of less than 25 ns;
c. Analog-to-digital converters having any of the following:
- c.1. A resolution of 8 bit or more, but less than 12 bit, with an output rate greater than 200 million words per second;
- c.2. A resolution of 12 bit with an output rate greater than 105 million words per second;
- c.3. A resolution of more than 12 bit but equal to or less than 14 bit with an output rate greater than 10 million words per second; or
- c.4. A resolution of more than 14 bit with an output rate greater than 2.5 million words per second;
d. Field programmable logic devices having a maximum number of single-ended digital input/outputs between 200 and 700;
e. Fast Fourier Transform (FFT) processors having a rated execution time for a 1,024-point complex FFT of less than 1 ms;
f. Custom integrated circuits for which either 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:
- f.1. More than 144 terminals; or
- f.2. A typical “basic gate propagation delay time” of less than 0.4 ns;
g. Traveling-wave “vacuum electronic devices,” pulsed or continuous wave, as follows:
- g.1. Coupled cavity devices, or derivatives thereof;
- g.2. Helix devices based on helix, folded waveguide, or serpentine waveguide circuits, or derivatives thereof, with any of the following:
  - g.2.a. An “instantaneous bandwidth” of half an octave or more; and
  - g.2.b. The product of the rated average output power (expressed in kW) and the maximum operating frequency (expressed in GHz) of more than 0.2;
  - g.2.c. An “instantaneous bandwidth” of less than half an octave; and
  - g.2.d. The product of the rated average output power (expressed in kW) and the maximum operating frequency (expressed in GHz) of more than 0.4;
h. Flexible waveguides designed for use at frequencies exceeding 40 GHz;
i. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices (i.e., “signal processing” devices employing elastic waves in materials), having either of the following:
- i.1. A carrier frequency exceeding 1 GHz; or
- i.2. A carrier frequency of 1 GHz or less; and
  - i.2.a. A frequency side-lobe rejection exceeding 55 dB;
  - i.2.b. A product of the maximum delay time and bandwidth (time in microseconds and bandwidth in MHz) of more than 100; or
  - i.2.c. A dispersive delay of more than 10 microseconds;
j. ‘Cells’ as follows:
- j.1. ‘Primary cells’ having an energy density of 550 W·h/kg or less at 293 K (20ºC);
- j.2. ‘Secondary cells’ having an energy density of 350 W·h/kg or less at 293 K (20ºC);

Note: 3A991.j does not control batteries, including single ‘cell’ batteries.

Technical Notes:

1. For the purpose of 3A991.j energy density (W·h/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours 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 3A991.j, a ‘cell’ is defined as an electrochemical device, which has positive and negative electrodes, and electrolyte, and is a source of electrical energy. It is the basic building block of a battery.
3. For the purpose of 3A991.j.1, a ‘primary cell’ is a ‘cell’ that is not designed to be charged by any other source.
4. For the purpose of 3A991.j.2, a ‘secondary cell’ is a ‘cell’ that is designed to be charged by an external electrical source.

k. “Superconductive” electromagnets or solenoids specially designed to be fully charged or discharged in less than one minute, having all of the following:
- Note: 3A991.k does not control “superconductive” electromagnets or solenoids designed for Magnetic Resonance Imaging (MRI) medical equipment.
- k.1. Maximum energy delivered during the discharge divided by the duration of the discharge of more than 500 kJ per minute;
- k.2. Inner diameter of the current carrying windings of more than 250 mm; and
- k.3. Rated for a magnetic induction of more than 8 T or “overall current density” in the winding of more than 300 A/mm²;
l. Circuits or systems for electromagnetic energy storage, containing components manufactured from “superconductive” materials specially designed for operation at temperatures below the “critical temperature” of at least one of their “superconductive” constituents, having all of the following:
- l.1. Resonant operating frequencies exceeding 1 MHz;
- l.2. A stored energy density of 1 MJ/m³ or more; and
- l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal construction and rate for a peak current of 500 A or more;
n. Digital integrated circuits based on any compound semiconductor having an equivalent gate count of more than 300 (2 input gates);
o. Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays, which are “space-qualified” and not controlled by the Export Control List entry 1-3.A.1.e.4.

3A992 General purpose electronic equipment, as follows:

a. Electronic test equipment, not elsewhere specified.
b. Digital instrumentation magnetic tape data recorders having any of the following characteristics;
- b.1. A maximum digital interface transfer rate exceeding 60 Mbit/s and employing helical scan techniques;
- b.2. A maximum digital interface transfer rate exceeding 120 Mbit/s and employing fixed head techniques; or
- b.3. “Space-qualified”;
c. Equipment, with a maximum digital interface transfer rate exceeding 60 Mbit/s, designed to convert digital video magnetic tape recorders for use as digital instrumentation data recorders;
d. Non-modular analog oscilloscopes having a bandwidth of 1 GHz or greater;
e. Modular analog oscilloscope systems having either of the following characteristics:
- e.1. A mainframe with a bandwidth of 1 GHz or greater; or
- e.2. Plug-in modules with an individual bandwidth of 4 GHz or greater;
f. Analog sampling oscilloscopes for the analysis of recurring phenomena with an effective bandwidth greater than 4 GHz;
g. Digital oscilloscopes and transient recorders, using analog-to-digital conversion techniques, capable of storing transients by sequentially sampling single-shot inputs at successive intervals of less than 1 ns (greater than 1 giga-sample per second), digitizing to 8 bits or greater resolution and storing 256 or more samples.

Note: This entry controls the following specially designed parts and components for analog oscilloscopes:

Plug-in units;
External amplifiers;
Pre-amplifiers;
Sampling devices;
Cathode ray tubes.

3A999 Specific processing equipment, not elsewhere specified, as follows:

a. Frequency changers capable of operating in the frequency range from 300 up to 600 Hz, not elsewhere specified;
b. Mass spectrometers, not elsewhere specified;
c.All flash x-ray machines, and parts or components of pulsed power systems designed therefor, including Marx generators, high power pulse shaping networks, high voltage capacitors, and triggers;
d. Pulse amplifiers, not elsewhere specified;
e. Electronic equipment for time delay generation or time interval measurement, as follows:
- e.1. Digital time delay generators with a resolution of 50 nanoseconds or less over time intervals of 1 microsecond or greater; or
- e.2. Multi-channel (three or more) or modular time interval meter and chronometry equipment with resolution of 50 nanoseconds or less over time intervals of 1 microsecond or greater;
f. Chromatography and spectrometry analytical instruments.

3B991 Equipment for the manufacture of electronic parts, components and materials, and specially designed parts, components and accessories therefor, as follows:

Related Definitions: ‘Sputtering’ is an overlay coating process wherein positively charged ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on the substrate. (Note: Triode, magnetron or radio frequency sputtering to increase adhesion of coating and rate of deposition are ordinary modifications of the process.)

a. Equipment specially designed for the manufacture of electron tubes, optical elements and specially designed parts and components therefor controlled by the Export Control List entry 1-3.A.1 or entry 3A991 of this List;
b. Equipment specially designed for the manufacture of semiconductor devices, integrated circuits and “electronic assemblies”, as follows, and systems incorporating or having the characteristics of such equipment:
Note: 3B991.b also controls equipment used or modified for use in the manufacture of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices.
- b.1. Equipment for the processing of materials for the manufacture of devices, parts and components as specified in the heading of 3B991.b, as follows:
  - Note: 3B991 does not control quartz furnace tubes, furnace liners, paddles, boats (except specially designed caged boats), bubblers, cassettes or crucibles specially designed for the processing equipment controlled by 3B991.b.1.
  - b.1.a. Equipment for producing polycrystalline silicon and materials controlled by the Export Control List entry 1-3.C.1;
  - b.1.b. Equipment specially designed for purifying or processing III/V and II/VI semiconductor materials controlled by the Export Control List entries 1-3.C.1, 1-3.C.2, 1-3.C.3, 1-3.C.4, or 1-3.C.5 except crystal pullers, for which see 3B991.b.1.c below;
  - b.1.c. Crystal pullers and furnaces, as follows:
    - Note: 3B991.b.1.c does not control diffusion and oxidation furnaces.
    - b.1.c.1. Annealing or recrystallizing equipment other than constant temperature furnaces employing high rates of energy transfer capable of processing wafers at a rate exceeding 0.005 square metres (m²) per minute;
    - b.1.c.2. “Stored program controlled” crystal pullers having any of the following characteristics:
      - b.1.c.2.a. Rechargeable without replacing the crucible container;
      - b.1.c.2.b. Capable of operation at pressures above 2.5 x 10⁵ Pa; or
      - b.1.c.2.c. Capable of pulling crystals of a diameter exceeding 100 mm;
  - b.1.d. “Stored program controlled” equipment for epitaxial growth having any of the following characteristics:
    - b.1.d.1. Capable of producing silicon layer with a thickness uniform to less than ± 2.5% across a distance of 200 mm or more;
    - b.1.d.2. Capable of producing a layer of any material other than silicon with a thickness uniformity across the wafer of equal to or better than ± 3.5%; or
    - b.1.d.3. Rotation of individual wafers during processing;
  - b.1.e. Molecular beam epitaxial growth equipment;
  - b.1.f. Magnetically enhanced ‘sputtering’ equipment with specially designed integral load locks capable of transferring wafers in an isolated vacuum environment;
  - b.1.g. Equipment specially designed for ion implantation, ion-enhanced or photo-enhanced diffusion, having any of the following characteristics:
    - b.1.g.1. Patterning capability;
    - b.1.g.2. Beam energy (accelerating voltage) exceeding 200 keV;
    - b.1.g.3 Optimized to operate at a beam energy (accelerating voltage) of less than 10 keV; or
    - b.1.g.4. Capable of high energy oxygen implant into a heated “substrate”;
  - b.1.h. “Stored program controlled” equipment for the selective removal (etching) by means of anisotropic dry methods (e.g., plasma), as follows:
    - b.1.h.1. ‘Batch types’ having either of the following:
      - b.1.h.1.a. End-point detection, other than optical emission spectroscopy types; or
      - b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or less;
    - b.1.h.2. ‘Single wafer types’ having any of the following:
      - b.1.h.2.a. End-point detection, other than optical emission spectroscopy types;
      - b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or less; or
      - b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;
    - Notes:
      - 1. ‘Batch types’ refers to machines not specially designed for production processing of single wafers. Such machines can process two or more wafers simultaneously with common process parameters, e.g., radiofrequency (RF) power, temperature, etch gas species, flow rates.
      - 2. ‘Single wafer types’ refers to machines specially designed for production processing of single wafers. These machines may use automatic wafer handling techniques to load a single wafer into the equipment for processing. The definition includes equipment that can load and process several wafers but where the etching parameters, e.g., RF power or end point, can be independently determined for each individual wafer.
  - b.1.i. Chemical vapour deposition (CVD) equipment, e.g., plasma-enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor device manufacturing, having either of the following capabilities, for deposition of oxides, nitrides, metals or polysilicon:
    - b.1.i.1. Chemical vapour deposition equipment operating below 10⁵ Pa; or
    - b.1.i.2. PECVD equipment operating either below 60 Pa (450 millitorr) or having automatic cassette-to-cassette and load lock wafer handling;
    - Note: 3B991.b.1.i does not control low pressure chemical vapour deposition (LPCVD) systems or reactive ‘sputtering’ equipment.
  - b.1.j. Electron beam systems specially designed or modified for mask making or semiconductor device processing having any of the following characteristics:
    - b.1.j.1. Electrostatic beam deflection;
    - b.1.j.2. Shaped, non-Gaussian beam profile;
    - b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
    - b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit; or
    - b.1.j.5. Target-to-beam position feedback control precision of 1 micrometer or finer;
    - Note: 3B991.b.1.j does not control electron beam deposition systems or general purpose scanning electron microscopes.
  - b.1.k. Surface finishing equipment for the processing of semiconductor wafers as follows:
    - b.1.k.1. Specially designed equipment for backside processing of wafers thinner than 100 micrometer and the subsequent separation thereof; or
    - b.1.k.2. Specially designed equipment for achieving a surface roughness of the active surface of a processed wafer with a two-sigma value of 2 micrometer or less, total indicator reading (TIR);
    - Note: 3B991.b.1.k does not control single-side lapping and polishing equipment for wafer surface finishing.
  - b.1.l. Interconnection equipment which includes common single or multiple vacuum chambers specially designed to permit the integration of any equipment controlled by 3B991 into a complete system;
  - b.1.m. “Stored program controlled” equipment using “lasers” for the repair or trimming of “monolithic integrated circuits” with either of the following characteristics:
    - b.1.m.1. Positioning accuracy less than ± 1 micrometer; or
    - b.1.m.2. Spot size (kerf width) less than 3 micrometer.
- b.2. Masks, mask “substrates,” mask-making equipment and image transfer equipment for the manufacture of devices, parts and components as specified in the heading of 3B991, as follows:
  - Note: The term masks refers to those used in electron beam lithography, X-ray lithography, and ultraviolet lithography, as well as the usual ultraviolet and visible photo-lithography.
  - b.2.a. Finished masks, reticles and designs therefor, except:
    - b.2.a.1. Finished masks or reticles for the production of integrated circuits not specified by the Export Control List; or
    - b.2.a.2. Masks or reticles, having both of the following characteristics:
      - b.2.a.2.a. Their design is based on geometries of 2.5 micrometer or more; and
      - b.2.a.2.b. The design does not include special features to alter the intended use by means of production equipment or “software”;
  - b.2.b. Mask “substrates” as follows:
    - b.2.b.1. Hard surface (e.g., chromium, silicon, molybdenum) coated “substrates” (e.g., glass, quartz, sapphire) for the preparation of masks having dimensions exceeding 125 mm x 125 mm; or
    - b.2.b.2. “Substrates” specially designed for X-ray masks;
  - b.2.c. Equipment, other than general purpose computers, specially designed for computer aided design (CAD) of semiconductor devices or integrated circuits;
  - b.2.d. Equipment or machines, as follows, for mask or reticle fabrication:
    - b.2.d.1. Photo-optical step and repeat cameras capable of producing arrays larger than 100 mm x 100 mm, or capable of producing a single exposure larger than 6 mm x 6 mm in the image (i.e., focal) plane, or capable of producing line widths of less than 2.5 micrometer in the photoresist on the “substrate”;
    - b.2.d.2. Mask or reticle fabrication equipment using ion or “laser” beam lithography capable of producing line widths of less than 2.5 micrometer; or
    - b.2.d.3. Equipment or holders for altering masks or reticles or adding pellicles to remove defects;
    - Note: 3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication equipment using photo-optical methods which was either commercially available before the 1st January, 1980, or has a performance no better than such equipment.
  - b.2.e. “Stored program controlled” equipment for the inspection of masks, reticles or pellicles with:
    - b.2.e.1. A resolution of 0.25 micrometer or finer; and
    - b.2.e.2. A precision of 0.75 micrometer or finer over a distance in one or two coordinates of 63.5 mm or more;
    - Note: 3B991.b.2.e does not control general purpose scanning electron microscopes except when specially designed and instrumented for automatic pattern inspection.
  - b.2.f. Align and expose equipment for wafer production using photo-optical or X-ray methods, e.g., lithography equipment, including both projection image transfer equipment and step and repeat (direct step on wafer) or step and scan (scanner) equipment, capable of performing any of the following functions:
    - Note: 3B991.b.2.f does not control photo-optical contact and proximity mask align and expose equipment or contact image transfer equipment.
  - b.2.g. Electron beam, ion beam or X-ray equipment for projection image transfer capable of producing patterns less than 2.5 micrometer;
    - Note: For focused, deflected-beam systems (direct write systems), see 3B991.b.1.j or b.10.
  - b.2.h. Equipment using “lasers” for direct write on wafers capable of producing patterns less than 2.5 micrometer.
- b.3. Equipment for the assembly of integrated circuits, as follows:
  - b.3.a. “Stored program controlled” die bonders having all of the following characteristics:
    - b.3.a.1. Specially designed for “hybrid integrated circuits”;
    - b.3.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm; and
    - b.3.a.3. Placement accuracy in the X-Y plane of finer than ± 10 micrometer;
  - b.3.b. “Stored program controlled” equipment for producing multiple bonds in a single operation (e.g., beam lead bonders, chip carrier bonders, tape bonders);
  - b.3.c. Semi-automatic or automatic hot cap sealers, in which the cap is heated locally to a higher temperature than the body of the package, specially designed for ceramic microcircuit packages controlled by the Export Control List entry 1-3.A.1 and that have a throughput equal to or more than one package per minute.
  - Note: 3B991.b.3 does not control general purpose resistance type spot welders.
- b.4. Filters for clean rooms capable of providing an air environment of 10 or less particles of 0.3 micrometer or smaller per 0.02832 cubic meters (m³) and filter materials therefor.

3B992 Equipment for the inspection or testing of electronic components and materials, and specially designed parts, components and accessories therefor, as follows:

a. Equipment specially designed for the inspection or testing of electron tubes, optical elements and specially designed parts and components therefor controlled by the Export Control List entry 1-3.A.1 or entry 3A991 of this List;
b. Equipment specially designed for the inspection or testing of semiconductor devices, integrated circuits and “electronic assemblies”, as follows, and systems incorporating or having the characteristics of such equipment:
- Note: 3B992.b also controls equipment used or modified for use in the inspection or testing of other devices, such as imaging devices, electro-optical devices, acoustic-wave devices.
- b.1. “Stored program controlled” inspection equipment for the automatic detection of defects, errors or contaminants of 0.6 micrometer or less in or on processed wafers, “substrates”, other than printed circuit boards or chips, using optical image acquisition techniques for pattern comparison;
  - Note: 3B992.b.1 does not control general purpose scanning electron microscopes, except when specially designed and instrumented for automatic pattern inspection.
- b.2. Specially designed “stored program controlled” measuring and analysis equipment, as follows:
  - b.2.a. Specially designed for the measurement of oxygen or carbon content in semiconductor materials;
  - b.2.b. Equipment for line width measurement with a resolution of 1 micrometer or finer;
  - b.2.c. Specially designed flatness measurement instruments capable of measuring deviations from flatness of 10 micrometer or less with a resolution of 1 micrometer or finer.
- b.3. “Stored program controlled” wafer probing equipment having any of the following characteristics:
  - b.3.a. Positioning accuracy finer than 3.5 micrometer;
  - b.3.b. Capable of testing devices having more than 68 terminals; or
  - b.3.c. Capable of testing at a frequency exceeding 1 GHz;
- b.4. Test equipment as follows:
  - b.4.a. “Stored program controlled” equipment specially designed for testing discrete semiconductor devices and unencapsulated dice, capable of testing at frequencies exceeding 18 GHz;
    - Technical Note: Discrete semiconductor devices include photocells and solar cells.
  - b.4.b. “Stored program controlled” equipment specially designed for testing integrated circuits and “electronic assemblies” thereof, capable of functional testing:
    - b.4.b.1. At a ‘pattern rate’ exceeding 20 MHz; or
    - b.4.b.2. At a ‘pattern rate’ exceeding 10 MHz but not exceeding 20 MHz and capable of testing packages of more than 68 terminals.
    - Notes: 3B992.b.4.b does not control test equipment specially designed for testing:
      - 1. Memories;
      - 2. Assemblies or a class of “electronic assemblies” for home and entertainment applications; and
      - 3. Electronic parts, components, assemblies and integrated circuits not controlled by the Export Control List entry 1-3.A.1 or entry 3A991 of this List provided such test equipment does not incorporate computing facilities with “user accessible programmability”.
    - Technical Note: For purposes of 3B992.b.4.b, ‘pattern rate’ is defined as the maximum frequency of digital operation of a tester. It is therefore equivalent to the highest data rate that a tester can provide in non-multiplexed mode. It is also referred to as test speed, maximum digital frequency or maximum digital speed.
  - b.4.c. Equipment specially designed for determining the performance of focal-plane arrays at wavelengths of more than 1,200 nm, using “stored program controlled” measurements or computer aided evaluation and having any of the following characteristics:
    - b.4.c.1. Using scanning light spot diameters of less than 0.12 mm;
    - b.4.c.2. Designed for measuring photosensitive performance parameters and for evaluating frequency response, modulation transfer function, uniformity of responsivity or noise; or
    - b.4.c.3. Designed for evaluating arrays capable of creating images with more than 32 x 32 line elements;
- b.5. Electron beam test systems designed for operation at 3 keV or below, or “laser” beam systems, for non-contactive probing of powered-up semiconductor devices having any of the following:
  - b.5.a. Stroboscopic capability with either beam blanking or detector strobing;
  - b.5.b. An electron spectrometer for voltage measurements with a resolution of less than 0.5 V; or
  - b.5.c. Electrical tests fixtures for performance analysis of integrated circuits;
  - Note: 3B992.b.5 does not control scanning electron microscopes, except when specially designed and instrumented for non-contactive probing of a powered-up semiconductor device.
- b.6. “Stored program controlled” multifunctional focused ion beam systems specially designed for manufacturing, repairing, physical layout analysis and testing of masks or semiconductor devices and having either of the following characteristics:
  - b.6.a. Target-to-beam position feedback control precision of 1 micrometer or finer; or
  - b.6.b. Digital-to-analog conversion accuracy exceeding 12 bit;
- b.7. Particle measuring systems employing “lasers” designed for measuring particle size and concentration in air having both of the following characteristics:
  - b.7.a. Capable of measuring particle sizes of 0.2 micrometer or less at a flow rate of 0.02832 m³ per minute or more; and
  - b.7.b. Capable of characterizing Class 10 clean air or better.

3C992 Positive resists, designed for semiconductor lithography specially adjusted (optimized) for use at wavelengths between 370 and 193 nm.

3D991 “Software”, specially designed for the “development”, “production”, or “use” of electronic devices, parts or components controlled by 3A991, general purpose electronic equipment controlled by 3A992, or manufacturing and test equipment controlled by 3B991 and 3B992; or “software” specially designed for the “use” of equipment controlled by the Export Control List entries 1-3.B.1.g and 1.3.B.1.h.

3E991 “Technology”, for the “development,” “production” or “use” of electronic devices, parts or components controlled by 3A991, general purpose electronic equipment controlled by 3A992, or manufacturing and test equipment controlled by 3B991 or 3B992, or materials controlled by 3C992.

4A994 Computers, “electronic assemblies” and related equipment, and specially designed parts and components therefor, as follows:

Note 1: The control status of the “digital computers” and related equipment described in 4A994 is determined by the control status of other equipment or systems provided:

a. The “digital computers” or related equipment are essential for the operation of the other equipment or systems;
b. The “digital computers” or related equipment are not a “principal element” of the other equipment or systems; and
- N.B. 1: The control status of “signal processing” or “image enhancement” equipment specially designed for other equipment with functions limited to those required for the other equipment is determined by the control status of the other equipment even if it exceeds the “principal element” criterion.
- N.B. 2: For the control status of “digital computers” or related equipment for telecommunications equipment, refer to the Export Control List entries 1-5.A.1, 1-5.B.1, or 5A991 or 5B991, herein.
c. The “technology” for the “digital computers” and related equipment is determined by the Export Control List entry 1-4.E.

Related Definitions:

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.

Abbreviations used in this Technical Note

n number of processors in the “digital computer”
i processor number (i,...n)
t_i processor cycle time (t_i = 1/F_i)
F_i processor frequency
R_i peak floating point calculating rate
W_i architecture adjustment factor

‘APP’ is expressed in Weighted TeraFLOPS (WT), in units of 10¹² adjusted floating point operations per second.

OUTLINE OF ‘APP’ CALCULATION METHOD

1. For each processor i, determine the peak number of 64-bit or larger floating point operations, FPO_i, performed per cycle for each processor in the “digital computer”.

Note: In determining FPO, include only 64-bit or larger floating point additions or multiplications. All floating point operations must be expressed in operations per processor cycle; operations requiring multiple cycles may be expressed in fractional results per cycle. For processors not capable of performing calculations on floating point operands of 64-bit or more, the effective calculating rate R is zero.

2. Calculate the floating point rate R for each processor R_i = FPO_i/t_i
3. Calculate ‘APP’ as ‘APP’ = W₁ x R₁ + W₂ x R₂ + … + W_n x R_n.
4. For ‘vector processors’, W_i = 0.9. For non-’vector processors’, W_i = 0.3.

Note 1: For processors that perform compound operations in a cycle, such as addition and multiplication, each operation is counted.

Note 2: For a pipelined processor the effective calculating rate R is the faster of the pipelined rate, once the pipeline is full, or the non-pipelined rate.

Note 3: The calculating rate R of each contributing processor is to be calculated at its maximum value theoretically possible before the ‘APP’ of the combination is derived. Simultaneous operations are assumed to exist when the computer manufacturer claims concurrent, parallel, or simultaneous operation or execution in a manual or brochure for the computer.

Note 4: Do not include processors that are limited to input/output and peripheral functions (e.g., disk drive, communication and video display) when calculating ‘APP’.

Note 5: ‘APP’ values are not to be calculated for processor combinations (inter)connected by “Local Area Networks”, Wide Area Networks, I/O shared connections/devices, I/O controllers and any communication interconnection implemented by “software”.

Note 6: ‘APP’ values must be calculated for processor combinations containing processors specially designed to enhance performance by aggregation, operating simultaneously and sharing memory;

Technical Notes:

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.

Note 7: A ‘vector processor’ is defined as a processor with built-in instructions that perform multiple calculations on floating-point vectors (one-dimensional arrays of 64-bit or larger numbers) simultaneously, having at least 2 vector functional units and at least 8 vector registers of at least 64 elements each.

a. Electronic computers and related equipment, and “electronic assemblies” and specially designed parts and components therefor, rated for operation at an ambient temperature above 343 K (70°C);
b. “Digital computers”, including equipment of “signal processing” or “image enhancement”, having an ‘Adjusted Peak Performance’ (‘APP’) equal to or greater than 0.0128 Weighted TeraFLOPS (WT);
c. “Electronic assemblies” that are specially designed or modified to enhance performance by aggregation of processors, as follows:
- c.1. Designed to be capable of aggregation in configurations of 16 or more processors;
- c.2. [Reserved];
- Note 1: 4A994.c applies only to “electronic assemblies” and programmable interconnections with a ‘APP’ not exceeding the limits in 4A994.b, when shipped as unintegrated “electronic assemblies”. It does not apply to “electronic assemblies” inherently limited by nature of their design for use as related equipment controlled by 4A994.k.
- Note 2: 4A994.c does not control any “electronic assembly” specially designed for a product or family of products whose maximum configuration does not exceed the limits of 4A994.b.
d. [Reserved];
e. [Reserved];
f. Equipment for “signal processing” or “image enhancement” having an ‘Adjusted Peak Performance’ (‘APP’) equal to or greater than 0.0128 Weighted TeraFLOPS WT;
g. [Reserved];
h. [Reserved];
i. Equipment containing “terminal interface equipment” exceeding the limits in 5A991;
j. Equipment specially designed to provide external interconnection of “digital computers” or associated equipment that allows communications at data rates exceeding 80 Mbyte/s.
- Note: 4A994.j does not control internal interconnection equipment (e.g., backplanes, buses) passive interconnection equipment, “network access controllers” or “communications channel controllers”.
k. Hybrid computers and “electronic assemblies” and specially designed parts and components therefor containing analog-to-digital converters having all of the following characteristics:
- k.1. 32 channels or more; and
- k.2. A resolution of 14 bit (plus sign bit) or more with a conversion rate of 200,000 conversions/s or more.

4D993 “Program” proof and validation “software,” “software” allowing the automatic generation of “source codes,” and operating system “software” that are specially designed for “real-time processing” equipment, as follows:

Related Definitions: ‘Global interrupt latency time’ is the time taken by the computer system to recognize an interrupt due to the event, service the interrupt and perform a context switch to an alternate memory-resident task waiting on the interrupt.

a. “Program” proof and validation “software” using mathematical and analytical techniques and designed or modified for “programs” having more than 500,000 “source code” instructions;
b. “Software” allowing the automatic generation of “source codes” from data acquired on line from external sensors described in the Export Control List; or
c. Operating system “software” specially designed for “real-time processing” equipment that guarantees a ‘global interrupt latency time’ of less than 20 microseconds.

4D994 “Software”, specially designed or modified for the “development”, “production”, or “use” of equipment controlled by the Export Control List entry 6-13.A or entry 4A994 of this List.

4E992 “Technology”, for the “development,” “production,” or “use” of equipment controlled by 4A994, or “software” controlled by 4D993 or 4D994.

4E993 “Technology”, for the “development” or “production” of equipment designed for multi-data-stream processing.

5A991 Telecommunication equipment as follows:

Related Definitions:

1) ‘Asynchronous transfer mode’ (‘ATM’) is a transfer mode in which the information is organized into cells; it is asynchronous in the sense that the recurrence of cells depends on the required or instantaneous bit rate.
2) ‘Bandwidth of one voice channel’ is data communication equipment designed to operate in one voice channel of 3,100 Hz, as defined in CCITT Recommendation G.151.
3) ‘Datagram’ is a self-contained, independent entity of data carrying sufficient information to be routed from the source to the destination data terminal equipment without reliance on earlier exchanges between this source and destination data terminal equipment and the transporting network.
4) ‘Gateway’ is the function, realized by any combination of equipment and “software”, to carry out the conversion of conventions for representing, processing or communicating information used on one system into the corresponding, but different conventions used in another system.
a. Any type of telecommunications equipment, not controlled by the Export Control List entry 1-5.A.1.a, specially designed to operate outside the temperature range from 219 K (-54°C) to 397 K (124°C).
b. ‘Telecommunication transmission equipment’ and systems, and specially designed parts, components and accessories therefor, having any of the following characteristics, functions or features:
- Note: ‘Telecommunication transmission equipment’:
- a. Categorized as follows, or combinations thereof:
  - 1. Radio equipment (e.g., transmitters, receivers and transceivers);
  - 2. Line terminating equipment;
  - 3. Intermediate amplifier equipment;
  - 4. Repeater equipment;
  - 5. Regenerator equipment;
  - 6. Translation encoders (transcoders);
  - 7. Multiplex equipment (statistical multiplex included);
  - 8. Modulators/demodulators (modems);
  - 9. Trans-multiplex equipment (see CCITT Rec. G701);
  - 10. “Stored program controlled” digital cross connection equipment;
  - 11. ‘Gateways’ and bridges;
  - 12. “Media access units”; and
- b. Designed for use in single or multi-channel communication via any of the following:
  - 1. Wire (line);
  - 2. Coaxial cable;
  - 3. Optical fiber cable;
  - 4. Electromagnetic radiation; or
  - 5. Underwater acoustic wave propagation.
- b.1. Employing digital techniques, including digital processing of analog signals, and designed to operate at a “digital transfer rate” at the highest multiplex level exceeding 45 Mbit/s or a “total digital transfer rate” exceeding 90 Mbit/s;
- Note: 5A991.b.1 does not control equipment specially designed to be integrated and operated in any satellite system for civil use.
- b.2. Modems using the ‘bandwidth of one voice channel’ with a “data signaling rate” exceeding 9,600 bits per second;
- b.3. Being “stored program controlled” digital cross connect equipment with “digital transfer rate” exceeding 8.5 Mbit/s per port.
- b.4. Being equipment containing any of the following:
  - b.4.a. “Network access controllers” and their related common medium having a “digital transfer rate” exceeding 33 Mbit/s; or
  - b.4.b. “Communications channel controllers” with a digital output having a “data signaling rate” exceeding 64,000 bit/s per channel;
  - Note: If any uncontrolled equipment contains a “network access controller”, it cannot have any type of telecommunications interface, except those described in, but not controlled by 5A991.b.4.
- b.5. Employing a “laser” and having any of the following characteristics:
  - b.5.a. A transmission wavelength exceeding 1,000 nm; or
  - b.5.b. Employing analog techniques and having a bandwidth exceeding 45 MHz;
  - Note: 5A991.b.5.b does not control commercial television systems.
  - b.5.c. Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques);
  - b.5.d. Employing wavelength division multiplexing techniques; or
  - b.5.e. Performing “optical amplification”;
- b.6. Radio equipment operating at input or output frequencies exceeding:
  - b.6.a. 31 GHz for satellite-earth station applications; or
  - b.6.b. 26.5 GHz for other applications;
  - Note: 5A991.b.6. does not control equipment for civil use when conforming with an International Telecommunications Union (ITU) allocated band between 26.5 GHz and 31 GHz.
- b.7. Being radio equipment employing any of the following:
  - b.7.a. Quadrature-amplitude-modulation (QAM) techniques above level 4 if the “total digital transfer rate” exceeds 8.5 Mbit/s;
  - b.7.b. QAM techniques above level 16 if the “total digital transfer rate” is equal to or less than 8.5 Mbit/s;
  - b.7.c. Digital modulation techniques and having a “spectral efficiency” exceeding 3 bit/s/Hz; or
  - b.7.d. 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.
  - Notes:
    - 1. 5A991.b.7 does not control equipment specially designed to be integrated and operated in any satellite system for civil use.
    - 2. 5A991.b.7 does not control radio relay equipment for operation in an ITU allocated band:
      - a. Having any of the following:
        a.1. Not exceeding 960 MHz; or
        a.2. With a “total digital transfer rate” not exceeding 8.5 Mbit/s; and
      - b. Having a “spectral efficiency” not exceeding 4 bit/s/Hz.
c. “Stored program controlled” switching equipment and related signaling systems, having any of the following characteristics, functions or features, and specially designed parts, components and accessories therefor:
- Note: Statistical multiplexers with digital input and digital output which provide switching are treated as “stored program controlled” switches.
- c.1. “Data (message) switching” equipment or systems designed for “packet-mode operation” and parts, “electronic assemblies” and components therefor, not elsewhere specified.
- c.2. [Reserved];
- c.3. Routing or switching of ‘datagram’ “packets”;
- c.4. [Reserved]
- Note: The restrictions in 5A991.c.3 do not apply to networks restricted to using only “network access controllers” or to “network access controllers” themselves.
- c.5. Multi-level priority and pre-emption for circuit switching;
- Note: 5A991.c.5 does not control single-level call preemption.
- c.6. Designed for automatic hand-off of cellular radio calls to other cellular switches or automatic connection to a centralized subscriber data base common to more than one switch;
- c.7. Containing “stored program controlled” digital cross connect equipment with “digital transfer rate” exceeding 8.5 Mbit/s per port.
- c.8. “Common channel signaling” operating in either non-associated or quasi-associated mode of operation;
- c.9. “Dynamic adaptive routing”;
- c.10. Being “packet” switches, circuit switches and routers with ports or lines exceeding any of the following:
  - c.10.a. A “data signaling rate” of 64,000 bit/s per channel for a “communications channel controller”; or
  - Note: 5A991.c.10.a does not control multiplex composite links composed only of communication channels not individually controlled by 5A991.b.1.
  - c.10.b. A “digital transfer rate” of 33 Mbit/s for a “network access controller” and related common media;
  - Note: 5A991.c.10 does not control “packet” switches or routers with ports or lines not exceeding the limits in 5A991.c.10.
- c.11. “Optical switching”;
- c.12. Employing ‘Asynchronous Transfer Mode’ (‘ATM’) techniques.
d. Optical fibers and optical fiber cables of more than 50 m in length designed for single mode operation;
e. Centralized network control having all of the following characteristics:
- e.1. Receives data from the nodes; and
- e.2. Process these data in order to provide control of traffic not requiring operator decisions, and thereby performing “dynamic adaptive routing”;
- Note: 5A991.e does not preclude control of traffic as a function of predictable statistical traffic conditions.
f. Phased array antennas, operating above 10.5 GHz, containing active elements and distributed parts or components, and designed to permit electronic control of beam shaping and pointing, except for landing systems with instruments meeting International Civil Aviation Organization (ICAO) standards (microwave landing systems (MLS)).
g. Mobile communications equipment, not elsewhere specified, and parts, electronic assemblies and components therefor; or
h. Radio relay communications equipment designed for use at frequencies equal to or exceeding 19.7 GHz and parts and components therefor, not elsewhere specified.

5B991 Telecommunications test equipment not elsewhere specified.

5C991 Preforms of glass or of any other material optimized for the manufacture of optical fibers controlled by 5A991.

5D991 “Software” specially designed or modified for the “development,” “production” or “use” of equipment controlled by 5A991 and 5B991, and “dynamic adaptive routing” software, not specified by the Export Control List, as follows:

a. “Software”, other than in machine-executable form, specially designed for “dynamic adaptive routing”.
b. [Reserved]

5E991 “Technology” for the “development”, “production” or “use” of equipment controlled by 5A991 or 5B991, or “software” controlled by 5D991, and other “technologies,” as follows:

Related Definitions:

1) ‘Synchronous digital hierarchy’ (SDH) is a digital hierarchy providing a means to manage, multiplex, and access various forms of digital traffic using a synchronous transmission format on different types of media. The format is based on the Synchronous Transport Module (STM) that is defined by CCITT Recommendation G.703, G.707, G.708, G.709 and others yet to be published. The first level rate of ‘SDH’ is 155.52 Mbits/s.
2) ‘Synchronous optical network’ (SONET) is a network providing a means to manage, multiplex and access various forms of digital traffic using a synchronous transmission format on fiber optics. The format is the North America version of ‘SDH’ and also uses the Synchronous Transport Module (STM). However, it uses the Synchronous Transport Signal (STS) as the basic transport module with a first level rate of 51.81 Mbits/s. The SONET standards are being integrated into those of ‘SDH’.

a. Specific “technologies” as follows:
- a.1. “Technology” for the processing and application of coatings to optical fiber specially designed to make it suitable for underwater use;
- a.2. “Technology” for the “development” of equipment employing ‘Synchronous Digital Hierarchy’ (‘SDH’) or ‘Synchronous Optical Network’ (‘SONET’) techniques.

5A992 “Information security” equipment, as follows:

a. [Reserved]
b. [Reserved]
c. Goods that would otherwise be controlled by Export Control List entry 1-5.A.2.a, but are not controlled because they meet Note 3 of Category 5, Part 2 of the Export Control List.

5D992 “Information security” “software”, as follows:

Related Controls: This entry does not control “software” designed or modified to protect against malicious computer damage, e.g., viruses, where the use of “cryptography” is limited to authentication, digital signature and/or the decryption of data or files.
a. [Reserved]
b. [Reserved]
c. “Software” that would otherwise be controlled by Export Control List entry 1-5.D.2., but is not controlled because it meets Note 3 of Category 5, Part 2 of the Export Control List.

5E992 “Information security” “technology” according to the General Technology Note, as follows:

a. [Reserved]
b. “Technology”, not elsewhere specified, for the “use” of commodities controlled by 5A992.c or “software” controlled by 5D992.c.

6A991 Marine or terrestrial acoustic equipment, not elsewhere specified, capable of detecting or locating underwater objects or features or positioning surface vessels or underwater vehicles; and specially designed parts and components, not elsewhere specified

6A992 Optical Sensors as follows:

a. Image intensifier tubes and specially designed components therefor, as follows:
- a.1. Image intensifier tubes having all the following:
  - a.1.a. A peak response in wavelength range exceeding 400 nm, but not exceeding 1,050 nm;
  - a.1.b. A microchannel plate for electron image amplification with a hole pitch (center-to-center spacing) of less than 25 micrometers; and
  - a.1.c. Having any of the following:
    - a.1.c.1. An S-20, S-25 or multi-alkali photocathode; or
    - a.1.c.2. A GaAs or GaInAs photocathode;
- a.2. Specially designed microchannel plates having both of the following characteristics:
  - a.2.a. 15,000 or more hollow tubes per plate; and
  - a.2.b. Hole pitch (center-to-center spacing) of less than 25 micrometers.
b. Direct view imaging equipment operating in the visible or infrared spectrum, incorporating image intensifier tubes having the characteristics listed in 6A992.a.1.

6A993 Cameras as follows:

a. Cameras that would otherwise be controlled by Export Control List entry 1-6.A.3.b.4.b but are not controlled because they meet Note 3 to Export Control List entry 1-6.A.3.b.4;
b. [Reserved]

6A994 Optics as follows:

a. Optical filters:
- a.1. For wavelengths longer than 250 nm, comprised of multi-layer optical coatings and having either of the following:
  - a.1.a. Bandwidths equal to or less than 1 nm Full Width Half Intensity (FWHI) and peak transmission of 90% or more; or
  - a.1.b. Bandwidths equal to or less than 0.1 nm FWHI and peak transmission of 50% or more;
- Note: 6A994 does not control optical filters with fixed air gaps or Lyot-type filters.
- a.2. For wavelengths longer than 250 nm, and having all of the following:
  - a.2.a. Tunable over a spectral range of 500 nm or more;
  - a.2.b. Instantaneous optical bandpass of 1.25 nm or less;
  - a.2.c. Wavelength resettable within 0.1 ms to an accuracy of 1 nm or better within the tunable spectral range; and
  - a.2.d. A single peak transmission of 91% or more;
- a.3. Optical opacity switches (filters) with a field of view of 30° or wider and a response time equal to or less than 1 ns;
b. Fluoride fiber cable, or optical fibers therefor, having an attenuation of less than 4 dB/km in the wavelength range exceeding 1,000 nm but not exceeding 3,000 nm.

6A995 “Lasers” as follows:

Related definitions:

1) ‘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.
- a. Carbon dioxide (CO₂) “lasers” having any of the following:
  - a.1. A continuous wave (CW) output power exceeding 10 kW;
  - a.2. A pulsed output with a “pulse duration” exceeding 10 microseconds; and
    - a.2.a. An “average output power” exceeding 10 kW; or
    - a.2.b. A pulsed “peak power” exceeding 100 kW; or
  - a.3. A pulsed output with a “pulse duration” equal to or less than 10 microseconds; and
    - a.3.a. A pulse energy exceeding 5 J per pulse and “peak power” exceeding 2.5 kW; or
    - a.3.b. An “average output power” exceeding 2.5 kW;
- b. Semiconductor “lasers”, as follows:
  - b.1. Individual, single-transverse mode semiconductor “lasers” having:
    - b.1.a. An “average output power” exceeding 100 mW; or
    - b.1.b. A wavelength exceeding 1,050 nm;
  - b.2. Individual, multiple-transverse mode semiconductor “lasers”, or arrays of individual semiconductor “lasers”, having a wavelength exceeding 1,050 nm;
- c. Ruby “lasers” having an output energy exceeding 20 J per pulse;
- d. Non-“tunable” “pulsed lasers” having an output wavelength exceeding 975 nm but not exceeding 1,150 nm and having any of the following:
  - d.1. A “pulse duration” equal to or exceeding 1 ns but not exceeding 1 μs, and having any of the following:
    - d.1.a. A single transverse mode output and having any of the following:
      - d.1.a.1. A ‘wall-plug efficiency’ exceeding 12% and an “average output power” exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or
      - d.1.a.2. An “average output power” exceeding 20 W; or
    - d.1.b. A multiple transverse mode output and having any of the following:
      - d.1.b.1. A ‘wall-plug efficiency’ exceeding 18% and an “average output power” exceeding 30 W;
      - d.1.b.2. A “peak power” exceeding 200 MW; or
      - d.1.b.3. An “average output power” exceeding 50 W; or
  - d.2. A “pulse duration” exceeding 1 μs and having any of the following:
    - d.2.a. A single transverse mode output and having any of the following:
      - d.2.a.1. A ‘wall-plug efficiency’ exceeding 12% and an “average output power” exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or
      - d.2.a.2. An “average output power” exceeding 20 W; or
    - d.2.b. A multiple transverse mode output and having any of the following:
      - d.2.b.1. A ‘wall-plug efficiency’ exceeding 18% and an “average output power” exceeding 30 W; or
      - d.2.b.2. An “average output power” exceeding 500 W;
- e. Non-“tunable” continuous wave “(CW) lasers”, having an output wavelength exceeding 975 nm but not exceeding 1,150 nm and having any of the following:
  - e.1. A single transverse mode output and having any of the following:
    - e.1.a. A ‘wall-plug efficiency’ exceeding 12% and an “average output power” exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or
    - e.1.b. An “average output power” exceeding 50 W; or
  - e.2. A multiple transverse mode output and having any of the following:
    - e.2.a. A ‘wall-plug efficiency’ exceeding 18% and an “average output power” exceeding 30 W; or
    - e.2.b. An “average output power” exceeding 500 W;
  - Note: 6A995.e.2.b does not control multiple transverse mode, industrial “lasers” with output power less than or equal to 2 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 and/or delivery.
- f. Non-“tunable” “lasers”, having a wavelength exceeding 1,400 nm, but not exceeding 1555 nm andhaving any of the following:
  - f.1. An output energy exceeding 100 mJ per pulse and a pulsed “peak power” exceeding 1 W; or
  - f.2. An average or CW output power exceeding 1 W;
- g. Free electron “lasers.”

6A996 “Magnetometers”, “superconductive” electromagnetic sensors, and specially designed components therefor, as follows:

a. “Magnetometers”, not elsewhere specified, having a ‘sensitivity’ lower (better) than 1.0 nT (rms) per square root Hz.
Technical Note: For the purposes of 6A996, ‘sensitivity’ (noise level) is the root mean square of the device-limited noise floor which is the lowest signal that can be measured.
b. “Superconductive” electromagnetic sensors, components manufactured from “superconductive” materials:
- b.1. Designed for operation at temperatures below the “critical temperature” of at least one of their “superconductive” constituents (including Josephson effect devices or “superconductive” quantum interference devices (SQUIDS));
- b.2. Designed for sensing electromagnetic field variations at frequencies of 1 KHz or less; and
- b.3. Having any of the following characteristics:
  - b.3.a. Incorporating thin-film SQUIDS with a minimum feature size of less than 2 micrometers and with associated input and output coupling circuits;
  - b.3.b. Designed to operate with a magnetic field slew rate exceeding 1 x 10⁶ magnetic flux quanta per second;
  - b.3.c. Designed to function without magnetic shielding in the earth’s ambient magnetic field; or
  - b.3.d. Having a temperature coefficient less (smaller) than 0.1 magnetic flux quantum/K.

6A997 Gravity meters (gravimeters) for ground use, as follows:

a. Having a static accuracy of less (better) than 100 microgal; or
b. Being of the quartz element (Worden) type.

6A998 Radar systems, equipment and major components, not elsewhere specified, and specially designed components therefor, as follows:

a. Airborne radar equipment, not elsewhere specified, and specially designed components therefor.
b. “Space-qualified” “laser” radar or Light Detection and Ranging (LIDAR) equipment specially designed for surveying or for meteorological observation.
c. Millimeter wave enhanced vision radar imaging systems specially designed for rotary wing aircraft and having all of the following:
- c.1. Operates at a frequency of 94 GHz;
- c.2. An average output power of less than 20 mW;
- c.3. Radar beam width of 1 degree; and
- c.4. Operating range equal to or greater than 1500 m.

6A999 Specific processing equipment as follows:

a. Seismic detection equipment not controlled in paragraph c.
b. Radiation hardened TV cameras, not elsewhere specified.
c. Seismic intrusion detection systems that detect, classify and determine the bearing on the source of a detected signal.

6B995 Equipment, including tools, dies, fixtures or gauges, and other specially designed parts, components and accessories therefor, specially designed or modified for any of the following:

For the manufacture or inspection of:
- a.1. Free electron “laser” magnet wigglers;
- a.2. Free electron “laser” photo injectors;
b. For the adjustment, to required tolerances, of the longitudinal magnetic field of free electron “lasers”.

6C992 Optical sensing fibers that are modified structurally to have a ‘beat length’ of less than 500 mm (high birefringence) or optical sensor materials not specified by the Export Control List entry 1-6.C.2.b., and having a zinc content of equal to or more than 6% by ‘mole fraction.’

Related Definitions:

1) ‘Mole fraction’ is defined as the ratio of moles of ZnTe to the sum of the moles of CdTe and ZnTe present in the crystal.
2) ‘Beat length’ is the distance over which two orthogonally polarized signals, initially in phase, must pass in order to achieve a 2 Pi radian(s) phase difference.

6C994 Optical materials as follows:

a. Low optical absorption materials, as follows:
- a.1. Bulk fluoride compounds containing ingredients with a purity of 99.999% or better; or
- Note: 6C994.a.1 controls fluorides of zirconium or aluminum and variants.
- a.2. Bulk fluoride glass made from compounds controlled by the Export Control List entry 1-6.C.4.e.1;
b. ‘Optical fiber preforms’ made from bulk fluoride compounds containing ingredients with a purity of 99.999% or better, specially designed for the manufacture of ‘fluoride fibers’ controlled by 6A994.b.

Related Definitions:

1) ‘Fluoride fibers’ are fibers manufactured from bulk fluoride compounds.
2) ‘Optical fiber preforms’ are bars, ingots, or rods of glass, plastic or other materials that have been specially processed for use in fabricating optical fibers. The characteristics of the preform determine the basic parameters of the resultant drawn optical fibers.

6D991 “Software,” not elsewhere specified, specially designed for the “development”, “production”, or “use” of commodities controlled by the Export Control List entries 1-6.A.2, 1-6.A.3, or by entries 6A991, 6A996, 6A997, or 6A998 of this List.

6D992 “Software” specially designed for the “development” or “production” of equipment controlled by 6A992, 6A994, or 6A995.

6D993 Other “software” as follows:

a. Air Traffic Control (ATC) “software” application “programs” hosted on general purpose computers located at Air Traffic Control centers, and capable of automatically handing over primary radar target data (if not correlated with secondary surveillance radar (SSR) data) from the host ATC center to another ATC center.
b. “Software” specially designed for seismic intrusion detection systems in 6A999.c.
c. “Source Code” specially designed for seismic intrusion detection systems in 6A999.c.

6E991 “Technology” for the “development”, “production” or “use” of equipment controlled by 6A991, 6A996, 6A997, 6A998 or 6A999.c.

6E992 “Technology” for the “development” or “production” of equipment, materials or “software” controlled by 6A992, 6A994, or 6A995, 6B995, 6C992, 6C994, or 6D993.

6E993 Other “technology” as follows:

a. Optical fabrication technologies for serially producing optical parts and components at a rate exceeding 10 m²of surface area per year on any single spindle and having all of the following:
- a.1. Area exceeding 1 m²; and
- a.2. Surface figure exceeding λ/10 (rms) at the designed wavelength;
b. “Technology” for optical filters with a bandwidth equal to or less than 10 nm, a field of view (FOV) exceeding 40° and a resolution exceeding 0.75 line pairs per milliradian;
c. “Technology” for the “development” or “production” of cameras controlled by 6A993;
d. “Technology” “required” for the “development” or “production” of non-triaxial fluxgate “magnetometers” or non-triaxial fluxgate “magnetometer” systems, having any of the following:
- d.1. ‘Sensitivity’ lower (better) than 0.05 nT (rms) per square root Hz at frequencies of less than 1 Hz; or
- d.2. ‘Sensitivity’ lower (better) than 1 x 10^-3 nT (rms) per square root Hz at frequencies of 1 Hz or more.
e. “Technology” “required” for the “development” or “production” of infrared up-conversion devices having all of the following:
- e.1. A response in the wavelength range exceeding 700 nm but not exceeding 1500 nm; and
- e.2. A combination of an infrared photodector, light emitting diode (OLED), and nanocrystal to convert infrared light into visible light.
Technical Note: For the purposes of 6E993, ‘sensitivity’ (or noise level) is the root mean square of the device-limited noise floor which is the lowest signal that can be measured.

7A994 Navigation direction finding equipment, airborne communication equipment, aircraft inertial navigation systems, and other avionic equipment, including parts and components, not elsewhere specified.

7B994 Equipment for the test, inspection, or “production” of navigation and avionics equipment.

7D994 “Software”, not elsewhere specified, for the “development”, “production”, or “use” of navigation, airborne communication and other avionics.

7E994 “Technology,” not elsewhere specified, for the “development,” “production” or “use” of navigation, airborne communication, and other avionics equipment.

8A992 Vessels, marine systems or equipment, and specially designed parts and components therefor, and marine boilers and parts, components, and accessories therefor, as follows:

a. Underwater vision systems, as follows:
- a.1. Television systems (comprising camera, lights, monitoring and signal transmission equipment) having a limiting resolution when measured in air of more than 500 lines and specially designed or modified for remote operation with a submersible vehicle; or
- a.2. Underwater television cameras having a limiting resolution when measured in air of more than 700 lines;
- Technical Note: Limiting resolution in television is a measure of horizontal resolution usually expressed in terms of the maximum number of lines per picture height discriminated on a test chart, using IEEE Standard 208/1960 or any equivalent standard.
b. Photographic still cameras specially designed or modified for underwater use, having a film format of 35 mm or larger, and having autofocusing or remote focusing specially designed for underwater use;
c. Stroboscopic light systems, specially designed or modified for underwater use, capable of a light output energy of more than 300 J per flash;
d. Underwater camera equipment, not elsewhere specified;
e. Submersible vehicles, whether manned or unmanned, not elsewhere specified;
f. Vessels, not elsewhere specified, including inflatable boats, and specially designed parts and components therefor, not elsewhere specified;
g. Marine engines (both inboard and outboard) and submarine engines, not elsewhere specified, and specially designed parts and components therefor, not elsewhere specified;
h. Self-contained underwater breathing apparatus (scuba gear) and related equipment, not elsewhere specified;
i. Life jackets, inflation cartridges, compasses, wetsuits, masks, fins, weight belts, and dive computers;
j. Underwater lights and propulsion equipment;
k. Air compressors and filtration systems specially designed for filling air cylinders.
l. Marine boilers designed to have any of the following characteristics:
- l.1. Heat release rate (at maximum rating) equal to or in excess of 1,966.5 kW per cubic meter (190,000 BTU per hour per cubic foot) of furnace volume; or
- l.2. Ratio of steam generated in kilograms per hour (at maximum rating) to the dry weight of the boiler in kilograms equal to or in excess of 0.83.
m. Major components and accessories for marine boilers described in 8A992.l.

8D992 “Software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by 8A992.

8D999 “Software” specially designed for the operation of unmanned submersible vehicles used in the oil and gas industry.

8E992 “Technology” for the “development”, “production” or “use” of equipment controlled by 8A992.

9A990 Diesel engines, not elsewhere specified, and tractors and specially designed parts and components therefor, not elsewhere specified, as follows:

a. Diesel engines, not elsewhere specified, for trucks, tractors, and automotive applications of continuous brake horsepower of 298 kW (400 hp) or greater (performance based on SAE J1349 standard conditions of 100 kPa and 25°C)
b. Off highway wheel tractors of carriage capacity 9,071 kg (20,000 lb) or more; and major components and accessories, not elsewhere specified.
c. On-Highway tractors, with single or tandem rear axles rated for 9,071 kg (20,000 lb) per axel or greater and specially designed major components.

9A991 “Aircraft”, not elsewhere specified, and gas turbine engines and parts and components, not elsewhere specified, as follows:

a. “Aircraft” not elsewhere specified;
b. Aero gas turbine engines and parts and components specially designed therefor.
c. Parts and components, specially designed for “aircraft,” not elsewhere specified;
d. Pressurized “aircraft” breathing equipment, not elsewhere specified, and parts and components specially designed therefor, not elsewhere specified.

9A992 Complete canopies, harnesses, and platforms and electronic release mechanisms therefor, except such types as are in normal sporting use.

9B990 Vibration test equipment and specially designed parts and components, not elsewhere specified.

9B991 Specially designed equipment, tooling or fixtures for manufacturing or measuring gas turbine blades, vanes or tip shroud castings, as follows:

a. Automated equipment using non-mechanical methods for measuring airfoil wall thickness;
b. Tooling, fixtures or measuring equipment for the “laser”, water jet or electro-chemical machining/electro-discharge machining (ECM/EDM) hole drilling processes controlled by the Export Control List entry 1-9.E.3.c;
c. Ceramic core leaching equipment;
d. Ceramic core manufacturing equipment or tools;
e. Ceramic shell wax pattern preparation equipment;
f. Ceramic shell burn out or firing equipment.

9D990 “Software”, not elsewhere specified, for the “development” or “production” of equipment controlled by 9A990 or 9B990.

9D991 “Software”, for the “development” or “production” of equipment controlled by 9A991 or 9B991.

9E990 “Technology”, not elsewhere specified, for the “development” or “production” or “use” of equipment controlled by 9A990 or 9B990.

9E991 “Technology”, for the “development”, “production” or “use” of equipment controlled by 9A991 or 9B991.

9E993 Other “Technology”, not specified by the Export Control List entry 1-9.E.3, as follows:

a. Rotor blade tip clearance control systems employing active compensating casing “technology” limited to a design and development data base; or
b. Gas bearing for turbine engine rotor assemblies.

DEFINITIONS OF TERMS USED IN THIS LIST

This document contains the definitions of the terms used herein, in alphabetical order.

Note 1: These definitions apply throughout this List only. These definitions do not apply to the Import Control List, the Export Control List, or any other list, law or regulation in Canada.

“Aircraft”
- A fixed wing, swivel wing, rotary wing (helicopter), tilt rotor or tilt-wing airborne vehicle.
“Average output power”
- The total “laser” output energy, in joules, divided by the period over which a series of consecutive pulses is emitted, in seconds. For a series of uniformly-spaced pulses it is equal to the total “laser” output energy in a single pulse, in joules, multiplied by the pulse frequency of the “laser”, in Hertz.
“Basic gate propagation delay time”
- The propagation delay time value corresponding to the basic gate used in a “monolithic integrated circuit”. For a ‘family’ of “monolithic integrated circuits”, this may be specified either as the propagation delay time per typical gate within the given ‘family’ or as the typical propagation delay time per gate within the given ‘family’.
  - Technical Notes:
    - 1. “Basic gate propagation delay time” is not to be confused with the input/output delay time of a complex “monolithic integrated circuit”.
    - 2. ‘Family’ consists of all integrated circuits to which all of the following are applied as their manufacturing methodology and specifications except their respective functions:
      - a. The common hardware and software architecture;
      - b. The common design and process technology; and
      - c. The common basic characteristics.
“Circuit element”
- A single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
“Common channel signaling”
- A signaling method in which a single channel between exchanges conveys, by means of labelled messages, signaling information relating to a multiplicity of circuits or calls and other information such as that used for network management.
“Communications channel controller”
- The physical interface which controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.
“Critical temperature”
- (Sometimes referred to as the transition temperature) of a specific “superconductive” material is the temperature at which the material loses all resistance to the flow of direct electrical current.
“Cryptographic activation”
- Any technique that specifically activates or enables cryptographic capability of an item, by means of a mechanism implemented by the manufacturer of the item, where this mechanism is uniquely bound to any of the following:
- 1. A single instance of the item; or
- 2. One customer, for multiple instances of the item.
- Technical Notes:
- 1. “Cryptographic activation” techniques and mechanisms may be implemented as hardware, “software” or “technology”.
- 2. Mechanisms for “cryptographic activation” can, for example, be serial number-based licence keys or authentication instruments such as digitally signed certificates.
“Cryptography”
- The discipline which embodies principles, means and methods for the transformation of data in order to hide its information content, prevent its undetected modification or prevent its unauthorized use. “Cryptography” is limited to the transformation of information using one or more ‘secret parameters’ (e.g., crypto variables) or associated key management.
- Notes:
- 1. “Cryptography” does not include ‘fixed’ data compression or coding techniques.
- 2. “Cryptography” includes decryption.
- Technical Notes:
- 1. ‘Secret parameter’: a constant or key kept from the knowledge of others or shared only within a group.
- 2. ‘Fixed’: the coding or compression algorithm cannot accept externally supplied parameters (e.g., cryptographic or key variables) and cannot be modified by the user.
“CW Laser”
- A “laser” that produces a nominally constant output energy for greater than 0.25 seconds.
“Data (message) switching”
- The technique, including but not limited to store-and-forward or “packet” switching for:
- (a) accepting data groups (including messages, “packets” or other digital or telegraphic information groups which are transmitted as a composite whole);
- (b) Storing (buffering) data groups as necessary;
- (c) Processing part of all of the data groups, as necessary, for the purpose of:
  - (1) Control (routing, priority, formatting, code conversion, error control, retransmission or journaling);
  - (2) Transmission; or
  - (3) Multiplexing; and
- (d) Retransmitting (processed) data groups when transmission or receiving facilities are available.
“Data signaling rate”
- Means the rate, as defined in ITU Recommendation 53-36, taking into account that, for non-binary modulation, baud and bit per second are not equal. Bits for coding, checking and synchronization functions are to be included.
- NOTE: When determining the “data signaling rate”, servicing and administrative channels shall be excluded.
“Development”
- Is related to all stages prior to serial production, such as: design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts.
“Digital computer”
- Equipment which can, in the form of one or more discrete variables, perform all of the following:
- a. Accept data;
- b. Store data or instructions in fixed or alterable (writable) storage devices;
- c. Process data by means of a stored sequence of instructions which is modifiable; and
- d. Provide output of data.
- Technical Note:
- Modifications of a stored sequence of instructions include replacement of fixed storage devices, but not a physical change in wiring or interconnections.
“Digital transfer rate”
- The total bit rate of the information that is directly transferred on any type of medium. (See also “total digital transfer rate”).
“Discrete component”
- A separately packaged “circuit element” with its own external connections.
“Dynamic adaptive routing”
- Automatic rerouting of traffic based on sensing and analysis of current actual network conditions.
“Electronic assembly”
- A number of electronic components (i.e., “circuit elements”, “discrete components”, integrated circuits, etc.) connected together to perform (a) specific function(s), replaceable as an entity and normally capable of being disassembled.
“Hybrid integrated circuit”
- Any combination of integrated circuit(s), or integrated circuit with “circuit elements” or “discrete components” connected together to perform (a) specific function(s), and having all of the following characteristics:
- a. Containing at least one unencapsulated device;
- b. Connected together using typical integrated circuit (IC) production methods;
- c. Replaceable as an entity; and
- d. Not normally capable of being disassembled.
“Image enhancement”
- The processing of externally derived information-bearing images by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform). This does not include algorithms using only linear or rotational transformation of a single image, such as translation, feature extraction, registration or false colouration.
“Information security”
- All the means and functions ensuring the accessibility, confidentiality or integrity of information or communications, excluding the means and functions intended to safeguard against malfunctions. This includes “cryptography”, “cryptographic activation”, ‘cryptanalysis’, protection against compromising emanations and computer security.
- Technical Note:
- ‘Cryptanalysis’: the analysis of a cryptographic system or its inputs and outputs to derive confidential variables or sensitive data, including clear text. (ISO 7498-2-1988 (E), paragraph 3.3.18).
“Instantaneous bandwidth”
- The bandwidth over which output power remains constant within 3 dB without adjustment of other operating parameters.
“Laser”
- An item that produces spatially and temporally coherent light through amplification by stimulated emission of radiation.
“Local area network”
- A data communication system having all of the following characteristics:
- a. Allows an arbitrary number of independent ‘data devices’ to communicate directly with each other; and
- b. Is confined to a geographical area of moderate size (e.g., office building, plant, campus, warehouse).
- Technical Note:
- ‘Data device’ means equipment capable of transmitting or receiving sequences of digital information.
“Magnetometers”
- Are designed to detect magnetic fields from sources external to the instrument. They consist of a single magnetic field sensing element and associated electronics the output of which is a measure of the magnetic field.
“Media access unit”
- Equipment that contains one or more communication interfaces (“network access controller”, “communications channel controller”, modem or computer bus) to connect terminal equipment to a network.
“Microcomputer microcircuit”
- A “monolithic integrated circuit” or “multichip integrated circuit” containing an arithmetic logic unit (ALU) capable of executing general purpose instructions from an internal storage, on data contained in the internal storage.
- Technical Note:
- The internal storage may be augmented by an external storage.
“Microprocessor microcircuit”
- A “monolithic integrated circuit” or “multichip integrated circuit” containing an arithmetic logic unit (ALU) capable of executing a series of general purpose instructions from an external storage.
- Technical Note:
- The “microprocessor microcircuit” normally does not contain integral user-accessible storage, although storage present on-the-chip may be used in performing its logic function.
- Note:This definition includes chip sets which are designed to operate together to provide the function of a “microprocessor microcircuit”.
“Microprogram”
- A sequence of elementary instructions maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction into an instruction register.
“Monolithic integrated circuit”
- A combination of passive or active “circuit elements” or both which:
  - a. Are formed by means of diffusion processes, implantation processes or deposition processes in or on a single semiconducting piece of material, a so-called chip;
  - b. Can be considered as indivisibly associated; and
  - c. Perform the function(s) of a circuit.
“Multichip integrated circuit”
- Two or more “monolithic integrated circuits” bonded to a common “substrate”.
“Network access controller”
- A physical interface to a distributed switching network. It uses a common medium which operates throughout at the same “digital transfer rate” using arbitration (e.g., token or carrier sense) for transmission. Independently from any other, it selects data packets or data groups (e.g., IEEE 802) addressed to it. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.
“Object code”
- An equipment executable form of a convenient expression of one or more processes (“source code” (or source language)) which has been compiled by a programming system.
“Optical amplification”
- In optical communications, an amplification technique that introduces a gain of optical signals that have been generated by a separate optical source, without conversion to electrical signals, e.g., using semiconductor optical amplifiers, optical fibre luminescent amplifiers.
“Optical switching”
- The routing of or switching of signals in optical form without conversion to electrical signals.
“Overall current density”
- The total number of ampere-turns in the coil (i.e., the sum of the number of turns multiplied by the maximum current carried by each turn) divided by the total cross-section of the coil (comprising the superconducting filaments, the metallic matrix in which the superconducting filaments are embedded, the encapsulating material, any cooling channels, etc.).
“Packet”
- A group of binary digits including data and call control signals which is switched as a composite whole. The data, call control signals and possibly error control information are arranged in a specified format.
“Packet-mode operation”
- The transmission of data by means of addressed “packets” whereby a transmission channel is occupied for the duration of the “packet” only. The channel is then available for use by “packets” being transferred between different data terminal equipments. In certain data communication networks the data may be formatted into a “packet” or divided and then formatted into a number of “packets” (either by the data terminal equipment or by equipment within the network) for transmission and multiplexing purposes.
“Peak power”
- The highest power attained in the “pulse duration”.
“Principal element”
- An element is a “principal element” when its replacement value is more than 35% of the total value of the system of which it is an element. Element value is the price paid for the element by the manufacturer of the system, or by the system integrator. Total value is the normal international selling price to unrelated parties at the point of manufacture or consolidation of shipment.
“Production”
- Means all production stages, such as: product engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance.
“Program”
- A sequence of instructions to carry out a process in, or convertible into, a form executable by an electronic computer.
“Pulse duration”
- Duration of a “laser” pulse is the time between the half-power points on the leading edge and trailing edge of an individual pulse.
“Pulsed laser”
- A “laser” having a “pulse duration” that is less than or equal to 0.25 seconds.
“Real-time processing”
- The processing of data by a computer system providing a required level of service, as a function of available resources, within a guaranteed response time, regardless of the load of the system, when stimulated by an external event.
“Required”
- As applied to “technology”, refers to only that portion of “technology” which is peculiarly responsible for achieving or exceeding the controlled performance levels, characteristics or functions. Such “required” “technology” may be shared by different products.
“Signal processing”
- The processing of externally derived information-bearing signals by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform).
“Software”
- A collection of one or more “programs” or “microprograms” fixed in any tangible medium of expression.
“Source code”
- A convenient expression of one or more processes which may be turned by a programming system into equipment executable form (“object code” (or object language)).
“Space-qualified”
- Designed, manufactured, or qualified through successful testing, for operation at altitudes greater than 100 km above the surface of the Earth.
- Note:A determination that a specific item is “space-qualified” by virtue of testing does not mean that other items in the same production run or model series are “space-qualified” if not individually tested.
“Spectral efficiency”
- A figure of merit parametrized to characterize the efficiency of transmission system that uses complex modulation schemes such as QAM (quadrature amplitude modulation), Trellis coding, QSPK (Q-phased shift key), etc. It is defined as follows:
- “Spectral efficiency” = “Digital transfer rate” (bits/second) / 6 dB spectrum bandwidth (Hz).
“Stored program controlled”
- A control using instructions stored in an electronic storage that a processor can execute in order to direct the performance of predetermined functions.
- NOTE: Equipment may be “stored program controlled” whether the electronic storage is internal or external to the equipment.
“Substrate”
- A sheet of base material with or without an interconnection pattern and on which or within which “discrete components” or integrated circuits or both can be located.
“Superconductive”
- Refers to materials, (i.e., metals, alloys or compounds) which can lose all electrical resistance (i.e., which can attain infinite electrical conductivity and carry very large electrical currents without Joule heating).
- Technical Note:
- The “superconductive” state of a material is individually characterised by a “critical temperature”, a critical magnetic field, which is a function of temperature, and a critical current density which is, however, a function of both magnetic field and temperature.
“Technology”
- means ‘technical data’ and any form of technical assistance, such as providing instruction, training, consulting or technical advice services or transferring know-how or technical data.
- Technical Note:
  1. ‘Technical data’ includes blueprints, technical drawings, photographic imagery, computer software, models, formulas, engineering designs and specifications, technical and operating manuals and any technical information or know-how.
“Terminal interface equipment”
- Equipment at which information enters or leaves the telecommunication systems, e.g., telephone, data device, computer, facsimile device.
“Total digital transfer rate”
- The number of bits, including line coding, overhead and so forth per unit time passing between corresponding equipment in a digital transmission system. (See also “digital transfer rate”)
“Tunable”
- The ability of a “laser” to produce a continuous output at all wavelengths over a range of several “laser” transitions. A line selectable “laser” produces discrete wavelengths within one “laser” transition and is not considered “tunable”.
“Use”
- Operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing.
“User accessible programmability”
- The facility allowing a user to insert, modify or replace “programs” by means other than:
  - a. A physical change in wiring or interconnections; or
  - b. The setting of function controls including entry of parameters.
“Vacuum electronic devices”
- Electronic devices based on the interaction of an electron beam with an electromagnetic wave propagating in a vacuum circuit or interacting with radio-frequency vacuum cavity resonators. “Vacuum electronic devices” include klystrons, travelling-wave tubes, and their derivatives.

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Date Modified:: 2022-05-10

Restricted Goods and Technologies List

3A991 Electronic devices and components, as follows:

3A992 General purpose electronic equipment, as follows:

3A999 Specific processing equipment, not elsewhere specified, as follows:

3B991 Equipment for the manufacture of electronic parts, components and materials, and specially designed parts, components and accessories therefor, as follows:

3B992 Equipment for the inspection or testing of electronic components and materials, and specially designed parts, components and accessories therefor, as follows:

3C992 Positive resists, designed for semiconductor lithography specially adjusted (optimized) for use at wavelengths between 370 and 193 nm.

4A994 Computers, “electronic assemblies” and related equipment, and specially designed parts and components therefor, as follows:

TECHNICAL NOTE ON ‘ADJUSTED PEAK PERFORMANCE’ (‘APP’)

OUTLINE OF ‘APP’ CALCULATION METHOD

4D993 “Program” proof and validation “software,” “software” allowing the automatic generation of “source codes,” and operating system “software” that are specially designed for “real-time processing” equipment, as follows:

4D994 “Software”, specially designed or modified for the “development”, “production”, or “use” of equipment controlled by the Export Control List entry 6-13.A or entry 4A994 of this List.

4E992 “Technology”, for the “development,” “production,” or “use” of equipment controlled by 4A994, or “software” controlled by 4D993 or 4D994.

4E993 “Technology”, for the “development” or “production” of equipment designed for multi-data-stream processing.

5A991 Telecommunication equipment as follows:

5B991 Telecommunications test equipment not elsewhere specified.

5C991 Preforms of glass or of any other material optimized for the manufacture of optical fibers controlled by 5A991.

5D991 “Software” specially designed or modified for the “development,” “production” or “use” of equipment controlled by 5A991 and 5B991, and “dynamic adaptive routing” software, not specified by the Export Control List, as follows:

5E991 “Technology” for the “development”, “production” or “use” of equipment controlled by 5A991 or 5B991, or “software” controlled by 5D991, and other “technologies,” as follows:

5A992 “Information security” equipment, as follows:

5D992 “Information security” “software”, as follows:

5E992 “Information security” “technology” according to the General Technology Note, as follows:

6A991 Marine or terrestrial acoustic equipment, not elsewhere specified, capable of detecting or locating underwater objects or features or positioning surface vessels or underwater vehicles; and specially designed parts and components, not elsewhere specified

6A992 Optical Sensors as follows:

6A993 Cameras as follows:

6A994 Optics as follows:

6A995 “Lasers” as follows:

6A996 “Magnetometers”, “superconductive” electromagnetic sensors, and specially designed components therefor, as follows:

6A997 Gravity meters (gravimeters) for ground use, as follows:

6A998 Radar systems, equipment and major components, not elsewhere specified, and specially designed components therefor, as follows:

6A999 Specific processing equipment as follows:

6B995 Equipment, including tools, dies, fixtures or gauges, and other specially designed parts, components and accessories therefor, specially designed or modified for any of the following:

6C992 Optical sensing fibers that are modified structurally to have a ‘beat length’ of less than 500 mm (high birefringence) or optical sensor materials not specified by the Export Control List entry 1-6.C.2.b., and having a zinc content of equal to or more than 6% by ‘mole fraction.’

6C994 Optical materials as follows:

6D991 “Software,” not elsewhere specified, specially designed for the “development”, “production”, or “use” of commodities controlled by the Export Control List entries 1-6.A.2, 1-6.A.3, or by entries 6A991, 6A996, 6A997, or 6A998 of this List.

6D992 “Software” specially designed for the “development” or “production” of equipment controlled by 6A992, 6A994, or 6A995.

6D993 Other “software” as follows:

6E991 “Technology” for the “development”, “production” or “use” of equipment controlled by 6A991, 6A996, 6A997, 6A998 or 6A999.c.

6E992 “Technology” for the “development” or “production” of equipment, materials or “software” controlled by 6A992, 6A994, or 6A995, 6B995, 6C992, 6C994, or 6D993.

6E993 Other “technology” as follows:

7A994 Navigation direction finding equipment, airborne communication equipment, aircraft inertial navigation systems, and other avionic equipment, including parts and components, not elsewhere specified.

7B994 Equipment for the test, inspection, or “production” of navigation and avionics equipment.

7D994 “Software”, not elsewhere specified, for the “development”, “production”, or “use” of navigation, airborne communication and other avionics.

7E994 “Technology,” not elsewhere specified, for the “development,” “production” or “use” of navigation, airborne communication, and other avionics equipment.

8A992 Vessels, marine systems or equipment, and specially designed parts and components therefor, and marine boilers and parts, components, and accessories therefor, as follows:

8D992 “Software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by 8A992.

8D999 “Software” specially designed for the operation of unmanned submersible vehicles used in the oil and gas industry.

8E992 “Technology” for the “development”, “production” or “use” of equipment controlled by 8A992.

9A990 Diesel engines, not elsewhere specified, and tractors and specially designed parts and components therefor, not elsewhere specified, as follows:

9A991 “Aircraft”, not elsewhere specified, and gas turbine engines and parts and components, not elsewhere specified, as follows:

9A992 Complete canopies, harnesses, and platforms and electronic release mechanisms therefor, except such types as are in normal sporting use.

9B990 Vibration test equipment and specially designed parts and components, not elsewhere specified.

9B991 Specially designed equipment, tooling or fixtures for manufacturing or measuring gas turbine blades, vanes or tip shroud castings, as follows:

9D990 “Software”, not elsewhere specified, for the “development” or “production” of equipment controlled by 9A990 or 9B990.

9D991 “Software”, for the “development” or “production” of equipment controlled by 9A991 or 9B991.

9E990 “Technology”, not elsewhere specified, for the “development” or “production” or “use” of equipment controlled by 9A990 or 9B990.

9E991 “Technology”, for the “development”, “production” or “use” of equipment controlled by 9A991 or 9B991.

9E993 Other “Technology”, not specified by the Export Control List entry 1-9.E.3, as follows:

DEFINITIONS OF TERMS USED IN THIS LIST

Annex 1 - Partner Countries

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