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(continued)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof (4)
(18). Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Borides
Beryllium
Sensor window Dielectric layers
materials (9). (15)
Titanium alloys (13) Borides
Nitrides
2. Ion assisted Ceramics (19) and Dielectric layers
resistive heating. Low-expansion (15)
Physical Vapor glasses (14). Diamond-like carbon
Deposition (PVD) (Ion (17)
Plating).
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16), (15)
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric layers
materials (9). (15)
Diamond-like carbon
(17)
3. Physical Vapor Ceramics (19) and Silicides
Deposition (PVD): Low-expansion Dielectric layers
``Laser'' Vaporization. glasses (14). (15)
Diamond-like carbon
(17)
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16), (15)
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric layers
materials (9). (15)
Diamond-like carbon
4. Physical Vapor ``Superalloys''..... Alloyed silicides
Deposition (PVD): Alloyed Aluminides
Cathodic Arc Discharge. (2)
MCrAlX (5)
Polymers (11) and Borides
Organic ``matrix'' Carbides
``composites''. Nitrides
Diamond-like carbon
(17)
C. Pack cementation (see A Carbon-carbon, Silicides
above for out-of-pack Ceramic and Metal Carbides
cementation) (10). ``matrix'' Mixtures thereof (4)
``composites''.
Titanium alloys (13) Silicides
Aluminides
Alloyed aluminides
(2)
Refractory metals Silicides
and alloys (8). Oxides
D. Plasma spraying.......... ``Superalloys''..... MCrAlX (5)
Modified zirconia
(12)
Mixtures thereof (4)
Abradable Nickel-
Graphite
Abradable materials
containing Ni-Cr-Al
Abradable
Al-Si-Polyester
Alloyed aluminides
(2)
Aluminum alloys (6). MCrAIX (5)
Modified zirconia
(12)
Silicides
Mixtures thereof (4)
Refractory metals Aluminides
and alloys (8), Silicides
Carbides, Corrosion MCrAIX (5)
resistant steel (7). Modified zirconia
(12)
Mixtures thereof (4)
Titanium alloys (13) Carbides
Aluminides
Silicides
Alloyed aluminides
(2)
Abradable, Nickel- Abradable materials
Graphite. containing Ni-Cr-Al
Abradable Al-Si-
Polyester
E. Slurry Deposition........ Refractory metals Fused silicides
and alloys (8). Fused aluminides
except for
resistance heating
elements
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Mixtures thereof (4)
``composites''.
F. Sputter Deposition....... ``Superalloys''..... Alloyed silicides
Alloyed aluminides
(2)
Noble metal modified
aluminides (3)
McrAlX (5)
Modified zirconia
(12)
Platinum Mixtures
thereof (4)
Ceramics and Low- Silicides
expansion glasses Platinum
(14). Mixtures thereof (4)
Dielectric layers
(15)
Diamond-like carbon
(17)
Titanium alloys (13) Borides
Nitrides
Oxides
Silicides
Aluminides
Alloyed aluminides
(2)
Carbides
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Refractory metals
``Composites''. Mixtures thereof (4)
Dielectric layers
(15)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof (4)
(18). Dielectric layers
(15)
Boron nitride
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Borides
Beryllium alloys. Dielectric layers
(15)
Beryllium
Sensor window Dielectric layers
materials (9). (15)
Diamond-like carbon
(17)
Refractory metals Aluminides
and alloys (8). Silicides
Oxides
Carbides
G. Ion Implantation......... High temperature Additions of
bearing steels. Chromium, Tantalum,
or Niobium
(Columbium)
Titanium alloys (13) Borides
Nitrides
Beryllium and Borides
Beryllium alloys.
Cemented tungsten Carbides
carbide (16). Nitrides
------------------------------------------------------------------------
1 The numbers in parenthesis refer to the Notes following this Table.
Notes to Table on Deposition Techniques
1. The term ‘coating process’ includes coating repair and refurbishing as well as original coating.
2. The term ‘alloyed aluminide coating’ includes single or multiple-step coatings in which an element or elements are deposited prior to or during application of the aluminide coating, even if these elements are deposited by another coating process. It does not, however, include the multiple use of single-step pack cementation processes to achieve alloyed aluminides.
3. The term ‘noble metal modified aluminide’ coating includes multiple-step coatings in which the noble metal or noble metals are laid down by some other coating process prior to application of the aluminide coating.
4. The term ‘mixtures thereof’ includes infiltrated material, graded compositions, co-deposits and multilayer deposits and are obtained by one or more of the coating processes specified in the Table.
5. MCrAlX refers to a coating alloy where M equals cobalt, iron, nickel or combinations thereof and X equals hafnium, yttrium, silicon, tantalum in any amount or other intentional additions over 0.01 weight percent in various proportions and combinations, except:
a. CoCrAlY coatings which contain less than 22 weight percent of chromium, less than 7 weight percent of aluminum and less than 2 weight percent of yttrium;
b. CoCrAlY coatings which contain 22 to 24 weight percent of chromium, 10 to 12 weight percent of aluminum and 0.5 to 0.7 weight percent of yttrium; or
c. NiCrAlY coatings which contain 21 to 23 weight percent of chromium, 10 to 12 weight percent of aluminum and 0.9 to 1.1 weight percent of yttrium.
6. The term ‘aluminum alloys’ refers to alloys having an ultimate tensile strength of 190 MPa or more measured at 293 K (20° C).
7. The term ‘corrosion resistant steel’ refers to AISI (American Iron and Steel Institute) 300 series or equivalent national standard steels.
8. ‘Refractory metals and alloys’ include the following metals and their alloys: niobium (columbium), molybdenum, tungsten and tantalum.
9. ‘Sensor window materials’, as follows: alumina, silicon, germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond, gallium phosphide, sapphire and the following metal halides: sensor window materials of more than 40 mm diameter for zirconium fluoride and hafnium fluoride.
10. “Technology” for single-step pack cementation of solid airfoils is not controlled by this Category.
11. ‘Polymers’, as follows: polyimide, polyester, polysulfide, polycarbonates and polyurethanes.
12. ‘Modified zirconia’ refers to additions of other metal oxides, (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) to zirconia in order to stabilize certain crystallographic phases and phase compositions. Thermal barrier coatings made of zirconia, modified with calcia or magnesia by mixing or fusion, are not controlled.
13. ‘Titanium alloys’ refers only to aerospace alloys having an ultimate tensile strength of 900 MPa or more measured at 293 K (20° C).
14. ‘Low-expansion glasses’ refers to glasses which have a coefficient of thermal expansion of 1 × 10-7 K-1 or less measured at 293 K (20° C).
15. ‘Dielectric layers’ coatings constructed of multi-layers of insulator materials in which the interference properties of a design composed of materials of various refractive indices are used to reflect, transmit or absorb various wavelength bands. Dielectric layers refers to more than four dielectric layers or dielectric/metal “composite” layers.
16. ‘Cemented tungsten carbide’ does not include cutting and forming tool materials consisting of tungsten carbide/(cobalt, nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-chromium and chromium carbide/nickel.
17. “Technology” specially designed to deposit diamond-like carbon on any of the following is not controlled: magnetic disk drives and heads, equipment for the manufacture of disposables valves for faucets, acoustic diaphragms for speakers, engine parts for automobiles, cutting tools, punching-pressing dies, office automation equipment, microphones or medical devices or molds, for casting or molding of plastics, manufactured from alloys containing less than 5% beryllium.
18. ‘Silicon carbide’ does not include cutting and forming tool materials.
19. Ceramic substrates, as used in this entry, does not include ceramic materials containing 5% by weight, or greater, clay or cement content, either as separate constituents or in combination.
Technical Note to Table on Deposition Techniques: Processes specified in Column 1 of the Table are defined as follows:
a. Chemical Vapor Deposition (CVD) is an overlay coating or surface modification coating process wherein a metal, alloy, “composite”, dielectric or ceramic is deposited upon a heated substrate. Gaseous reactants are decomposed or combined in the vicinity of a substrate resulting in the deposition of the desired elemental, alloy or compound material on the substrate. Energy for this decomposition or chemical reaction process may be provided by the heat of the substrate, a glow discharge plasma, or “laser” irradiation.
Note 1: CVD includes the following processes: directed gas flow out-of-pack deposition, pulsating CVD, controlled nucleation thermal decomposition (CNTD), plasma enhanced or plasma assisted CVD processes.
Note 2: Pack denotes a substrate immersed in a powder mixture.
Note 3: The gaseous reactants used in the out-of-pack process are produced using the same basic reactions and parameters as the pack cementation process, except that the substrate to be coated is not in contact with the powder mixture.
b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an overlay coating process conducted in a vacuum with a pressure less than 0.1 Pa wherein a source of thermal energy is used to vaporize the coating material. This process results in the condensation, or deposition, of the evaporated species onto appropriately positioned substrates. The addition of gases to the vacuum chamber during the coating process to synthesize compound coatings is an ordinary modification of the process. The use of ion or electron beams, or plasma, to activate or assist the coating's deposition is also a common modification in this technique. The use of monitors to provide in-process measurement of optical characteristics and thickness of coatings can be a feature of these processes. Specific TE-PVD processes are as follows:
1. Electron Beam PVD uses an electron beam to heat and evaporate the material which forms the coating;
2. Ion Assisted Resistive Heating PVD employs electrically resistive heating sources in combination with impinging ion beam(s) to produce a controlled and uniform flux of evaporated coating species;
3. “Laser” Vaporization uses either pulsed or continuous wave “laser” beams to vaporize the material which forms the coating;
4. Cathodic Arc Deposition employs a consumable cathode of the material which forms the coating and has an arc discharge established on the surface by a momentary contact of a ground trigger. Controlled motion of arcing erodes the cathode surface creating a highly ionized plasma. The anode can be either a cone attached to the periphery of the cathode, through an insulator, or the chamber. Substrate biasing is used for non line-of-sight deposition.
Note: This definition does not include random cathodic arc deposition with non-biased substrates.
5. Ion Plating is a special modification of a general TE-PVD process in which a plasma or an ion source is used to ionize the species to be deposited, and a negative bias is applied to the substrate in order to facilitate the extraction of the species from the plasma. The introduction of reactive species, evaporation of solids within the process chamber, and the use of monitors to provide in-process measurement of optical characteristics and thicknesses of coatings are ordinary modifications of the process.
c. Pack Cementation is a surface modification coating or overlay coating process wherein a substrate is immersed in a powder mixture (a pack), that consists of:
1. The metallic powders that are to be deposited (usually aluminum, chromium, silicon or combinations thereof);
2. An activator (normally a halide salt); and
3. An inert powder, most frequently alumina.
Note: The substrate and powder mixture is contained within a retort which is heated to between 1,030 K (757 °C) to 1,375 K (1,102 °C) for sufficient time to deposit the coating.
d. Plasma Spraying is an overlay coating process wherein a gun (spray torch) which produces and controls a plasma accepts powder or wire coating materials, melts them and propels them towards a substrate, whereon an integrally bonded coating is formed. Plasma spraying constitutes either low pressure plasma spraying or high velocity plasma spraying.
Note 1: Low pressure means less than ambient atmospheric pressure.
Note 2: High velocity refers to nozzle-exit gas velocity exceeding 750 m/s calculated at 293 K (20 °C) at 0.1 MPa.
e. Slurry Deposition is a surface modification coating or overlay coating process wherein a metallic or ceramic powder with an organic binder is suspended in a liquid and is applied to a substrate by either spraying, dipping or painting, subsequent air or oven drying, and heat treatment to obtain the desired coating.
f. Sputter Deposition is an overlay coating process based on a momentum transfer phenomenon, wherein positive ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on an appropriately positioned substrate.
Note 1: The Table refers only to triode, magnetron or reactive sputter deposition which is used to increase adhesion of the coating and rate of deposition and to radio frequency (RF) augmented sputter deposition used to permit vaporization of non-metallic coating materials.
Note 2: Low-energy ion beams (less than 5 keV) can be used to activate the deposition.
g. Ion Implantation is a surface modification coating process in which the element to be alloyed is ionized, accelerated through a potential gradient and implanted into the surface region of the substrate. This includes processes in which ion implantation is performed simultaneously with electron beam physical vapor deposition or sputter deposition.
Accompanying Technical Information to Table on Deposition Techniques:
1. “Technology” for pretreatments of the substrates listed in the Table, as follows:
a. Chemical stripping and cleaning bath cycle parameters, as follows:
1. Bath composition;
a. For the removal of old or defective coatings corrosion product or foreign deposits;
b. For preparation of virgin substrates;
2. Time in bath;
3. Temperature of bath;
4. Number and sequences of wash cycles;
b. Visual and macroscopic criteria for acceptance of the cleaned part;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Temperature for heat treatment;
3. Time of heat treatment;
d. Substrate surface preparation parameters, as follows:
1. Grit blasting parameters, as follows:
a. Grit composition;
b. Grit size and shape;
c. Grit velocity;
2. Time and sequence of cleaning cycle after grit blast;
3. Surface finish parameters;
4. Application of binders to promote adhesion;
e. Masking technique parameters, as follows:
1. Material of mask;
2. Location of mask;
2. “Technology” for in situ quality assurance techniques for evaluation of the coating processes listed in the Table, as follows:
a. Atmosphere parameters, as follows:
1. Composition of the atmosphere;
2. Pressure of the atmosphere;
b. Time parameters;
c. Temperature parameters;
d. Thickness parameters;
e. Index of refraction parameters;
f. Control of composition;
3. “Technology” for post deposition treatments of the coated substrates listed in the Table, as follows:
a. Shot peening parameters, as follows:
1. Shot composition;
2. Shot size;
3. Shot velocity;
b. Post shot peening cleaning parameters;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Time-temperature cycles;
d. Post heat treatment visual and macroscopic criteria for acceptance of the coated substrates;
4. “Technology” for quality assurance techniques for the evaluation of the coated substrates listed in the Table, as follows:
a. Statistical sampling criteria;
b. Microscopic criteria for:
1. Magnification;
2. Coating thickness, uniformity;
3. Coating integrity;
4. Coating composition;
5. Coating and substrates bonding;
6. Microstructural uniformity.
c. Criteria for optical properties assessment (measured as a function of wavelength):
1. Reflectance;
2. Transmission;
3. Absorption;
4. Scatter;
5. “Technology” and parameters related to specific coating and surface modification processes listed in the Table, as follows:
a. For Chemical Vapor Deposition (CVD):
1. Coating source composition and formulation;
2. Carrier gas composition;
3. Substrate temperature;
4. Time-temperature-pressure cycles;
5. Gas control and part manipulation;
b. For Thermal Evaporation-Physical Vapor Deposition (PVD):
1. Ingot or coating material source composition;
2. Substrate temperature;
3. Reactive gas composition;
4. Ingot feed rate or material vaporization rate;
5. Time-temperature-pressure cycles;
6. Beam and part manipulation;
7. “Laser” parameters, as follows:
a. Wave length;
b. Power density;
c. Pulse length;
d. Repetition ratio;
e. Source;
c. For Pack Cementation:
1. Pack composition and formulation;
2. Carrier gas composition;
3. Time-temperature-pressure cycles;
d. For Plasma Spraying:
1. Powder composition, preparation and size distributions;
2. Feed gas composition and parameters;
3. Substrate temperature;
4. Gun power parameters;
5. Spray distance;
6. Spray angle;
7. Cover gas composition, pressure and flow rates;
8. Gun control and part manipulation;
e. For Sputter Deposition:
1. Target composition and fabrication;
2. Geometrical positioning of part and target;
3. Reactive gas composition;
4. Electrical bias;
5. Time-temperature-pressure cycles;
6. Triode power;
7. Part manipulation;
f. For Ion Implantation:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate parameters;
4. Time-temperature-pressure cycles.
g. For Ion Plating:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate parameters;
4. Time-temperature-pressure cycles;
5. Coating material feed rate and vaporization rate;
6. Substrate temperature;
7. Substrate bias parameters.
2E018 “Technology” for the “use” of equipment controlled by 2B018.
License Requirements
Reason for Control: NS, MT, AT, UN.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 1.
MT applies to ``technology'' for MT Column 1.
equipment controlled by 2B018 for MT
reasons.
AT applies to entire entry.............. AT Column 1.
UN applies to entire entry.............. Iraq and Rwanda.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes, except N/A for Rwanda
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E101 “Technology” according to the General Technology Note for the “use” of equipment or “software” controlled by 2B004, 2B009, 2B104, 2B105, 2B109, 2B116, 2B117, 2B119 to 2B122, 2D001, 2D002 or 2D101.
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
MT applies to ``technology'' for items MT Column 1
controlled by 2B004, 2B009, 2B104,
2B105, 2B109, 2B116, 2B117, 2B119 to
2B122, 2D001, or 2D101 for MT reasons.
NP applies to ``technology'' for items NP Column 1
controlled by 2B004, 2B009, 2B104,
2B109, 2B116, 2D001, 2D002 or 2D101
for NP reasons.
AT applies to entire entry............. AT Column 1
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: (1) This entry controls only “technology” for 2B009 and 2B109 for spin forming machines combining the functions of spin forming and flow forming, and flow forming machines.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E201 “Technology” according to the General Technology Note for the “use” of equipment or “software” controlled by 2A225, 2A226, 2B001, 2B006, 2B007.b, 2B007.c, 2B008, 2B201, 2B204, 2B206, 2B207, 2B209, 2B225 to 2B232, 2D002, 2D201 or 2D202.
License Requirements
Reason for Control: NP, CB, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NP applies to entire entry, except NP Column 1.
2B008.
CB applies to ``technology'' for valves CB Column 2.
controlled by 2A226 that meet or
exceed the technical parameters in
2B350.g.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E290 “Technology” according to the General Technology Note for the “use” of equipment controlled by 2A290, 2A291, 2A292, 2A293, or 2B290.
License Requirements
Reason for Control: NP, CB, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 2.
CB applies to ``technology'' for valves CB Column 2.
controlled by 2A292 that meet or
exceed the technical parameters in
2B350.g.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E301 “Technology” according to the “General Technology Note” for the “use” of items controlled by 2B350, 2B351 and 2B352.
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
CB applies to entire entry............. CB Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The lists of items controlled are contained in the ECCN headings.
2E983 “Technology” specially designed or modified for the “development”, “production” or “use” of equipment controlled by 2A983, or the “development” of software controlled by 2D983.
License Requirements
Reason for Control:RS, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
RS applies to entire entry............. RS Column 2
AT applies to entire entry............. AT Column 1
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading.
2E991 “Technology” for the “use” of equipment controlled by 2B991, 2B993, 2B996, or 2B997.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A.
Related Definitions: N/A.
Items: The list of items controlled is contained in the ECCN heading.
2E994 “Technology” for the “use” of portable electric generators controlled by 2A994.
License Requirements
Reason for Control: AT
Control(s).
AT applies to entire entry. A license is required for items controlled by this entry to Cuba, Iran, Libya, and North Korea for anti-terrorism reasons. The Commerce Country Chart is not designed to determine licensing requirements for this entry. See part 746 of the EAR for additional information on Cuba and Iran. See §742.20 for additional information on Libya. See §742.19 of the EAR for additional information on North Korea.
Note: Exports from the U.S. and transhipments to Iran must be licensed by the Department of Treasury, Office of Foreign Assets Control. (See §742.8 and §746.7 of the EAR for additional information on this requirement.)
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A.
Related Definitions: N/A.
Items: The list of items controlled is contained in the ECCN heading.
EAR99 Items subject to the EAR that are not elsewhere controlled by this CCL Category or in any other category in the CCL are designated by the number EAR99.
Category 3—Electronics
A. Systems, Equipment and Components
Note 1: The control status of equipment and components described in 3A001 or 3A002, other than those described in 3A001.a.3 to 3A001.a.10 or 3A001.a.12, which are specially designed for or which have the same functional characteristics as other equipment is determined by the control status of the other equipment.
Note 2: The control status of integrated circuits described in 3A001.a.3 to 3A001.a.9 or 3A001.a.12 that are unalterably programmed or designed for a specific function for other equipment is determined by the control status of the other equipment.
N.B.: When the manufacturer or applicant cannot determine the control status of the other equipment, the control status of the integrated circuits is determined in 3A001.a.3 to 3A001.a.9 and 3A001.a.12. If the integrated circuit is a silicon-based “microcomputer microcircuit” or microcontroller microcircuit described in 3A001.a.3 having an operand (data) word length of 8 bit or less, the control status of the integrated circuit is determined in 3A001.a.3.
3A001 Electronic components, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, NP, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2
MT applies to 3A001.a.1.a when usable MT Column 1
in ``missiles''; and to 3A001.a.5.a
when ``designed or modified'' for
military use, hermetically sealed and
rated for operation in the temperature
range from below -54 °C to above
+125 °C.
NP applies to pulse discharge NP Column 1
capacitors in 3A001.e.2 and
superconducting solenoidal
electromagnets in 3A001.e.3 that meet
or exceed the technical parameters in
3A201.a and 3A201.b, respectively.
AT applies to entire entry............. AT Column 1
------------------------------------------------------------------------
License Exceptions
LVS: N/A for MT or NP.
Yes for:
$1500: 3A001.c
$3000: 3A001.b.1, b.2, b.3, .d, .e and .f
$5000: 3A001.a (except.a.1.a and a.5.a when controlled for MT), and .b.4 to b.7
GBS: Yes for 3A001.a.1.b, a.2 to a.12 (except .a.5.a when controlled for MT), b.2, and b.8 (except for TWTAs exceeding 18 GHz).
CIV: Yes for 3A001.a.3.b, a.3.c, a.4, a.7, and a.11.
List of Items Controlled
Unit: Number.
Related Controls: (1) The following commodities are under the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121) when “space qualified” and operating at frequencies higher than 31.8 GHz: helix tubes (traveling wave tubes (TWT)) defined in 3A001.b.1.a.4.c; microwave solid state amplifiers defined in 3A001.b.4.b traveling wave tube amplifiers (TWTA) defined in 3A001.b.8; and derivatives thereof; (2) “Space qualified” and radiation hardened photovoltaic arrays, as defined in 3A001.e.1.c, having silicon cells or having single, dual or triple junction solar cells that have gallium arsenide as one of the junctions, are subject to the export licensing authority of the Department of Commerce. All other “space qualified” and radiation hardened photovoltaic arrays defined in 3A001.e.1.c and spacecraft/satellite concentrators and batteries are under the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121). See also 3A101, 3A201, and 3A991.
Related Definitions: For the purposes of integrated circuits in 3A001.a.1, 5 × 10 3 Gy(Si) = 5 × 10 5 Rads (Si); 5 × 10 6 Gy (Si)/s = 5 × 10 8 Rads (Si)/s. For purposes of photovoltaic arrays in 3A001.e.1.c, an array predominately consists of: a substrate; solar cells having silicon cells or having single, dual, and or triple junction solar cells that have gallium arsenide as one of the junctions; coverglass; ultra-violet coating(s); and bonding agent(s). Spacecraft/satellite: solar concentrators, power conditioners and or controllers, bearing and power transfer assembly, and or deployment hardware/systems are controlled under the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121).
Items:
a. General purpose integrated circuits, as follows:
Note 1: The control status of wafers (finished or unfinished), in which the function has been determined, is to be evaluated against the parameters of 3A001.a.
Note 2: Integrated circuits include the following types:
“Monolithic integrated circuits”
“Hybrid integrated circuits”
“Multichip integrated circuits”
“Film type integrated circuits”, including silicon-on-sapphire integrated circuits;
“Optical integrated circuits”
a.1. Integrated circuits, designed or rated as radiation hardened to withstand any of the following:
a.1.a. A total dose of 5 × 10 3 Gy (Si), or higher;
a.1.b. A dose rate upset of 5 × 10 6 Gy (Si)/s, or higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 10 13 n/cm 2 or higher on silicon, or its equivalent for other materials;
Note: 3A001.a.1.c does not apply to Metal Insulator Semiconductors (MIS).
a.2. “Microprocessor microcircuits”, “microcomputer microcircuits”, microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, analog-to-digital converters, digital-to-analog converters, electro-optical or “optical integrated circuits” designed for “signal processing”, field programmable logic devices, neural network integrated circuits, custom integrated circuits for which either the function is unknown or the control status of the equipment in which the integrated circuit will be used in unknown, Fast Fourier Transform (FFT) processors, electrical erasable programmable read-only memories (EEPROMs), flash memories or static random-access memories (SRAMs), having any of the following:
a.2.a. Rated for operation at an ambient temperature above 398 K (125 °C);
a.2.b. Rated for operation at an ambient temperature below 218 K (-55 °C); or
a.2.c. Rated for operation over the entire ambient temperature range from 218 K (-55 °C) to 398 K (125 °C);
Note: 3A001.a.2 does not apply to integrated circuits for civil automobile or railway train applications.
a.3. “Microprocessor microcircuits”, “micro-computer microcircuits” and microcontroller microcircuits, having any of the following characteristics:
Note: 3A001.a.3 includes digital signal processors, digital array processors and digital coprocessors.
a.3.a. [Reserved]
a.3.b. Manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz; or
a.3.c. More than three data or instruction bus or serial communication ports, each providing direct external interconnection between parallel “microprocessor microcircuits” with a transfer rate of 1000 Mbyte/s or greater;
a.4. Storage integrated circuits manufactured from a compound semiconductor;
a.5. Analog-to-digital and digital-to-analog converter integrated circuits, as follows:
a.5.a. Analog-to-digital converters having any of the following:
a.5.a.1.A resolution of 8 bit or more, but less than 10 bit, an output rate greater than 500 million words per second;
a.5.a.2 A resolution of 10 bit or more, but less than 12 bit, with an output rate greater than 200 million words per second;
a.5.a.3. A resolution of 12 bit with an output rate greater than 50 million words per second;
a.5.a.4. A resolution of more than 12 bit but equal to or less than 14 bit with an output rate greater than 5 million words per second; or
a.5.a.5. A resolution of more than 14 bit with an output rate greater than 1 million words per second.
a.5.b. Digital-to-analog converters with a resolution of 12 bit or more, and a “settling time” of less than 10 ns;
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2n levels.
2. The number of bits in the output word is equal to the resolution of the analogue-to-digital converter.
3. The output rate is the maximum output rate of the converter, regardless of architecture or oversampling. Vendors may also refer to the output rate as sampling rate, conversion rate or throughput rate. It is often specified in megahertz (MHz) or mega samples per second (MSPS).
4. For the purpose of measuring output rate, one output word per second is equivalent to one Hertz or one sample per second.
a.6. Electro-optical and “optical integrated circuits” designed for “signal processing” having all of the following:
a.6.a. One or more than one internal “laser” diode;
a.6.b. One or more than one internal light detecting element; and
a.6.c. Optical waveguides;
a.7. Field programmable logic devices having any of the following:
a.7.a. An equivalent usable gate count of more than 30,000 (2 input gates);
a.7.b. A typical “basic gate propagation delay time” of less than 0.1 ns; or
a.7.c. A toggle frequency exceeding 133 MHz;
Note: 3A001.a.7 includes: Simple Programmable Logic Devices (SPLDs), Complex Programmable Logic Devices (CPLDs), Field Programmable Gate Arrays (FPGAs), Field Programmable Logic Arrays (FPLAs), and Field Programmable Interconnects (FPICs).
N.B.: Field programmable logic devices are also known as field programmable gate or field programmable logic arrays.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following:
a.10.a. More than 1,000 terminals;
a.10.b. A typical “basic gate propagation delay time” of less than 0.1 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in 3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated execution time for an N-point complex FFT of less than (N log2 N)/20,480 ms, where N is the number of points;
Technical Note: When N is equal to 1,024 points, the formula in 3A001.a.12 gives an execution time of 500 µs.
b. Microwave or millimeter wave components, as follows:
b.1. Electronic vacuum tubes and cathodes, as follows:
Note 1: 3A001.b.1 does not control tubes designed or rated for operation in any frequency band which meets all of the following characteristics:
(a) Does not exceed 31.8 GHz; and
(b) Is “allocated by the ITU” for radio-communications services, but not for radio-determination.
Note 2: 3A001.b.1 does not control non-“space-qualified” tubes which meet all the following characteristics:
(a) An average output power equal to or less than 50 W; and
(b) Designed or rated for operation in any frequency band which meets 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 radio-communications services, but not for radio-determination.
b.1.a. Traveling wave tubes, pulsed or continuous wave, as follows:
b.1.a.1. Operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Having a cathode heater element with a turn on time to rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity tubes, or derivatives thereof, with a “fractional bandwidth” of more than 7% or a peak power exceeding 2.5 kW;
b.1.a.4. Helix tubes, or derivatives thereof, with any of the following characteristics:
b.1.a.4.a. An “instantaneous bandwidth” of more than one octave, and average power (expressed in kW) times frequency (expressed in GHz) of more than 0.5;
b.1.a.4.b. An “instantaneous bandwidth” of one octave or less, and average power (expressed in kW) times frequency (expressed in GHz) of more than 1; or
b.1.a.4.c. Being “space qualified”;
b.1.b. Crossed-field amplifier tubes with a gain of more than 17 dB;
b.1.c. Impregnated cathodes designed for electronic tubes producing a continuous emission current density at rated operating conditions exceeding 5 A/cm 2 ;
b.2. Microwave monolithic integrated circuits (MMIC) power amplifiers having any of the following:
b.2.a. Rated for operation at frequencies exceeding 3.2 GHz up to and including 6 GHz and with an average output power greater than 4W (36 dBm) with a “fractional bandwidth” greater than 15%;
b.2.b. Rated for operation at frequencies exceeding 6 GHz up to and including 16 GHz and with an average output power greater than 1W (30 dBm) with a “fractional bandwidth” greater than 10%;
b.2.c. Rated for operation at frequencies exceeding 16 GHz up to and including 31.8 GHz and with an average output power greater than 0.8W (29 dBm) with a “fractional bandwidth” greater than 10%;
b.2.d. Rated for operation at frequencies exceeding 31.8 GHz up to and including 37.5 GHz;
b.2.e. Rated for operation at frequencies exceeding 37.5 GHz up to and including 43.5 GHz and with an average output power greater than 0.25W (24 dBm) with a “fractional bandwidth” greater than 10%; or
b.2.f. Rated for operation at frequencies exceeding 43.5 GHz.
Note 1: 3A001.b.2 does not control broadcast satellite equipment designed or rated to operate in the frequency range of 40.5 to 42.5 GHz.
Note 2: The control status of the MMIC whose operating frequency spans more than one frequency range, as defined by 3A001.b.2., is determined by the lowest average output power control threshold.
Note 3: Notes 1 and 2 following the Category 3 heading for A. Systems, Equipment, and Components mean that 3A001.b.2. does not control MMICs if they are specially designed for other applications, e.g., telecommunications, radar, automobiles.
b.3. Microwave transistors having any of the following:
b.3.a. Rated for operation at frequencies exceeding 3.2 GHz up to and including 6 GHz and having an average output power greater than 60W (47.8 dBm);
b.3.b. Rated for operation at frequencies exceeding 6 GHz up to and including 31.8 GHz and having an average output power greater than 20W (43 dBm);
b.3.c. Rated for operation at frequencies exceeding 31.8 GHz up to and including 37.5 GHz and having an average output power greater than 0.5W (27 dBm);
b.3.d. Rated for operation at frequencies exceeding 37.5 GHz up to and including 43.5 GHz and having an average output power greater than 1W (30 dBm); or
b.3.e. Rated for operation at frequencies exceeding 43.5 GHz.
Note: The control status of an item whose operating frequency spans more than one frequency range, as defined by 3A001.b.3, is determined by the lowest average output power control threshold.
b.4. Microwave solid state amplifiers and microwave assemblies/modules containing microwave amplifiers having any of the following:
b.4.a. Rated for operation at frequencies exceeding 3.2 GHz up to and including 6 GHz and with an average output power greater than 60W (47.8 dBm) with a “fractional bandwidth” greater than 15%;
b.4.b. Rated for operation at frequencies exceeding 6 GHz up to and including 31.8 GHz and with an average output power greater than 15W (42 dBm) with a “fractional bandwidth” greater than 10%;
b.4.c. Rated for operation at frequencies exceeding 31.8 GHz up to and including 37.5 GHz;
b.4.d. Rated for operation at frequencies exceeding 37.5 GHz up to and including 43.5 GHz and with an average output power greater than 1W (30 dBm) with a “fractional bandwidth” greater than 10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz; or
b.4.f. Rated for operation at frequencies above 3 GHz and all of the following:
b.4.f.1. An average output power (in watts), P, greater than 150 divided by the maximum operating frequency (in GHz) squared [P > 150 W * GHz 2 /fGHz 2 ];
b.4.f.2. A fractional bandwidth of 5% or greater; and
b.4.f.3. Any two sides perpendicular to one another with length d (in cm) equal to or less than 15 divided by the lowest operating frequency in GHz [d = 15 cm * GHz/fGHz]. (continued)