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Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
Note: 5A101 does not control: 1. Telecontrol equipment specially designed to be used for remote control of recreational model planes, boats or vehicles and having an electric field strength of not more than 200 microvolts per meter at a distance of 500 meters;
2. Equipment designed or modified for manned aircraft or satellites;
3. Ground based equipment designed or modified for terrestrial or marine applications;
4. Equipment designed for commercial, civil, or safety of life (e.g., data integrity or flight safety) Global Navigation Satellite System services.
Note: Item 5A101 does not include items not designed or modified for unmanned aerial vehicles or rocket systems (including ballistic missile systems, space launch vehicles, sounding rockets, cruise missile systems, target drones, and reconnaissance drones) capable of a maximum “range” equal to or greater than 300km (e.g., telemetry circuit cards limited by design to reception only and designed for use in personal computers).
5A980 Communications intercepting devices; and parts and accessories therefor.
License Requirements
Reason for Control: Controls on equipment described in this entry are maintained in accordance with the Omnibus Crime Control and Safe Streets Act of 1968 (Public Law 90–351). A license is required for ALL destinations, regardless of end-use. Accordingly, a column specific to this control does not appear on the Commerce Country Chart. (See §742.13 of the EAR for additional information on the scope of this control.)
Note: These items are subject to the United Nations Security Council arms embargo against Rwanda described in §746.8 of the EAR.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
5A991 Telecommunication equipment, not controlled by 5A001.
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to entire entry............. AT Column 1.
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See §§740.19 and 742.20 of the EAR for additional information on Libya.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: Telecommunication equipment defined in 5A991 for use on board satellites is subject to the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121). See also 5E101 and 5E991.
Related Definitions: (1) ‘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. (2) ‘Communications channel controller’ is the physical interface that 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. (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) ‘Fast select’ is a facility applicable to virtual calls that allows data terminal equipment to expand the possibility to transmit data in call set-up and clearing ‘packets’ beyond the basic capabilities of a virtual call. (5) ‘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. (6) ‘Integrated Services Digital Network’ (ISDN) is a unified end-to-end digital network, in which data originating from all types of communication (e.g., voice, text, data, still and moving pictures) are transmitted from one port (terminal) in the exchange (switch) over one access line to and from the subscriber.(7) ‘Packet’ is a group of binary digits including data and call control signals that is switched as a composite whole. The data, call control signals, and possible error control information are arranged in a specified format.
Items:
a. Any type of telecommunications equipment, not controlled by 5A001.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 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 mutiplex included);
8. Modulators/demodulators (modems);
9. Transmultiplex equipment (see CCITT Rec. G701);
10. “Stored program controlled” digital crossconnection 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. “Communication 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 TV 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; or
b.7.c. Other digital modulation techniques and having a “spectral efficiency” exceeding 3 bit/s/Hz;
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.
b.8. Providing functions of digital “signal processing” as follows:
b.8.a. Voice coding at rates less than 2,400 bit/s;
b.8.b. Employing circuitry that incorporates “user-accessible programmability” of digital “signal processing” circuits exceeding the limits of 4A003.b.
c. “Stored program controlled” switching equipment and related signaling systems, having any of the following characteristics, functions or features, and specially designed 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 assemblies and components therefor, n.e.s.
c.2. Containing “Integrated Services Digital Network” (ISDN) functions and having any of the following:
c.2.a. Switch-terminal (e.g., subscriber line) interfaces with a “digital transfer rate” at the highest multiplex level exceeding 192,000 bit/s, including the associated signaling channel (e.g., 2B+D); or
c.2.b. The capability that a signaling message received by a switch on a given channel that is related to a communication on another channel may be passed through to another switch.
Note: 5A991.c does not preclude the evaluation and appropriate actions taken by the receiving switch or unrelated user message traffic on a D channel of ISDN.
c.3. Routing or switching of “datagram” packets;
c.4. Routing or switching of “fast select” packets;
Note: The restrictions in 5A991.c.3 and c.4 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”
Note: 5A991.c.10 does not control packet switches or routers with ports or lines not exceeding the limits in 5A991.c.10.
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;
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 antennae, operating above 10.5 GHz, containing active elements and distributed 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, n.e.s., and assemblies and components therefor; or
h. Radio relay communications equipment designed for use at frequencies equal to or exceeding 19.7 GHz and assemblies and components therefor, n.e.s.
B. Test, Inspection and Production Equipment
5B001 Telecommunication test, inspection and production equipment, as follows (See List of Items Controlled).
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
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License Requirement Notes: See §743.1 of the EAR for reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000
GBS: Yes
CIV: Yes
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value.
Related Controls: See also 5B991.
Related Definition: N/A.
Items:
a. Equipment and specially designed components or accessories therefor, specially designed for the “development”, “production” or “use” of equipment, functions or features controlled by 5A001, 5D001 or 5E001.
Note: 5B001.a. does not control optical fiber characterization equipment.
b. Equipment and specially designed components or accessories therefor, specially designed for the “development” of any of the following telecommunication transmission or switching equipment:
b.1. Equipment employing digital techniques designed to operate at a “total digital transfer rate” exceeding 15 Gbit/s;
Technical Note: For switching equipment the “total digital transfer rate” is measured at the highest speed port or line.
b.2. Equipment employing a “laser” and having any of the following:
b.2.a. A transmission wavelength exceeding 1750 nm;
b.2.b. Performing “optical amplification”;
b.2.c. Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques); or
b.2.d. Employing analog techniques and having a bandwidth exceeding 2.5 GHz;
Note: 5B001.b.2.d. does not include equipment specially designed for the “development” of commercial TV systems.
b.3. Equipment employing “optical switching”;
b.4. Radio equipment employing quadrature-amplitude-modulation (QAM) techniques above level 256; or
b.5. Equipment employing “common channel signaling” operating in non-associated mode of operation.
5C991 Preforms of glass or of any other material optimized for the manufacture of optical fibers controlled by 5A991.
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to entire entry............. AT Column 1
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License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
D. Software
5D001 “Software”, as described in the List of Items Controlled.
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
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License Requirement Notes: See §743.1 of the EAR for reporting requirements for exports under License Exceptions.
License Exceptions
CIV: Yes, except for “software” controlled by 5D001.a and specially designed for the “development” or “production” of items controlled by 5A001.b.5 TSR: Yes, except for exports and reexports to destinations outside of Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy, Japan, Luxembourg, the Netherlands, Portugal, Spain, Sweden, or the United Kingdom of “software” controlled by 5D001.a and specially designed for items controlled by 5A001.b.5.
List of Items Controlled
Unit: $ value.
Related Controls: See also 5D991.
Related Definitions: N/A.
Items:
a. “Software” specially designed or modified for the “development”, “production” or “use” of equipment, functions or features controlled by 5A001 or 5B001.
b. “Software” specially designed or modified to support “technology” controlled by 5E001.
c. Specific “software” as follows:
c.1. “Software” specially designed or modified to provide characteristics, functions or features of equipment controlled by 5A001 or 5B001;
c.2. [Reserved];
c.3. “Software”, other than in machine-executable form, specially designed for “dynamic adaptive routing”.
d. “Software” specially designed or modified for the “development” of any of the following telecommunication transmission or switching equipment:
d.1. Equipment employing digital techniques, including designed to operate at a “total digital transfer rate” exceeding 15 Gbit/s;
Technical Note: For switching equipment the “total digital transfer rate” is measured at the highest speed port or line.
d.2. Equipment employing a “laser” and having any of the following:
d.2.a. A transmission wavelength exceeding 1750 nm; or
d.2.b. Employing analog techniques and having a bandwidth exceeding 2.5 GHz;
Note: 5D001.d.2.b. does not control “software” specially designed or modified for the “development” of commercial TV systems.
d.3. Equipment employing “optical switching”; or
d.4. Radio equipment employing quadrature-amplitude-modulation (QAM) techniques above level 256.
5D101 “Software” specially designed or modified for the “use” of items controlled by 5A101.
License Requirements
Reason for Control: MT, AT
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Control(s) Country chart
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MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
5D991 “Software” specially designed or modified for the “development”, “production”, or “use” of equipment controlled by 5A991 and 5B991.
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
E. Technology
5E001 “Technology”, (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
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License Requirement Notes: See §743.1 of the EAR for reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for exports or reexports to destinations outside of Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy, Japan, Luxembourg, the Netherlands, Portugal, Spain, Sweden, or the United Kingdom of “technology” controlled by 5E001.a for the “development” or “production” of the following:
(1) Items controlled by 5A001.b.5; or
(2) “Software” controlled by 5D001.a that is specially designed for the “development” or “production” of equipment, functions or features controlled by 5A001.b.5.
List of Items Controlled
Unit: $ value.
Related Controls: Technology defined in 5E001.b.1, 5E001.b.2, 5E001.b.4, or 5E001.c for use on board satellites is subject to the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121). See also 5E101 and 5E991
Related Definitions: N/A.
Items:
a. “Technology” according to the General Technology Note for the “development”, “production” or “use” (excluding operation) of equipment, functions or features or “software” controlled by 5A001, 5B001 or 5D001.
b. Specific “technologies”, as follows:
b.1. “Required” “technology” for the “development” or “production” of telecommunications equipment specially designed to be used on board satellites;
b.2. “Technology” for the “development” or “use” of “laser” communication techniques with the capability of automatically acquiring and tracking signals and maintaining communications through exoatmosphere or sub-surface (water) media;
b.3. “Technology” for the “development” of digital cellular radio base station receiving equipment whose reception capabilities that allow multi-band, multi-channel, multi-mode, multi-coding algorithm or multi-protocol operation can be modified by changes in “software”;
b.4. “Technology” for the “development” of “spread spectrum” techniques, including “frequency hopping” techniques.
c. “Technology” according the General Technology Note for the “development” or “production” of any of the following telecommunication transmission or switching equipment, functions or features:
c.1. Equipment employing digital techniques designed to operate at a “total digital transfer rate” exceeding 15 Gbit/s;
Technical Note: For switching equipment the “total digital transfer rate” is measured at the highest speed port or line.
c.2. Equipment employing a “laser” and having any of the following:
c.2.a. A transmission wavelength exceeding 1750 nm;
c.2.b. Performing “optical amplification” using praseodymium-doped fluoride fiber amplifiers (PDFFA);
c.2.c. Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques);
c.2.d. Employing wavelength division multiplexing techniques exceeding 8 optical carriers in a single optical window; or
c.2.e. Employing analog techniques and having a bandwidth exceeding 2.5 GHz;
Note: 5E001.c.2.e. does not control “technology” for the “development” or “production” of commercial TV systems.
c.3. Equipment employing “optical switching”; or
c.4. Radio equipment having any of the following:
c.4.a. Quadrature-amplitude-modulation (QAM) techniques above level 256; or
c.4.b. Operating at input or output frequencies exceeding 31.8 GHz; or
Note: 5E001.c.4.b. does not control “technology” for the “development” or “production” of equipment designed or modified for operation in any frequency band which is “allocated by the ITU” for radio-communications services, but not for radio-determination.
c.5. Equipment employing “common channel signaling” operating in non-associated mode of operation.
5E101 “Technology” according to the General Technology Note for the “development,” “production” or “use” of equipment or software controlled by 5A101 or 5D101.
License Requirements
Reason for Control: MT, AT
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Control(s) Country chart
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MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
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 (see List of Items Controlled)
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to entire entry............. AT Column 1
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value.
Related Controls: N/A.
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’.
Items:
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.
EAR99 Items subject to the EAR that are not elsewhere specified in this CCL Category or in any other category in the CCL are designated by the number EAR99.
II. “Information Security”
Note 1: The control status of “information security” equipment, “software”, systems, application specific “electronic assemblies”, modules, integrated circuits, components, or functions is determined in Category 5, Part 2 even if they are components or “electronic assemblies” of other equipment.
N.B. to Note 1: Commodities and software specially designed for medical end-use that incorporate an item in Category 5, part 2 are not classified in any ECCN in Category 5, part 2.
Note 2: Category 5, part 2, encryption products, when accompanying their user for the user's personal use or as tools of trade, are eligible for License Exceptions TMP or BAG, subject to the terms and conditions of these License Exceptions.
Note 3: Cryptography Note: ECCNs 5A002 and 5D002 do not control items that meet all of the following:
a. Generally available to the public by being sold, without restriction, from stock at retail selling points by means of any of the following:
1. Over-the-counter transactions;
2. Mail order transactions;
3. Electronic transactions; or
4. Telephone call transactions;
b. The cryptographic functionality cannot be easily changed by the user;
c. Designed for installation by the user without further substantial support by the supplier; and
d. When necessary, details of the items are accessible and will be provided, upon request, to the appropriate authority in the exporter's country in order to ascertain compliance with conditions described in paragraphs (a) through (c) of this note.
N.B. to Cryptography Note: Mass market encryption commodities and software eligible for the Cryptography Note are subject to the notification or review requirements described in §742.15(b)(1) and (b)(2) of the EAR, unless specifically excluded from these requirements by §742.15(b)(3) of the EAR. Mass market commodities and software employing a key length greater than 64 bits for the symmetric algorithm must be reviewed in accordance with the requirements of §742.15(b)(2) of the EAR in order to be released from the “EI” and “NS” controls of ECCN 5A002 or 5D002. All other mass market commodities and software eligible for the Cryptography Note are controlled under ECCN 5A992 or 5D992 (without review) and may be exported or reexported to most destinations without a license, following notification, in accordance with the requirements of §742.15(b)(1) of the EAR.
A. Systems, Equipment and Components
5A002 Systems, equipment, application specific “electronic assemblies”, modules and integrated circuits for “information security”, as follows (see List of Items Controlled), and other specially designed components therefor.
License Requirements
Reason for Control: NS, AT, EI
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Control(s) Country chart
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NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
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EI applies to encryption items transferred from the U.S. Munitions List to the Commerce Control List consistent with E.O. 13026 of November 15, 1996 (61 FR 58767) and pursuant to the Presidential Memorandum of that date. Refer to §742.15 of this subchapter.
License Requirement Notes: See §743.1 of the EAR for reporting requirements for exports of commodities controlled under 5A002 and exported under License Exceptions LVS or GOV.
License Exceptions
LVS: Yes: $500 for components and spare parts only. N/A for equipment.
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: 5A002 does not control the items listed in paragraphs (a) through (f) in the Note in the items paragraph of this entry. These items are instead controlled under ECCN 5A992.
Related Definitions: N/A
Items:
Note: 5A002 does not control the following. However, these items are instead controlled under 5A992:
(a) “Personalized smart cards”:
(1) Where the cryptographic capability is restricted for use in equipment or systems excluded from control paragraphs (b) through (f) of this Note; or
(2) For general public-use applications where the cryptographic capability is not user-accessible and it is specially designed and limited to allow protection of personal data stored within.
N.B.: If a “personalized smart card” has multiple functions, the control status of each function is assessed individually.
(b) Receiving equipment for radio broadcast, pay television or similar restricted audience broadcast of the consumer type, without digital encryption except that exclusively used for sending the billing or program-related information back to the broadcast providers.
(c) Equipment where the cryptographic capability is not user-accessible and which is specially designed and limited to allow any of the following:
(1) Execution of copy-protected “software”
(2) Access to any of the following:
(a) Copy-protected contents stored on read-only media; or
(b) Information stored in encrypted form on media (e.g., in connection with the protection of intellectual property rights) where the media is offered for sale in identical sets to the public; or
(3) Copying control of copyright protected audio/video data.
(d) Cryptographic equipment specially designed and limited for banking use or money transactions;
(e) Portable or mobile radiotelephones for civil use (e.g., for use with commercial civil cellular radio communications systems) that are not capable of end-to-end encryption.
N.B.: The term “money transactions” includes the collection and settlement of fares or credit functions.
(f) Cordless telephone equipment not capable of end-to-end encryption where the maximum effective range of unboosted cordless operation (e.g., a single, unrelayed hop between terminal and home basestation) is less than 400 meters according to the manufacturer's specifications.
Technical Note: Parity bits are not included in the key length.
a. Systems, equipment, application specific “electronic assemblies”, modules and integrated circuits for “information security”, as follows, and other specially designed components therefor:
N.B.: For the control of global navigation satellite systems receiving equipment containing or employing decryption (e.g., GPS or GLONASS) see 7A005.
a.1. Designed or modified to use “cryptography” employing digital techniques performing any cryptographic function other than authentication or digital signature having any of the following:
Technical Notes: 1. Authentication and digital signature functions include their associated key management function.
2. Authentication includes all aspects of access control where there is no encryption of files or text except as directly related to the protection of passwords, Personal Identification Numbers (PINs) or similar data to prevent unauthorized access.
3. “Cryptography” does not include “fixed” data compression or coding techniques.
Note: 5A002.a.1 includes equipment designed or modified to use “cryptography” employing analog principles when implemented with digital techniques.
a.1.a. A “symmetric algorithm” employing a key length in excess of 56-bits; or
a.1.b. An “asymmetric algorithm” where the security of the algorithm is based on any of the following:
a.1.b.1. Factorization of integers in excess of 512 bits (e.g., RSA);
a.1.b.2. Computation of discrete logarithms in a multiplicative group of a finite field of size greater than 512 bits (e.g., Diffie-Hellman over Z/pZ); or
a.1.b.3. Discrete logarithms in a group other than mentioned in 5A002.a.1.b.2 in excess of 112 bits (e.g., Diffie-Hellman over an elliptic curve);
a.2. Designed or modified to perform cryptanalytic functions;
a.3. [Reserved]
a.4. Specially designed or modified to reduce the compromising emanations of information-bearing signals beyond what is necessary for health, safety or electromagnetic interference standards;
a.5. Designed or modified to use cryptographic techniques to generate the spreading code for “spread spectrum” systems, including the hopping code for “frequency hopping” systems;
a.6. Designed or modified to use cryptographic techniques to generate channelizing or scrambling codes for “time-modulated ultra-wideband” systems;
a.7. [Reserved]
a.8. Communications cable systems designed or modified using mechanical, electrical or electronic means to detect surreptitious intrusion.
Part 2—Information Security
5A992 Equipment not controlled by 5A002.
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to 5A992.a.................. AT Column 1.
AT applies to 5A992.b.................. AT Column 2.
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See §§740.19 and 742.20 of the EAR for additional information on Libya.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Telecommunications and other information security equipment containing encryption.
b. “Information security” equipment, n.e.s., (e.g., cryptographic, cryptanalytic, and cryptologic equipment, n.e.s.) and components therefor.
5B002 Information Security—test, inspection and “production” equipment.
License Requirements
Reason for Control: NS, AT
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Control(s) Country chart
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NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
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License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Equipment specially designed for:
a.1. The “development” of equipment or functions controlled by 5A002, 5B002, 5D002 or 5E002, including measuring or test equipment;
a.2. The “production” of equipment or functions controlled by 5A002, 5B002, 5D002, or 5E002, including measuring, test, repair or production equipment;
b. Measuring equipment specially designed to evaluate and validate the “information security” functions controlled by 5A002 or 5D002.
C. Materials [Reserved]
D. Software
5D002 Information Security—“Software”
License Requirements
Reason for Control: NS, AT, EI
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Control(s) Country chart
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NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
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“EI” applies to encryption items transferred from the U.S. Munitions List to the Commerce Control List consistent with Executive Order 13026 of November 15, 1996 (3 CFR, 1996 Comp., p.228) and pursuant to the Presidential Memorandum of that date. Refer to §742.15 of the EAR.
Note: Encryption software is controlled because of its functional capacity, and not because of any informational value of such software; such software is not accorded the same treatment under the EAR as other “software'; and for export licensing purposes, encryption software is treated under the EAR in the same manner as a commodity included in ECCN 5A002.
Note: Encryption software controlled for “EI” reasons under this entry remains subject to the EAR even when made publicly available in accordance with part 734 of the EAR. See §740.13(e) of the EAR for information on releasing certain source code (and corresponding object code) which would be considered publicly available from “EI” controls.
Note: After notification to BIS, 56-bit encryption items (including key management products not exceeding 512 bits) and up to (and including) 64-bit mass market encryption commodities and software are released from “EI” and “NS” controls. After a review by BIS, all other mass market encryption commodities and software eligible for the Cryptography Note also may be released from “EI” and “NS” controls. See §742.15(b)(1) and (b)(2) of the EAR.
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value.
Related Controls: This entry does not control “software” “required” for the “use” of equipment excluded from control under the Related Controls paragraph or the Technical Notes in ECCN 5A002 or “software” providing any of the functions of equipment excluded from control under ECCN 5A002. These items are controlled under ECCN 5D992.
Related Definitions: 5D002.a controls “software” designed or modified to use “cryptography” employing digital or analog techniques to ensure “information security'.
Items:
a. “Software” specially designed or modified for the “development”, “production”, or “use” of equipment or “software” controlled by 5A002, 5B002, or 5D002.
b. “Software” specially designed or modified to support “technology” controlled by 5E002.
c. Specific “software” as follows:
c.1. “Software” having the characteristics, or performing or simulating the functions of the equipment controlled by 5A002 or 5B002;
c.2. “Software” to certify “software” controlled by 5D002.c.1.
5D992 “Information Security” “software” not controlled by 5D002.
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to 5D992.a.1 and .b.1....... AT Column 1.
AT applies to 5D992.a.2, b.2 and c..... AT Column 2.
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See §§740.19 and 742.20 of the EAR for additional information on Libya.
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: 1
a. “Software”, as follows:
a.1 “Software” specially designed or modified for the “development”, “production”, or “use” of telecommunications and other information security equipment containing encryption (e.g., equipment controlled by 5A992.a);
a.2. “Software” specially designed or modified for the “development”, “production:, or “use” of information security or cryptologic equipment (e.g., equipment controlled by 5A992.b).
b. “Software”, as follows:
b.1. “Software” having the characteristics, or performing or simulating the functions of the equipment controlled by 5A992.a.
b.2. “Software” having the characteristics, or performing or simulating the functions of the equipment controlled by 5A992.b.
c. “Software” designed or modified to protect against malicious computer damage, e.g., viruses.
E. Technology
5E002 “Technology” according to the General Technology Note for the “development”, “production” or “use” of equipment controlled by 5A002 or 5B002 or “software” controlled by 5D002.
License Requirements
Reason for Control: NS, AT, EI
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Control(s) Country chart
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NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
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EI applies to encryption items transferred from the U.S. Munitions List to the Commerce Control List consistent with E.O. 13026 of November 15, 1996 (61 FR 58767) and pursuant to the Presidential Memorandum of that date.
Refer to §742.15 of the EAR
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: See also 5E992
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
5E992 “Information Security” “technology”, not controlled by 5E002.
License Requirements
Reason for Control: AT
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Control(s) Country chart
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AT applies to 5E992.a.................. AT Column 1
AT applies to 5E992.b.................. AT Column 2
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License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items:
a. “Technology” n.e.s., for the “development”, “production” or “use” of telecommunications equipment and other information security and containing encryption (e.g., equipment controlled by 5A992.a) or “software” controlled by 5D992.a.1 or b.1.
b. “Technology”, n.e.s., for the “development”, “production” or “use” of “information security” or cryptologic equipment (e.g., equipment controlled by 5A992.b), or “software” controlled by 5D992.a.2, b.2, or c.
EAR99 Items subject to the EAR that are not elsewhere specified in this CCL Category or in any other category in the CCL are designated by the number EAR99.
Category 6—Sensors and Lasers
A. Systems, Equipment and Components
6A001 Acoustics.
License Requirements
Reason for Control: NS, ATO
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Control(s) Country chart
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NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
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License Requirement Notes: See §743.1 of the EAR for reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $3000; N/A for 6A001.a.1.b.1 object detection and location systems having a transmitting frequency below 5 kHz or a sound pressure level exceeding 210 dB (reference 1 µPa at 1 m) for equipment with an operating frequency in the band from 30 kHz to 2 kHz inclusive; 6A001.a.2.a.1, a.2.a.2, 6A001.a.2.a.3, a.2.a.5, a.2.a.6, 6A001.a.2.b; processing equipment controlled by 6A001.a.2.c, and specially designed for real time application with towed acoustic hydrophone arrays; a.2.e.1, a.2.e.2; and bottom or bay cable systems controlled by 6A001.a.2.f and having processing equipment specially designed for real time application with bottom or bay cable systems.
GBS: Yes for 6A001.a.1.b.4.
CIV:Yes for 6A001.a.1.b.4.
List of Items Controlled
Unit: $ value.
Related Controls: See also 6A991.
Related Definitions: N/A.
Items:
a. Marine acoustic systems, equipment and specially designed components therefor, as follows:
a.1. Active (transmitting or transmitting-and-receiving) systems, equipment and specially designed components therefor, as follows:
Note: 6A001.a.1 does not control:
a. Depth sounders operating vertically below the apparatus, not including a scanning function exceeding ±20°, and limited to measuring the depth of water, the distance of submerged or buried objects or fish finding;
b. Acoustic beacons, as follows:
1. Acoustic emergency beacons;
2. Pingers specially designed for relocating or returning to an underwater position.
a.1.a. Wide-swath bathymetric survey systems designed for sea bed topographic mapping, having all of the following:
a.1.a.1. Being designed to take measurements at an angle exceeding 20° from the vertical;
a.1.a.2. Being designed to measure depths exceeding 600 m below the water surface; and
a.1.a.3. Being designed to provide any of the following:
a.1.a.3.a. Incorporation of multiple beams any of which is less than 1.9°; or
a.1.a.3.b. Data accuracies of better than 0.3% of water depth across the swath averaged over the individual measurements within the swath;
a.1.b. Object detection or location systems having any of the following:
a.1.b.1. A transmitting frequency below 10 kHz;
a.1.b.2. Sound pressure level exceeding 224dB (reference 1 µPa at 1 m) for equipment with an operating frequency in the band from 10 kHz to 24 kHz inclusive;
a.1.b.3. Sound pressure level exceeding 235 dB (reference 1 µPa at 1 m) for equipment with an operating frequency in the band between 24 kHz and 30 kHz;
a.1.b.4. Forming beams of less than 1° on any axis and having an operating frequency of less than 100 kHz;
a.1.b.5. Designed to operate with an unambiguous display range exceeding 5,120 m; or
a.1.b.6. Designed to withstand pressure during normal operation at depths exceeding 1,000 m and having transducers with any of the following:
a.1.b.6.a. Dynamic compensation for pressure; or
a.1.b.6.b. Incorporating other than lead zirconate titanate as the transduction element;
a.1.c. Acoustic projectors, including transducers, incorporating piezoelectric, magnetostrictive, electrostrictive, electrodynamic or hydraulic elements operating individually or in a designed combination, having any of the following:
Notes: 1. The control status of acoustic projectors, including transducers, specially designed for other equipment is determined by the control status of the other equipment.
2. 6A001.a.1.c does not control electronic sources that direct the sound vertically only, or mechanical (e.g., air gun or vapor-shock gun) or chemical (e.g., explosive) sources.
a.1.c.1. An instantaneous radiated acoustic power density exceeding 0.01 mW/mm 2 /Hz for devices operating at frequencies below 10 kHz;
a.1.c.2. A continuously radiated acoustic power density exceeding 0.001 Mw/mm 2 /Hz for devices operating at frequencies below 10 kHz; or
Technical Note: Acoustic power density is obtained by dividing the output acoustic power by the product of the area of the radiating surface and the frequency of operation.
a.1.c.3. Side-lobe suppression exceeding 22 dB;
a.1.d. Acoustic systems, equipment and specially designed components for determining the position of surface vessels or underwater vehicles designed to operate at a range exceeding 1,000 m with a positioning accuracy of less than 10 m rms (root mean square) when measured at a range of 1,000 m;
Note: 6A001.a.1.d includes: (continued)