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List of dual-use goods / category 3

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CATEGORY 3 — ELECTRONICS

 

3A - Equipment, assemblies and components

Note 1:

The status of equipment, devices and components described in 3A001 or 3A002 other than those described in 3A001.a.3. to 3A001.a.10., 3A001.a.12. or 3A001.a.13., which are specially designed for or have the same functional characteristics as other equipment, is determined by the status of such other equipment.

Note 2:

The status of integrated circuits described in 3A001.a.3. to 3A001.a.9., 3A001.a.12. or 3A001.a.13., which are programmed or designed, in a non-modifiable manner, for a specific function for other equipment, is determined by the status of the other equipment.

NB:

When the manufacturer or license applicant cannot determine the status of such other equipment, the status of integrated circuits is determined in 3A001.a.3. to 3A001.a.9., 3A001.a.12. and 3A001.a.13.

 

3A001 - Electronic goods, as follows:

a.

General purpose integrated circuits, as follows:

Note 1:

The status of wafers (finished or unfinished) in which function has been determined shall be evaluated based on the parameters of 3A001.a.

Note 2:

Integrated circuits include the following types:

“monolithic integrated circuits”;

“hybrid integrated circuits”;

“multi-chip integrated circuits”;

“film integrated circuits”, including silicon-on-sapphire integrated circuits;

“optical integrated circuits”;

“three-dimensional integrated circuits”.

1.

Integrated circuits designed or intended as radiation-resistant circuits to support any of the following:

a.

a total dose of 5 × 10 3 Gy (silicon) or more; 

b.

a dose rate of 5 × 10 6 Gy (silicon)/s or greater; Or  

c.

a neutron fluence (integrated flux) (1 MeV equivalent) of 5 × 10 13  n/cm 2 or greater on silicon, or its equivalent for other materials; 

Note:

Paragraph 3A001.a.1.c. does not cover metal-insulating-semiconductors (MIS).

2.

“Microprocessor microcircuits”, “microcomputer microcircuits”, microcontroller microcircuits, memory integrated circuits made from a compound semiconductor, analog-to-digital converters, digital-to-analog converters, electro-optical integrated circuits and “optical integrated circuits” for "signal processing", user-programmable logic devices, integrated circuits for neural networks, on-demand integrated circuits of which either the function or the status of the equipment in which they will be used is not known , fast Fourier transform (FFT) processors, electrically erasable programmable read only memories (EEPROMs), flash memories, static random access memories (SRAM), as follows:

a.

rated to operate at ambient temperatures above 398 K (125°C);

b.

intended to operate at an ambient temperature below 218 K (–55 °C); Or 

c.

designed to operate over the full range of ambient temperatures between 218 K (–55°C) and 398 K (125°C);

Note:

Paragraph 3A001.a.2. does not cover integrated circuits intended for civilian automobiles or trains.

3.

“Microprocessor microcircuits”, “microcomputer microcircuits” and microcontrol microcircuits, manufactured from a compound semiconductor and operating at a clock frequency above 40 MHz;

Note:

Paragraph 3A001.a.3. includes digital signal processors, digital matrix processors, and digital coprocessors.

Technical note:

'Non-volatile memories' are memories that retain data for a certain period of time after the power supply is turned off.

4.

Not used;

5.

Analog-to-digital (ADC) and digital-to-analog (DAC) converter integrated circuits, as follows:

a.

CAN having any of the following characteristics:

NB

SEE ALSO 3A101

1.

resolution of 8 bits or more but less than 10 bits, with a "sampling rate" greater than 1.3 giga samples per second (GSPS);

2.

 

resolution of 10 bits or more but less than 12 bits, with a "sampling rate" greater than 600 mega samples per second (MSPS);

3.

resolution of 12 bits or more but less than 14 bits, with a "sample rate" greater than 400 MSPS;

4.

 

resolution of 14 bits or more but less than 16 bits, with a "sampling rate" greater than 250 MSPS; Or

5.

resolution of 16 bits or more with a "sampling rate" greater than 65 MSPS;

 

NB

For integrated circuits that contain analog-to-digital converters and store or process digitized data, see 3A001.a.14.

 

Technical notes:

1.

A resolution of n bits corresponds to a quantization of 2 n levels. 

2.

The number of bits in the output word is equal to the resolution of the ADC.

3.

Output rate is the maximum output rate of the converter, regardless of architecture or oversampling.

4.

For 'multi-channel ADCs', the outputs are not aggregated and the output rate is the maximum output rate of any channel taken separately.

b.

Digital-to-analog converters (DACs) having any of the following:

1.

resolution of 10 bits or more with a 'conversion speed' greater than 3,500 MSPS; Or 

2.

resolution of 12 bits or more with a 'conversion speed' greater than 1250 MSPS and having one of the following characteristics:

a.

a settling time of less than 9 ns at 0.024% of full scale for a full scale step; Or 

b.

a 'spurious modulation dynamic range' (SFDR) greater than 68 dBc (carrier) when synthesizing a 100 MHz full-scale analog signal or the highest full-scale analog signal frequency specified under the 100 MHz.

Technical notes:

1.

The 'spurious modulation dynamic range' (SFDR) is defined as the ratio between the RMS value of the carrier frequency (maximum component of the signal) at the input to the DAC and the RMS value of the next loudest noise or the harmonic distortion component at its output.

2.

SFDR is determined directly from the specification table or characterization graphs of SFDR versus frequency.

3

A signal is said to be full scale when its amplitude is greater than -3 dBfs (full scale).

4.

'conversion speed' for CNAs:

a.

For conventional (non-interlaced) DACs, the 'conversion rate' is the speed at which the digital signal is converted to an analog signal and the output analog values ​​are changed by the DAC. For DACs in which the interlaced mode can be bypassed (interleaving factor equal to one), the DAC should be considered a conventional (non-interlaced) DAC;

b.

For interleaved DACs (upsampler DACs), the 'conversion speed' is defined as the conversion speed of the DAC divided by the smallest interleaving factor. For interleaved DACs, 'conversion speed' can be named in the following different ways:

input data rate

input word rate

input sample rate

maximum total throughput of the input bus

Maximum clock frequency for the DAC clock input.

6.

electro-optical integrated circuits and “optical integrated circuits” designed for “signal processing”, and having all of the following characteristics:

a.

one or more internal “laser” diodes;

b.

one or more internal photodetectors; And 

c.

optical waveguides;

7.

programmable logic networks having any of the following characteristics:

a.

a maximum number of single-wire digital inputs/outputs greater than 700; Or 

b.

a peak transfer rate per single channel serial transmitter equal to or less than 500 Gb/s;

Note:

Paragraph 3A001.a.7 includes:

complex programmable logic devices (CPLD);

programmable gate arrays (FPGA);

field-programmable logic arrays (FPLA);

User programmable interconnects (FPIC).

NB

For integrated circuits that include user-programmable logic devices combined with an analog-to-digital converter, see 3A001.a.14.

Technical notes:

1.

The maximum number of digital inputs/outputs specified in 3A001.a.7.a. also represents the maximum number of user inputs/outputs or the maximum number of inputs/outputs available, whether the integrated circuit is encapsulated or bare.

2.

The 'cumulative data transfer speed of the one-way serial transmitter' is the product of the data speed of that transmitter and the number of transmitters on the FPGA.

8.

Not used;

9.

integrated circuits for neural networks;

10.

on-demand integrated circuits of which either the function or the status of the equipment in which they will be used is not known to the manufacturer, having one of the following characteristics:

a.

more than 1,500 outings;

b.

Typical “base gate delay” less than 0.02 ns; Or 

c.

operating frequency above 3 GHz;

11.

digital integrated circuits, other than those described in 3A001.a.3. to 3A001.a.10. and 3A001.a.12., manufactured from any compound semiconductor and having either of the following two characteristics:

a.

equivalent number of doors more than 3,000 (two-way doors); Or 

b.

reversal frequency above 1.2 GHz;

12.

fast Fourier transform (FFT) processors, having a nominal runtime for a complex N-point fast Fourier transform of less than (N log 2  N)/20 480 ms, where N is the number of points;

Technical note:

When N is equal to 1024 points, the formula in 3A001.a.12. gives a runtime of 500 μs

13.

integrated circuits for a direct digital synthesizer having one of the following characteristics:

a.

a digital-to-analog converter (DAC) clock frequency equal to or greater than 3.5 GHz, and a DAC resolution equal to or greater than 10 bits but less than 12 bits; Or 

b.

a clock frequency equal to or greater than 1.25 GHz and a DAC resolution equal to or greater than 12 bits;

Technical note:

The DAC clock frequency can be referred to as the reference clock frequency or input clock frequency 3A001 continued

14.

Integrated circuits that perform or are programmable to perform all of the following functions:

a.

analog-to-digital conversions meeting one of the following conditions:

1.

resolution of 8 bits or more but less than 10 bits, with a "sampling rate" greater than 1.3 giga samples per second (GSPS);

2.

resolution of 10 bits or more but less than 12 bits, with a "sampling rate" greater than 1.0 GSPS;

3.

resolution of 12 bits or more but less than 14 bits, with a "sampling rate" greater than 1.0 GSPS;

4.

resolution of 14 bits or more but less than 16 bits, with a "sampling rate" greater than 400 mega samples per second (MSPS); Or

5.

resolution of 16 bits or more with a "sample rate" greater than 180 MSPS; And

b.

one of the following characteristics:

1.

storage of digitized data; Or

2.

processing of digital data;

NB1.

For analog-to-digital converter integrated circuits, see 3A001.a.5.a.

NB2.

For user-programmable logic devices, see 3A001.a.7.

Technical notes:

1.

A resolution of n bits corresponds to a quantization of 2 n levels.

2.

ADC resolution is the number of bits of the ADC digital output that represents the measured analog input. The number of effective bits (ENOB) is not used to determine the resolution of the ADC.

3.

For integrated circuits with non-interleaved "multi-channel ADCs", the "sample rate" is not aggregated and the "sample rate" is the maximum frequency of any channel taken separately.

4.

For integrated circuits with "interleaved ADCs" or "multi-channel ADCs" that are specified to operate in interleaved mode, the "sample rates" are aggregated and the "sample rate" is the maximum total frequency combined of all interleaved channels.

b.

microwave or millimeter wave assets, as follows:

Technical note:

For the purposes of 3A001.b., the peak saturated power output parameter may also be referred to in product data sheets as output power, saturated power output, maximum power output, maximum power output, peak, or modulation peak power output.

1.

electronic vacuum tubes and cathodes, as follows:

Note 1:

Paragraph 3A001.b.1. does not control tubes designed or intended to operate in any frequency band and having all of the following characteristics:

a.

does not exceed 31.8 GHz; And 

b.

is “allocated by the ITU” for radiocommunication services, but not for radiodetermination.

Note 2:

Paragraph 3A001.b.1. does not cover tubes not “qualified for space use” and having all of the following characteristics:

a.

an average output power equal to or less than 50 W; And 

b.

designed or intended to operate in any frequency band and having all of the following characteristics:

1.

exceeds 31.8 GHz but does not exceed 43.5 GHz; And 

2.

is “allocated by the ITU” for radiocommunication services, but not for radiodetermination.

a.

Traveling wave, pulsed or continuous wave 'electronic vacuum devices', as follows:

1.

devices operating on frequencies above 31.8 GHz;

2.

devices having a cathode heater having a rise time of less than 3 seconds to rated RF power;

3.

coupled cavity devices , or their derivatives, having a “fractional bandwidth” of more than 7% or a peak power of more than 2.5 kW;

4.

propeller devices or their derivatives, having any of the following characteristics:

a.

“instantaneous bandwidth” of more than one octave, and product of the average power (expressed in kW) by the frequency (expressed in GHz) greater than 0.5;

b.

“instantaneous bandwidth” of one octave or less and produces the average power (expressed in kW) by the frequency (expressed in GHz) greater than 1; Or 

c.

“qualified for space use”;

5.

devices having a "fractional bandwidth" greater than or equal to 10%, having any of the following characteristics:

a.

an annular electron beam;

b.

a non-axisymmetric electron beam; Or

c.

multiple electron beams;

b.

'electronic vacuum devices' cross-field amplifiers having a gain greater than 17 dB;

c.

thermoelectronic cathodes for 'vacuum electronic devices' producing an emission current density at rated operating conditions exceeding 5 A/cm 2 or a pulsed (non-continuous) current density at rated operating conditions exceeding 10 A/cm 2 ;

d.

'electronic vacuum devices' capable of operating in 'dual mode'.

Technical note:

The term 'bi-mode' means that the current beam of the 'vacuum electronic device' can be intentionally changed from continuous wave operation to pulsed mode operation using a gate, the power peak modulation output obtained being greater than the continuous wave output power.

2.

microwave “monolithic integrated circuit” power amplifiers, having any of the following characteristics:

a.

intended to operate at frequencies above 2.7 GHz and up to 6.8 GHz, having a “fractional bandwidth” greater than 15%, and having any of the following characteristics:

1.

a peak saturated power output greater than 75 W (48.75 dBm) at any frequency above 2.7 GHz and up to 2.9 GHz;

2.

a peak saturated power output greater than 55 W (47.4 dBm) at any frequency above 2.9 GHz and up to 3.2 GHz;

3.

a saturated peak power output greater than 40 W (46 dBm) at any frequency above 3.2 GHz and up to 3.7 GHz; Or 

4.

a saturated peak power output greater than 20 W (43 dBm) at any frequency above 3.7 GHz and up to 6.8 GHz;

b.

intended to operate at frequencies above 6.8 GHz and up to 16 GHz, having a "fractional bandwidth" greater than 10%, and having any of the following characteristics:

1.

a peak saturated power output greater than 10 W (40 dBm) at any frequency above 6.8 GHz and up to 8.5 GHz; Or 

2.

a peak saturated power output greater than 5 W (37 dBm) at any frequency above 8.5 GHz and up to 16 GHz;

c.

intended to operate with a peak saturated power output greater than 3 W (34.77 dBm) at any frequency above 16 GHz and up to 31.8 GHz, and having a “fractional bandwidth” greater than 10%;

d.

with a saturated peak power output greater than 0.1 nW (-70 dBm) at any frequency above 31.8 GHz and up to 37 GHz;

e.

intended to operate with a peak saturated power output greater than 1 W (30 dBm) at any frequency above 37 GHz and up to 43.5 GHz, and having a “fractional bandwidth” greater than 10%;

f.

intended to operate with a peak saturated power output greater than 31.62 mW (15 dBm) at any frequency above 43.5 GHz and up to 75 GHz, and having a “fractional bandwidth” greater than 10%;

g.

intended to operate with a saturated peak power output greater than 10 mW (10 dBm) at any frequency above 75 GHz and up to 90 GHz, and having a “fractional bandwidth” greater than 5%; Or 

h.

intended to operate with a peak saturated power output greater than 0.1 nW (–70 dBm) at any frequency above 90 GHz;

Note 1:

Not used.

Note 2:

The status of monolithic microwave integrated circuits whose intended operating frequency includes listed frequencies in more than one frequency range, as defined in 3A001.b.2.a through 3A001.b.2.h, is determined by the minimum saturated peak power output threshold.

Note 3:

Notes 1 and 2 to Chapter 3A mean that 3A001.b.2. does not cover monolithic microwave integrated circuits when these are specially designed for other applications, for example: telecommunications, radars, automobiles.

3.

discrete microwave transistors having any of the following characteristics:

a.

intended to operate at frequencies above 2.7 GHz and up to 6.8 GHz, and having any of the following characteristics;

1.

a saturated peak power output greater than 400 W (56 dBm) at a frequency greater than 2.7 GHz and up to 2.9 GHz;

2.

a saturated peak power output greater than 205 W (53.12 dBm) at a frequency greater than 2.9 GHz and up to 3.2 GHz;

3.

a saturated peak power output greater than 115 W (50.61 dBm) at any frequency above 3.2 GHz and up to 3.7 GHz; Or 

4.

a saturated peak power output greater than 60 W (47.78 dBm) at a frequency greater than 3.7 GHz and up to 6.8 GHz;

b.

intended to operate at frequencies above 6.8 GHz and up to 31.8 GHz, and having any of the following characteristics;

1.

a saturated peak power output greater than 50 W (47 dBm) at a frequency greater than 6.8 GHz and up to 8.5 GHz;

2.

a saturated peak power output greater than 15 W (41.76 dBm) at a frequency greater than 8.5 GHz and up to 12 GHz;

3.

a saturated peak power output greater than 40 W (46 dBm) at a frequency greater than 12 GHz and up to 16 GHz; Or 

4.

a saturated peak power output greater than 7 W (38.45 dBm) at a frequency greater than 16 GHz and up to 31.8 GHz;

c.

intended to operate with a peak saturated power output greater than 0.5 W (27 dBm) at any frequency above 31.8 GHz and up to 37 GHz;

d.

intended to operate with a peak saturated power output greater than 1 W (30 dBm) at any frequency above 37 GHz and up to 43.5 GHz;

e.

intended to operate with a peak saturated power output greater than 0.1 nW (–70 dBm) at any frequency above 43.5 GHz;

Note 1:

The status of monolithic microwave integrated circuits whose intended operating frequency includes listed frequencies in more than one frequency range, as defined in 3A001.b.2.a through 3A001.b.2.e, is determined by the minimum saturated peak power output threshold.

Note 2:

Paragraph 3A001.b.3. includes single dice, dice mounted on stands, or dice mounted on sets. Some discrete transistors are also known as power amplifiers; however, the status of these discrete transistors is defined in 3A001.b.3.

4.

microwave semiconductor amplifiers and assemblies/modules comprising microwave semiconductor amplifiers, having any of the following characteristics:

a.

intended to operate at frequencies above 2.7 GHz and up to 6.8 GHz, having a “fractional bandwidth” greater than 15%, and having any of the following characteristics:

1.

a saturated peak power output greater than 500 W (57 dBm) at a frequency greater than 2.7 GHz and up to 2.9 GHz;

2.

a saturated peak power output greater than 270 W (54.3 dBm) at a frequency greater than 2.9 GHz and up to 3.2 GHz;

3.

a saturated peak power output greater than 200 W (53 dBm) at a frequency greater than 3.2 GHz and up to 3.7 GHz; Or 

4.

a saturated peak power output greater than 90 W (49.54 dBm) at a frequency greater than 3.7 GHz and up to 6.8 GHz;

b.

intended to operate at frequencies above 6.8 GHz and up to 31.8 GHz, having a "fractional bandwidth" greater than 10%, and having any of the following:

1.

a saturated peak power output greater than 70 W (48.54 dBm) at a frequency greater than 6.8 GHz and up to 8.5 GHz;

2.

a saturated peak power output greater than 50 W (47 dBm) at a frequency greater than 8.5 GHz and up to 12 GHz;

3.

a saturated peak power output greater than 30 W (44.77 dBm) at a frequency greater than 12 GHz and up to 16 GHz; Or 

4.

a saturated peak power output greater than 20 W (43 dBm) at a frequency greater than 16 GHz and up to 31.8 GHz;

c.

intended to operate with a peak saturated power output greater than 0.5 W (27 dBm) at any frequency above 31.8 GHz and up to 37 GHz;

d.

intended to operate with a saturated peak power output greater than 2 W (33 dBm) at any frequency above 37 GHz and up to 43.5 GHz, and having a “fractional bandwidth” greater than 10%;

e.

intended to operate at frequencies above 43.5 GHz and having any of the following characteristics:

1.

a saturated peak power output greater than 0.2 W (23 dBm) at any frequency above 43.5 GHz and up to 75 GHz, and having a “fractional bandwidth” greater than 10%;

2.

a saturated peak power output greater than 20 mW (13 dBm) at any frequency above 75 GHz and up to 90 GHz, and having a “fractional bandwidth” greater than 5%; Or 

3.

a saturated peak power output greater than 0.1 nW (-70 dBm) at any frequency above 90 GHz; Or 

f. Not used

 

NB 1 For “MMIC” amplifiers, see 3A001.b.2.

NB2.

For 'transmit/receive modules' and 'transmit modules', see 3A001.b.12.

NB3 .

For harmonic converters and mixers designed to extend the operating range or frequency range of signal analyzers, signal generators, network analyzers, or microwave test receivers, see 3A001.b.7.

Note 1:

Not used.

Note 2:

The status of products whose intended operating frequency includes frequencies listed in more than one frequency range, as defined in 3A001.b.4.a. in 3A001.b.4.e., is determined by the minimum saturated peak power output threshold.

Note 3:

Paragraph 3A001.b.4. includes transmit/receive modules and transmit modules.

5.

electronically or magnetically tunable band-pass or band-stop filters, comprising more than 5 tunable resonators capable of tuning over a frequency band of 1.5:1 (f max /f min ) in less than 10 μs and having one of the following characteristics:

a.

bandwidth of more than 0.5% of the center frequency; Or 

b.

rejection band of less than 0.5% of the center frequency;

6.

Not used;

7.

harmonic converters and mixers having any of the following characteristics:

a.

designed to extend the frequency range of “signal analyzers” beyond 90 GHz;

b.

designed to extend the operating range of signal generators as follows:

1.

beyond 90 GHz;

2.

at an output power greater than 100 mW (20 dBm) anywhere in the frequency range between 43.5 GHz and 90 GHz;

c.

designed to extend the operating range of network analyzers as follows:

1.

beyond 110 GHz;

2.

at an output power greater than 31.62 mW (15 dBm) anywhere in the frequency range between 43.5 GHz and 90 GHz;

3.

at an output power greater than 1 mW (0 dBm) anywhere in the frequency range between 90 GHz and 110 GHz; Or 

d.

designed to extend the frequency range of microwave test receivers beyond 110 GHz;

8.

microwave power amplifiers containing 'electronic vacuum devices' specified in 3A001.b.1. and having all of the following characteristics:

a.

operation at frequencies above 3 GHz;

b.

ratio of average output power to mass greater than 80 W/kg; And 

c.

volume less than 400 cm 3 ;

Note:

Paragraph 3A001.b.8. does not cover equipment designed or intended to operate in any frequency band “allocated by the ITU” for radiocommunication services, but not for radiolocation.

9.

microwave power modules comprising at least one 'electronic vacuum device' with traveling waves, a "monolithic microwave integrated circuit" ("MMIC") and an integrated electronic power conditioner and having all of the following characteristics ::

a.

'rise time' less than 10 seconds;

b.

volume less than the maximum rated power in watts multiplied by 10 cm 3 /W; And 

c.

“instantaneous bandwidth” of more than one octave (f max > 2f min ) and having one of the following characteristics: 

1.

for frequencies equal to or below 18 GHz, RF output power greater than 100 W; Or

2.

a frequency greater than 18 GHz;

Technical notes:

1.

For the purpose of calculating the volume referred to in 3A001.b.9.b., the following example is provided: for a maximum rated power of 20 W, the volume would be: 20 W × 10 cm 3 /W = 200 cm 3 .

2.

The 'rise time' referred to in 3A001.b.9.b. designates the time between complete shutdown and total availability, i.e. it includes the module preheating time.

10.

Oscillators or sets of oscillators intended to operate with single sideband (SSB) phase noise, expressed in dBc/Hz, less than (better) -(126 + 20log 10 F — 20log 10 f) at any point the range of 10 Hz ≤ F ≤ 10 kHz;

Technical note:

In 3A001.b.10., F represents the offset from the operating frequency expressed in Hz and f represents the operating frequency expressed in MHz.

11.

“Electronic assemblies” “frequency synthesizers” having a “frequency switching time” having any of the following characteristics:

a.

less than 143 ps;

b.

less than 100 μs for any frequency change greater than 1.6 GHz in the synthesized frequency range between 4.8 GHz and 10.6 GHz;

c.

Not used

d.

less than 500 μs for any frequency change greater than 550 MHz in the synthesized frequency range between 31.8 GHz and 37 GHz;

e.

less than 1 ms for any frequency change greater than 2.2 GHz in the synthesized frequency range between 37 GHz and 90 GHz;

f.

Not used

g.

less than 1 ms in the synthesized frequency range above 90 GHz;

Technical note:

A 'frequency synthesizer' is any type of frequency source, regardless of the technique actually used, providing, from one or more outputs, multiple simultaneous or selectable output frequencies, controlled by, derived from or subject to a smaller number of standard (or pilot) frequencies.

NB:

For general purposes, “signal analyzers,” signal generators, network analyzers, and microwave test receivers, see 3A002.c., 3A002.d., 3A002.e. and 3A002.f. respectively.

12.

'transmit/receive modules', 'transmit/receive MMIC', 'transmit modules' and 'transmit MMIC' intended to operate at frequencies above 2.7 GHz and having all of the following characteristics:

a.

a saturated peak power output (in watts), P sat , greater than 505.62 divided by the maximum operating frequency (in GHz) squared [P sat >505.62 W*GHz 2 /f GHz 2 ] for any channel;

b.

a “fractional bandwidth” of 5% or more for any channel;

c.

a planar side of length d (in cm) equal to or less than 15 divided by the lowest operating frequency in GHz [d ≤ 15 cm*GHz*N/f GHz ], where N is the number of channels of transmission or transmission/reception; And

d.

an electronically variable phase shifter per channel.

Technical notes:

1.

A 'transmit/receive module' is a multi-function "electronic assembly" that provides bi-directional adjustment of amplitude and phase for the transmission and reception of signals.

2.

A 'transmission module' is an "electronic assembly" which provides amplitude and phase adjustment for signal transmission.

3.

A 'Transmit/Receive MMIC' is a multi-function "MMIC" that provides bi-directional amplitude and phase adjustment for transmitting and receiving signals.

4.

A 'transmission MMIC' is an "MMIC" that provides amplitude and phase adjustment for signal transmission.

5.

2.7 GHz should be used as the lowest operating frequency (f GHz ) in the formula in 3A001.b.12.c. for transmission/reception or transmission modules whose operating range is down to 2.7 GHz and below [d≤15 cm*GHz*N/2.7 GHz].

6.

Paragraph 3A001.b.12. applies to 'transmit/receive modules' and 'transmit modules' whether or not equipped with a heat sink. The value of d in 3A001.b.12.c. does not include any portion of the 'transmit/receive module' or 'transmit module' that acts as a heat sink.

7.

The 'transmit/receive modules', 'transmit modules', 'transmit/receive MMIC' and 'transmit MMIC' may or may not be equipped with N integrated radiating antenna elements, where N is the number of transmit channels or transmission/reception.

c.

devices using acoustic waves, as follows, and specially designed components therefor:

1.

devices using surface acoustic waves and grazing (shallow) acoustic waves, having any of the following characteristics:

a.

carrier frequency above 6 GHz;

b.

carrier frequency greater than 1 GHz but not exceeding 6 GHz and having any of the following characteristics:

1.

'side lobe frequency rejection' greater than 65 dB;

2.

product of the maximum propagation delay (expressed in μs) by the bandwidth (expressed in MHz) greater than 100;

3.

bandwidth greater than 250 MHz; Or 

4.

dispersive propagation time greater than 10 μs; Or 

c.

carrier frequency of 1 GHz or less and having one of the following characteristics:

1.

product of the maximum propagation delay (expressed in μs) by the bandwidth (expressed in MHz) greater than 100;

2.

dispersive propagation time greater than 10 μs; Or 

3.

'side-lobe frequency rejection' greater than 65 dB and bandwidth greater than 100 MHz;

Technical note:

'Side lobe frequency rejection' is the maximum rejection value specified in the datasheet.

2.

devices using acoustic (volume) waves that allow direct signal processing at frequencies above 6 GHz;

3.

acousto-optic “signal processing” devices, using an interaction between acoustic waves (volume or surface) and light waves allowing direct processing of the signal or images, including spectral analysis, correlation or convolution;

Note:

Paragraph 3A001.c. does not control devices using acoustic waves that have only a single capability of band-pass filtering, low-pass filtering, high-pass filtering or notch filtering, or a resonance function.

d.

electronic devices or circuits containing components made from "superconductive" materials, specially designed to operate at temperatures below the "critical temperature" of at least one of the "superconducting" constituents and having any of the following characteristics:

1.

current switching for digital circuits using “superconducting” gates with a product of the propagation time per gate (expressed in seconds) and the power dissipated per gate (expressed in watts) less than 10 – 14  J; Or 

2.

frequency selection at all frequencies using resonant circuits having quality factors (Q) exceeding 10,000;

e.

high energy devices, as follows:

1.

'elements' as follows:

a.

'primary elements' having any of the following characteristics at 20°C:

1.

an 'energy density' greater than 550 Wh/kg and a 'continuous power density' greater than 50 W/kg; Or

2.

an 'energy density' greater than 50 Wh/kg and a 'continuous power density' greater than 350 W/kg; Or

b.

'secondary elements' having an 'energy density' greater than 350 Wh/kg at 20°C;

 

Technical notes:

1.

For the purposes of 3A001.e.1., 'energy density' (Wh/kg) is calculated from the rated voltage, multiplied by the rated capacity in ampere hours (Ah), divided by the mass in kilograms. If the nominal capacity is not indicated, the energy density is calculated from the nominal voltage squared then multiplied by the discharge duration expressed in hours and divided by the discharge resistance in ohms and the mass in kilograms.

2.

For the purposes of 3A001.e.1, 'element' means an electrochemical device, having positive and negative electrodes and an electrolyte, that constitutes a source of electrical energy. This is the basic component of a cell or battery.

3.

For the purposes of 3A001.e.1.a., 'primary element' means an 'element' that is not designed to be charged by any other source.

4.

For the purposes of 3A001.e.1.b., 'secondary element' means an 'element' designed to be charged by an external electrical source.

Note:

Paragraph 3A001.e.1. does not control batteries, including single cell cells and batteries.

2.

capacitors with high energy storage capacity, as follows:

NB

SEE ALSO 3A201.a. and the list of war materials.

a.

single discharge capacitors having a repetition frequency less than 10 Hz and having all of the following characteristics:

1.

rated voltage equal to or greater than 5 kV;

2.

energy density equal to or greater than 250 J/kg; And 

3.

total energy equal to or greater than 25 kJ;

b.

capacitors having a repetition frequency of 10 Hz or more (successively discharged) and having all of the following characteristics:

1.

rated voltage equal to or greater than 5 kV;

2.

energy density equal to or greater than 50 J/kg;

3.

total energy equal to or greater than 100 J; And 

4.

lifespan equal to or greater than 10,000 charge/discharge cycles;

3.

“Superconducting” electromagnets and solenoids, specially designed for a full charge/discharge time of less than one second and having all of the following characteristics:

NB

SEE ALSO 3A201.b.

Note:

Section 3A001.e.3. does not control “superconductive” electromagnets or solenoids specially designed for magnetic resonance imaging (MRI) medical equipment.

a.

energy delivered during discharge greater than 10 kJ during the first second;

b.

inner diameter of current-carrying windings greater than 250 mm; And 

c.

designed for a magnetic induction greater than 8 T or an “overall current density” inside the windings of more than 300 A/mm 2 ;

4.

solar cells, cell interconnection window assemblies, solar panels and photovoltaic arrays “space qualified” and having a minimum average efficiency greater than 20% at an operating temperature of 301 K (28 °C) under simulated 'AM0' luminous flux, with an irradiance of 1,367 watts per square meter (W/m 2 );

Technical note:

By 'AM0' or 'zero air mass' we mean the spectrum of solar light flux in the Earth's outer atmosphere when the distance between the Earth and the sun is equal to one astronomical unit.

f.

rotary input type absolute position encoders having an “accuracy” equal to or less (better) than 1.0 arc second;

g.

modules and devices with switching thyristors with pulsed power supply and electrical, optical or electronic radiation controlled switching and having any of the following characteristics:

1.

a maximum turn-on current rise time (di/dt) greater than 30,000A/μs and an off-state voltage greater than 1100V; Or 

2.

a maximum turn-on current rise time (di/dt) greater than 2,000A/μs and having all of the following characteristics:

a.

a peak off-state voltage equal to or greater than 3000 V; And 

b.

a peak (overload) current equal to or greater than 3,000 A.

Note 1:

Section 3A001.g. includes:

silicon controlled rectifiers (SCR);

electrically started thyristors (ETT);

light pulse start thyristors (LTT);

integrated gate switched thyristors (IGCTs);

lockable thyristors (GTO);

MOS controlled thyristors (MCT);

solidtrons.

Note 2:

Section 3A001.g. does not control thyristor devices and 'thyristor modules' integrated into equipment intended for civil railways or 'civil aircraft'.

Technical note:

For purposes of 3A001.g., a 'thyristor module' contains one or more thyristor devices.

h.

semiconductor power switches, diodes or 'modules' having all of the following characteristics:

1.

rated for a maximum operating junction temperature greater than 488 K (215 °C);

2.

repetitive peak voltage in off-state (blocking voltage) greater than 300 V; And 

3.

continuous current greater than 1 A.

Note 1:

The peak repetitive off-state voltage specified in 3A001.h. includes drain-source voltage, collector-emitter voltage, repetitive peak reverse voltage, and off-state repetitive peak voltage.

Note 2:

Paragraph 3A001.h. includes:

junction field effect transistors (JFETs);

vertical junction field effect transistors (VJFETs);

metal oxide field effect transistors (MOSFETs);

double diffusion metal oxide field effect transistors (DMOSFETs);

insulated gate bipolar transistors (IGBT);

high electron mobility transistors (HEMT);

bipolar junction transistors (BJT);

silicon-controlled thyristors or rectifiers (SCRs);

lockable thyristors (GTO);

power thyristors (ETO);

PiN diodes;

Schottky diodes.

Note 3:

Paragraph 3A001 h. does not cover switches, diodes or 'modules' integrated into equipment intended for civil automobiles, civil trains or 'civil aircraft'.

Technical note:

For purposes of 3A001.h., 'modules' contain one or more semiconductor power switches or diodes.

 

3A002 - “Electronic assemblies”, modules and equipment for general purposes, as follows:

a.

recording equipment and oscilloscopes as follows:

1.

Not used;

2.

Not used;

3.

Not used;

4.

Not used;

5.

Not used;

6.

digital recording systems having all of the following characteristics:

a.

permanent 'continuous throughput' of more than 6.4 Gbps to a hard drive or SSD; And 

b.

processor carrying out the analysis of data relating to radio signals during their recording;

Technical notes:

1.

For recording systems with a parallel bus structure, the 'continuous rate' is the highest word speed multiplied by the number of bits in a word.

2.

'Continuous Rate' is the fastest data rate the instrument can record to a hard drive or SSD without any loss of information while still ensuring the input digital data rate or conversion rate of the digitizer .

7.

real-time oscilloscopes having a parasitic voltage of a vertical root mean square value less than 2% of full scale at the vertical scale setting providing the minimum parasitic value for any 3 dB input bandwidth equal to or greater than 60 GHz per channel;

Note:

Paragraph 3A002.a.7. does not apply to equivalent time sampling oscilloscopes.

b.

Not used;

c.

“signal analyzers” as follows:

1.

“signal analyzers” having a 3 dB bandwidth resolution greater than 10 MHz anywhere in the frequency range between 31.8 GHz and 37 GHz;

2.

“signal analyzers” having an average displayed noise level (DANL) less than (better than) – 150 dBm/Hz throughout the upper frequency range between 43.5 GHz and 90 GHz;

3.

“signal analyzers” having a frequency above 90 GHz;

4.

'signal analyzers' having any of the following characteristics:

a.

“real-time bandwidth” greater than 170 MHz; And 

b.

having one of the following characteristics:

1.

100% discovery probability with less than 3 dB reduction from full amplitude due to deviations or windowing effects of signals of duration equal to or less than 15 μs; Or

2.

a 'frequency mask trigger' function with a trigger (or capture) probability of 100% for signals of duration equal to or less than 15 μs;

Technical notes:

1.

'Real-time bandwidth' is the widest frequency range over which the analyzer can completely and continuously transform time-domain data into frequency-domain results using a Fourier transform or 'another discrete-time transform processing each incoming time point without reducing the measured amplitude by more than 3 dB below the actual signal amplitude caused by a gap or windowing effect, while producing or displaying the transformed data .

2.

The probability of discovery referred to in 3A002.c.4.b.1. is also known as interception probability or capture probability.

3.

For purposes of 3A002.c.4.b.1., the 100% discovery probability duration is the minimum signal duration required for the stated level measurement uncertainty.

4.

'Frequency mask trigger' is a mechanism that allows the trigger function to select a frequency range in which to activate the trigger as a subset of the acquisition bandwidth while ignoring other signals that may occur. present on the same bandwidth. A 'frequency mask trigger' can contain several independent sets of constraints.

Note:

Section 3A002.c.4. does not cover "signal analyzers" using only constant percentage bandwidth filters (also known as octave filters or partial octave filters).

5.

Not used

d.

signal generators having any of the following characteristics:

1.

specified to generate pulse modulated signals having all of the following characteristics anywhere in the frequency range between 31.8 GHz and 37 GHz;

a.

“pulse duration” less than 25 ns; And 

b.

on/off ratio equal to or greater than 65 dB;

2.

output power greater than 100 mW (20 dBm) anywhere in the frequency range between 43.5 GHz and 90 GHz;

3.

“frequency switching time” having any of the following characteristics:

a.

Not used;

b.

less than 100 μs for any frequency change greater than 2.2 GHz in the frequency range between 4.8 GHz and 31.8 GHz;

c.

Not used;

d.

less than 500 μs for any frequency change greater than 550 MHz in the frequency range between 31.8 GHz and 37 GHz; Or 

e.

less than 100 μs for any frequency change greater than 2.2 GHz in the frequency range between 37 GHz and 90 GHz;

f.

Not used;

4.

single sideband (SSB) phase noise, expressed in dBc/Hz, defined as having any of the following characteristics:

a.

less than (better than) -(126 + 20log 10 F — 20log 10 f) at any point in the range 10 Hz ≤ F ≤ 10 kHz, anywhere in the frequency range between 3.2 GHz and 90 GHz; Or 

b.

less than (better than) -(206- 20log 10 f) anywhere in the range 10 kHz< F≤ 100 kHz, anywhere in the frequency range between 3.2 GHz and 90 GHz; Or 

Technical note:

In 3A002.d4., F represents the offset from the operating frequency expressed in Hz and f represents the operating frequency expressed in MHz.

5.

maximum frequency above 90 GHz;

Note 1:

For purposes of 3A002.d., signal generators include generators of arbitrary waveforms and functions.

Note 2:

Section 3A002.d. does not control equipment in which the output frequency is produced by the addition or subtraction of two or more frequencies obtained by crystal oscillators, or by an addition or subtraction followed by multiplication of the result .

Technical notes:

1.

The maximum frequency of an arbitrary waveform and function generator is calculated by dividing the sampling rate, expressed in samples/second, by a factor of 2.5.

2.

For the purposes of 3A002.d.1.a, 'pulse duration' means the time between when the leading edge of the pulse reaches 50% of the amplitude and when the trailing edge of the pulse reaches 50% of the amplitude.

e.

network analyzers having any of the following characteristics:

1.

output power greater than 31.62 mW (15 dBm) anywhere in the operating frequency range between 43.5 GHz and 90 GHz;

2.

output power greater than 1 mW (0 dBm) anywhere in the operating frequency range between 90 GHz and 110 GHz;

3.

the 'non-linear vector measurement functionality' at frequencies between 50 GHz and 110 GHz; Or 

Technical note:

'Nonlinear vector measurement functionality' refers to the ability of an instrument to analyze the results of devices used in the large signal domain or nonlinear distortion range.

4.

maximum operating frequency above 110 GHz;

f.

microwave test receivers having all of the following characteristics:

1.

maximum operating frequency above 110 GHz; And

2.

simultaneous amplitude and phase measurement capability;

g.

atomic frequency standards having any of the following characteristics:

1.

“qualified for space use”;

2.

not rubidium and having a long-term stability less (better) than 1 × 10 – 11 /month; Or 

3.

not “space-qualified” and having all of the following characteristics:

a.

rubidium standard;

b.

long-term stability less than (better) than 1 × 10 – 11 /month; And 

c.

total consumed power less than 1 W;

h.

“Electronic assemblies”, modules or equipment meeting the specifications necessary to perform all of the following functions:

1.

analog-to-digital conversions meeting one of the following conditions:

a.

resolution of 8 bits or more but less than 10 bits, with a "sampling rate" greater than 1.3 giga samples per second (GSPS);

b.

resolution of 10 bits or more but less than 12 bits, with a "sampling rate" greater than 1.0 GSPS;

c.

resolution of 12 bits or more but less than 14 bits, with a "sampling rate" greater than 1.0 GSPS;

d.

resolution of 14 bits or more but less than 16 bits, with a "sampling rate" greater than 400 mega samples per second (MSPS); Or

e.

resolution of 16 bits or more with a "sample rate" greater than 180 MSPS; And

2.

one of the following characteristics:

a.

digital data output;

b.

storage of digitized data; Or

c.

processing of digital data;

NB:

Digital recording systems, oscilloscopes, “signal analyzers,” signal generators, network analyzers, and microwave test receivers are controlled in 3A002.a.6., 3A002.a.7, respectively. ., 3A002.c., 3A002.d., 3A002.e. and 3A002.f.

Technical note:

1.

A resolution of n bits corresponds to a quantization of 2 n levels.

2.

ADC resolution is the number of bits of the ADC digital output that represents the measured analog input. The number of effective bits (ENOB) is not used to determine the resolution of the ADC.

3.

For non-interleaved "electronic assemblies", modules or multi-channel equipment, the "sampling frequency" is not aggregated and the "sampling frequency" is the maximum frequency of any channel taken separately.

4.

For interleaved channels on multi-channel "electronic assemblies", modules or equipment, the "sample rates" are aggregated and the "sample rate" is the combined total maximum frequency of all interleaved channels.

Note:

Section 3A002.h. includes ADC cards, waveform digitizers, data acquisition cards, signal acquisition cards and transient recorders.

 

3A003 - Spray-cooled thermal management systems using sealed-enclosure, closed-loop fluid treatment and regeneration devices in which dielectric fluid is sprayed onto electronic components using specially designed spray nozzles designed to maintain electronic components at their operating temperature, and their specially designed components.

 

3A101 - Electronic devices, equipment, systems and components other than those specified in 3A001, as follows:

a.

analog-to-digital converters, usable in “missiles”, designed to meet military specifications for ruggedized equipment;

b.

accelerators capable of delivering electromagnetic radiation produced by Bremsstrahlung from electrons accelerated to 2 MeV or more, and systems containing these accelerators.

Note:

Section 3A101.b. above does not cover systems or equipment designed for medical purposes.

 

3A102 - 'Thermal batteries' designed or modified for 'missiles'.

Technical notes:

1.

For the purposes of 3A102, the term ' thermal batteries ' means single-use batteries, the electrolyte of which is an inorganic salt. These batteries contain a pyrolytic material which, when ignited, melts the electrolyte and activates the battery. 

2.

For the purposes of 3A102, the term 'missile' means complete rocket systems and unmanned aerial vehicle systems with a range of at least 300 km.

 

3A201 - Electronic components, other than those specified in 3A001, as follows:

a.

capacitors having any of the following sets of characteristics:

1.

a.

nominal voltage greater than 1.4 kV;

b.

energy storage greater than 10 J;

c.

capacitance greater than 0.5 μF; And 

d.

series inductance less than 50 nH; Or 

2.

a.

nominal voltage greater than 750 V;

b.

capacitance greater than 0.25 μF; And 

c.

series inductance less than 10 nH;

b.

superconducting solenoidal electromagnets having all of the following characteristics:

1.

capable of creating magnetic fields greater than 2 T;

2.

having an L/D ratio (length divided by internal diameter) greater than 2;

3.

with an internal diameter greater than 300 mm; And 

4.

having a uniform magnetic field of less than 1% over the central half of the interior volume;

Note:

Section 3A201.b. above does not cover magnets specially designed and exported 'as components of' medical nuclear magnetic resonance (NMR) imaging systems. It is understood that the words 'as part of' do not necessarily mean that these products are physically part of the same shipment. Separate shipments from different sources are permitted, provided that the corresponding export documents clearly state that the shipments are made 'as elements of' medical imaging systems.

c.

flash discharge x-ray generators or pulse electron accelerators having any of the following sets of characteristics:

1.

a.

a peak accelerator electron energy equal to or greater than 500 KeV but less than 25 MeV; And 

b.

a 'factor of merit' (K) equal to or greater than 0.25, K; Or 

2.

a.

a peak accelerator electron energy equal to or greater than 25 MeV; And 

b.

a 'peak power' greater than 50 MW.

Note:

Section 3A201.c. does not control accelerators that are components of devices designed for purposes other than electron beam or x-ray irradiation (e.g. electron microscopy), nor those designed for medical purposes.

Technical notes:

1.

The 'factor of merit' K is defined as follows:

K = 1.7 × 10 3 V 2.65 Q V being the peak energy of the electrons expressed in millions of electron volts. Q is the total accelerated charge expressed in coulombs when the accelerator beam pulse duration is less than or equal to 1 μs. If the accelerator beam pulse duration is greater than 1 μs, Q represents the maximum charge accelerated in 1 μs. Q is the integral of i with respect to t, during one μs or during the duration of the beam pulse if this is less than 1 μs (Q = ∫ idt) where i represents the beam current expressed in amperes and t the time expressed in seconds).   

2.

'Peak power' = (peak potential in volts) × (peak beam current in amps).

3.

In machines operating with microwave acceleration cavities, the duration of the beam pulse is either 1 μs, or the duration of the beam packet produced by a pulse from the microwave modulator if this is less than 1 μs.

4.

In machines operating with microwave accelerating cavities, the peak beam current represents the average current over the duration of a bundled beam packet.

 

3A225 - Frequency changers or generators, other than those specified in paragraph 0B001.b.13., usable as a variable or fixed frequency motor, and having all of the following characteristics:

NB 1:

“Software” specially designed to enhance or release the performance of a frequency changer or generator to meet the characteristics of 3A225 is defined in 3D225.

NB 2:

“Technology” in the form of codes or keys to enhance or release the performance of a frequency changer or generator to meet the characteristics of 3A225 is defined in 3E225.

a.

a polyphase output providing power equal to or greater than 40 VA;

b.

operating at a frequency equal to or greater than 600 Hz; And 

c.

frequency adjustment accuracy better than 0.2%.

Note:

Paragraph 3A225 does not apply to frequency changers or generators having hardware, software or technological constraints limiting performance to values ​​lower than those indicated above, provided that they meet one of the following conditions:

1.

they must be returned to the original manufacturer in order to make the required improvements or release the constraints;

2.

they require “software” as specified in paragraph 3D225 to enhance or release performance to meet the characteristics of paragraph 3A225; Or 

3.

they require "technology" in the form of keys or codes, as specified in 3E225 to enhance or unlock performance to meet the characteristics of 3A225.

Technical notes:

1.

Frequency changers specified in 3A225 are also called converters or inverters.

2.

Frequency changers specified in 3A225 may be marketed as generators, electronic test equipment, AC power supplies, variable speed motors, variable speed drives, variable frequency drives, adjustable frequency drives, or adjustable speed drives .

 

3A226 - High current continuous power supplies, other than those specified in 0B001.j.6., having both of the following characteristics:

a.

capable of producing continuously, for a period of 8 hours, 100 V or more, with a current greater than or equal to 500 A; And 

b.

stability of current or voltage better than 0.1% over a period of 8 hours.

 

3A227 - High voltage direct current power supplies, other than those specified in 0B001.j.5., having both of the following characteristics:

a.

capable of producing continuously, for a period of 8 hours, 20 kV or more, with a current greater than or equal to 1 A; And 

b.

stability of current or voltage better than 0.1% over a period of 8 hours.

 

3A228 – Switches, as follows:

a.

cold cathode tubes, whether gas-filled or not, operating in a manner similar to a spark gap and having all of the following characteristics:

1.

three or more electrodes;

2.

nominal peak anode voltage equal to or greater than 2.5 kV;

3.

rated peak anode current equal to or greater than 100 A; And 

4.

anode time delay equal to or less than 10 μs;

Note:

Paragraph 3A228 also covers gas krytron tubes and vacuum sprytron tubes.

b.

spark gaps having the following two characteristics:

1.

triggered with an anode delay equal to or less than 15 μs; And 

2.

operating with a peak current rating equal to or greater than 500 A;

c.

modules or assemblies having a fast switching function other than those specified in 3A001.g. or 3A001.h. and having all of the following characteristics:

1.

peak rated anode voltage greater than 2 kV;

2.

rated peak anode current equal to or greater than 500 A; And 

3.

switching time equal to or less than 1 μs.

 

3A229 – High-intensity pulse generators, as follows:

NB:

SEE ALSO LIST OF WAR MATERIALS.

a.

Detonator firing devices (primer systems, firing devices), including electronic, explosive and optical devices, other than devices specified in 1A007.a., designed to activate detonators of specified explosives 1A007.b;

b.

modular electrical pulse generators (contactors) having all of the following characteristics:

1.

portable, mobile or for use requiring high robustness;

2.

capable of delivering their energy in less than 15 μs into loads below 40 ohms;

3.

producing a current of more than 100 A;

4.

having no dimension greater than 30 cm;

5.

having a weight less than 30 kg; And 

6.

designed to operate over a temperature range of 223 K (–50°C) to 373 K (100°C) or designed for aerospace applications.

Note:

Section 3A229.b. also covers xenon flash lamp control devices.

c.

Micro-firing units having all of the following characteristics:

1.

no dimension greater than 35 mm;

2.

rated voltage greater than or equal to 1 kV; And 

3.

capacitance greater than or equal to 100 nF.

 

3A230 – High-speed pulse generators and their “pulse heads”, having both of the following characteristics:

a.

output voltage greater than 6 volts into an ohmic load less than 55 ohms, and 

b.

'Pulse transition time' less than 500 ps.

Technical notes:

1.

In paragraph 3A230, 'pulse transition time' is defined as the time required to change from 10 to 90% voltage amplitude.

2.

'Pulse heads' are pulse forming arrays which are designed to accept a voltage jump function and transform it into a variety of pulse shapes which may include rectangular, triangular, jump, pulse, exponentials or unicycles. The 'pulse heads' can be an integral part of the pulse generator, a module to plug into the device or an externally connected device.

 

3A231 - Neutron generating systems, including tubes, having both of the following characteristics:

a.

designed to operate without external vacuum installation; And 

b.

using either:

1.

electrostatic acceleration to trigger a tritium-deuterium nuclear reaction; Or 

2.

an electrostatic acceleration to trigger a tritium-deuterium nuclear reaction and capable of producing at least 3 × 10 9 neutrons/s. 

 

3A232 - Multi-point priming systems, other than those specified in 1A007, as follows:

NB:

SEE ALSO LIST OF WAR MATERIALS.

NB:

See 1A007.b. for the detonators.

a.

Not used;

b.

systems using a single detonator or multiple detonators designed to almost simultaneously initiate an explosive surface over an area of ​​more than 5,000 mm 2 by means of a single ignition signal with an ignition propagation time over the entire area surface less than 2.5 μs. 

Note:

Paragraph 3A232 does not control detonators using only primary explosives, such as lead azide.

 

3A233 - Mass spectrometers, other than those specified in 0B002.g., capable of measuring ions of 230 atomic mass units or greater, and of having a resolution better than 2 parts per 230, as follows, and their ion sources:

a.

plasma mass spectrometers associated by inductive coupling;

b.

glow discharge mass spectrometers;

c.

thermal ionization mass spectrometers;

d.

Electron bombardment mass spectrometers having both of the following characteristics:

1.

a molecular beam admission system that injects a collimated beam of molecules to be analyzed into an area of ​​the ion source where the molecules are ionized by an electron beam; And 

2.

one or more 'cold traps' capable of being cooled to a temperature of 193 K (–80 °C);

e.

Not used;

f.

mass spectrometers equipped with a microfluorination ion source designed for actinides or actinide fluorides.

Technical notes:

1.

Electron bombardment mass spectrometers specified in 3A233.d. are also known as electron bombardment ionization mass spectrometers or electron ionization mass spectrometers.

2.

For purposes of 3A233.d.2., a 'cold trap' is a device that captures gas molecules by condensation or freezing on cold surfaces. For purposes of 3A233.d.2., a closed-loop helium gas cryogenic vacuum pump is not a 'cold trap'.

3A234 - Ribbon waveguides providing a low inductance path to the detonators, and having the following characteristics:

a.

rated voltage above 2 kV; And 

b.

inductance less than 20 nH.

 

3B - Testing, inspection and production equipment

 

3B001 - Equipment for manufacturing semiconductor devices or materials, as follows, and specially designed components and accessories therefor:

a.

equipment specially designed for epitaxial growth, as follows:

1.

equipment capable of producing a layer of any material other than silicon of uniform thickness with an accuracy of ±2.5% over a distance of 75 mm or more;

Note:

Paragraph 3B001.a.1. includes atomic layer epitaxy (ALE) equipment.

2.

metal-organic chemical vapor deposition (MOCVD) reactors designed for the epitaxial growth of semiconductors composed of materials having at least two of the following elements: aluminum, gallium, indium, arsenic, phosphorus, antimony or nitrogen;

3.

molecular beam epitaxial growth equipment using gas or solid sources;

b.

equipment designed for ion implantation and having any of the following characteristics:

1.

Not used;

2.

designed and optimized to operate at beam energy equal to or greater than 20 keV, and beam current equal to or greater than 10 mA for hydrogen, deuterium or helium implantations;

3.

direct writing ability;

4.

beam energy of at least 65 keV and beam current of at least 45 mA for high energy implantation of oxygen into a heated semiconductor material “substrate”; Or 

5.

designed and optimized to operate at a beam energy equal to or greater than 20 keV, and a beam current equal to or greater than 10 mA for silicone implantation in a semiconductor material “substrate” heated to at least 600 °C ;

c.

Not used;

d.

Not used;

e.

central wafer handling systems for multi-chamber automatic loading, having all of the following:

1.

wafer input and output interfaces to which more than two functionally different 'semiconductor processing instruments', specified in 3B001.a.1., 3B001.a.2., are connected, 3B001.a.3. or 3B001.b., and designed for this purpose; And 

2.

having been designed to form an integrated system in a vacuum environment for 'multiple sequential wafer processing';

Note:

Paragraph 3B001.e. does not control automatic robotic wafer handling systems that are specifically designed for parallel processing of wafers.

Technical notes:

1.

For the purposes of 3B001.e., 'semiconductor processing instruments' means modular instruments that enable functionally different physical processing for the production of semiconductors, such as deposition , implant and heat treatment.

2.

For the purposes of 3B001.e., 'multiple sequential wafer processing' means the ability to process each wafer in various 'semiconductor processing instruments', for example by transferring each wafer from one instrument to a second instrument and then to a third instrument with the central wafer handling systems for automatic multi-chamber loading.

f.

lithography equipment, as follows:

1.

alignment and exposure photorepeaters (direct reduction on the wafer) or scanning photorepeaters (scanners) for processing wafers using optical or x-ray methods, and having any of the following characteristics:

a.

light source wavelength less than 193nm; Or 

b.

capable of producing patterns with a 'minimum resolvable element' (MRF) dimension equal to or less than 45 nm;

Technical note:

The 'minimum resolvable element' (MRF) size is calculated using the following formula:

Formula

where the K factor = 0.35.

2.

print lithography equipment capable of producing features at or below 45 nm;

Note:

Paragraph 3B001.f.2. includes:

microcontact printing tools;

hot embossing tools;

nanoimprint lithography tools;

step and flash printing lithography tools.

3.

equipment specially designed for the production of masks and having all of the following characteristics:

a.

an electron beam, an ion beam or a “laser” beam with focusing and scanning of the beam; And 

b.

having one of the following characteristics:

1.

having a spot width at half maximum (LMH) of less than 65 mm and an image placement of less than 17 nm (mean + 3 sigma); Or 

2.

Not used;

3.

overlap error for the second layer less than 23 nm (average + 3 sigma) on the mask;

4.

equipment designed for processing devices using direct writing methods and having all of the following characteristics:

a.

an electron beam with beam focusing and scanning; And

b.

having one of the following characteristics:

1.

a minimum beam size equal to or less than 15 nm; Or

2.

an overlap error less than 27 nm (average + 3 sigma);

g.

masks or reticles designed for integrated circuits specified in 3A001;

h.

multi-layer masks with a phase-shift layer, not specified in 3B001.g. and having one of the following characteristics:

1.

made on a “raw substrate” mask from glass having a double refraction less than 7 nm/cm; Or 

2.

designed for use by lithographic equipment having a light source wavelength less than 245 nm;

Note:

Paragraph 3B001.h. does not control multilayer masks having a phase-shift layer designed for the manufacture of memory devices not controlled by 3A001.

i.

Print lithography templates designed for integrated circuits specified in 3A001.

j.

"raw substrate" masks comprising a multi-layer reflective structure in molybdenum and silicon, and having all of the following characteristics:

1.

specially designed for 'extreme ultraviolet' ('EUV') lithography; And

2.

complying with SEMI standard P37.

Technical note:

'Extreme ultraviolet radiation' ('EUV') corresponds to an electromagnetic spectrum with wavelengths greater than 5 nm and less than 124 nm.

 

3B002 - Test equipment specially designed for testing finished or unfinished semiconductor devices as follows, and specially designed components and accessories therefor:

a.

for testing S parameters of transistors at a frequency above 31.8 GHz;

b.

Not used;

c.

for the testing of microwave integrated circuits specified in 3A001.b.2.

 

3C - Materials

 

3C001 - Hetero-epitaxial materials consisting of a “substrate” comprising multiple stacked layers obtained by epitaxial growth:

a.

silicon (Si);

b.

germanium (Ge);

c.

silicon carbide (SiC); Or 

d.

“III/V compounds” of gallium or indium.

Note:

Paragraph 3C001.d. does not control "substrates" having one or more P-type epitaxial layers of GaN, InGaN, AlGaN, InAlN, InAlGaN, GaP, InGaP, AlInP or InGaAlP, regardless of the order of the elements, except if the P-type epitaxial layer P lies between layers of type N.

 

3C002 - Photosensitive resins (resists), as follows, and “substrates” coated with the following photosensitive resins:

a.

photosensitive resins (resists) for semiconductor lithography:

1.

positive photoresists (resists) adapted (optimized) for use at wavelengths below 193 nm; but equal to or greater than 15 nm;

2.

photosensitive resins (resists) adapted (optimized) for use at wavelengths less than 15 nm but greater than 1 nm;

b.

all photosensitive resins (resists) intended for use under the effect of electronic or ion beams, having a sensitivity of 0.01 μcoulomb/mm 2  or better;

c.

Not used;

d.

any photoresists (resists) optimized for surface imaging technologies;

e.

all photosensitive resins (resists) designed or optimized for print lithography equipment specified in 3B001.f.2 that use either a thermal or photocrosslinkable process.

 

3C003 - Organo-inorganic compounds, as follows:

a.

organometallic compounds of aluminum, gallium and indium having a purity (metal purity) greater than 99.999%;

b.

organoarsenic, organoantimonial and organophosphorus compounds having a purity (purity of the inorganic element) greater than 99.999%.

Note:

Paragraph 3C003 only covers compounds in which the metallic, partially metallic or non-metallic element is linked directly to a carbon in the organic part of the molecule.

 

3C004 - Hydrides of phosphorus, arsenic or antimony, having a purity greater than 99.999%, even diluted in inert gases or in hydrogen.

Note:

3C004 does not control hydrides containing 20 mole percent or more of inert gases or hydrogen.

 

3C005 – High resistivity materials, as follows:

a.

Semiconductor "substrates" of silicon carbide (SiC), gallium nitride (GaN), aluminum nitride (AlN) or aluminum gallium nitride (AlGaN), or ingots, balls or other preforms of these materials, having a resistivity greater than 10,000 ohm-cm at 20°C;

b.

Polycrystalline "substrates" or polycrystalline ceramic "substrates" having a resistivity greater than 10,000 ohm-cm at 20°C and at least one non-epitaxial monocrystalline layer of silicon (Si), silicon carbide (SiC), gallium nitride (GaN), aluminum nitride (AlN) or aluminum gallium nitride (AlGaN) on the surface of the "substrate".

 

3C006 - “Substrates” specified in paragraph 3C005 comprising at least one epitaxial layer of silicon carbide, gallium nitride, aluminum nitride or aluminum gallium nitride.

 

3D - Software

 

3D001 - “Software” specially designed for the “development” or “production” of equipment specified in 3A001.b. at 3A002.h. or in subcategory 3B.

 

3D002 - “Software” specially designed for the “use” of equipment specified in 3B001.a. to f., in paragraph 3B002 or 3A225.

 

3D003 – 'Physics-based' simulation 'software', specifically designed for 'development' of lithography, etching and deposition processes to transform mask figures into specific topographic figures in conductors, dielectrics or materials semiconductors.

Technical note:

For the purposes of 3D003, 'physics-based' means the use of calculations to determine a sequence of physical events, implying a cause and effect relationship, on the basis of physical properties (for example: temperature, pressure, diffusion constants and properties of semiconductor materials).

Note:

Libraries, design features, or related data for the design of semiconductor devices or integrated circuits are considered “technology.”