29 May 1997
Source: Paper document from Greg Broiles.
For background see ACDA statements on arms export controls and the Wassenaar Arrangement, and the Export Administration Regulations (EAR).
UNITED STATES ARMS CONTROL AND DISARMAMENT AGENCY
Washington, D.C. 20451
April 25, 1997
ACDA No. 97023
Greg Broiles
P.O. Box 897
Oakland, CA 94604
Dear Mr. Broiles:
Per your request, I have enclosed the Wassenaar Arrangement List of Dual-Use Goods and Technologies and Munitions List.
Sincerely,[Signature]
Michael S. Coffee
Office of the General Counsel
Enclosure
[1]
ON
EXPORT CONTROLS FOR CONVENTIONAL ARMS AND
DUAL-USE GOODS AND TECHNOLOGIES
SUBMITTED TO THE
11th and 12th July, 1996
U.S. ARMS CONTROL AND DISARMAMENT AGENCY
Declass/Release (x) in whole ( ) in part
by F. Smith Date APR 25 1997
[2]
| LIST OF DUAL-USE GOODS AND TECHNOLOGIES | Page |
General Technology and General Software Notes |
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Category 1 Advanced Materials (42K) |
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Category 2 Materials Processing (59K) |
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Category 3 Electronics (36K) |
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Category 4 Computers (29K) |
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Category 5 - Part 1 Telecommunications (17K) |
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Category 5 - Part 2 "Information Security" (8K) |
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Category 6 Sensors and "Lasers" (61K) |
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Category 7 Navigation and Avionics (16K) |
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Category 8 Marine (20K) |
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Category 9 Propulsion (24K) |
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Annex 1 (32K) |
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Annex 2 (14K) |
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| MUNITIONS LIST (61K) | |
General Technology Note |
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Items 1 to 22 |
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| DEFINITIONS OF TERMS USED IN THESE LISTS (62K) | 170 |
| ACRONYMS AND ABBREVIATIONS USED IN THESE LISTS (7K) | 195 |
| STATEMENTS OF UNDERSTANDING AND VALIDITY NOTES (9K) | 197 |
These lists reflect the agreements recorded in Appendix 5 to the Initial Elements dated 19th December, 1995, and appropriate drafting changes agreed by the Drafting Group on the 16th March, 1996.
Category 2 of Annex 1 reflects the amendments of the Plenary Meeting dated 2nd and 3rd April, 1996.
[3]
Note Terms in "quotations" are defined terms. Refer to 'Definition of Terms used in these Lists' annexed to this List.
GENERAL TECHNOLOGY NOTE
The export of "technology" which is "required" for the "development", "production" or "use" of items controlled in the Dual-Use List is controlled according to the provisions in each Category. This "technology" remains under control even when applicable to any uncontrolled item.
Controls do not apply to that "technology" which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those items which are not controlled or whose export has been authorised.
N.B. This does not release such "technology" controlled in entries 1.E.2.e. & 1.E.2.f. and 8.E.2.a. & 8.E.2.b.
Controls do not apply to "technology" "in the public domain", to "basic scientific research" or to the minimum necessary information for patent applications.
The Lists do not control "software" which is either:
1. Generally available to the public by being:
a. Sold from stock at retail selling points without restriction, by means of:1. Over-the-counter transactions;
2. Mail order transactions; or
3. Telephone call transactions; andb. Designed for installation by the user without further suhstantial support by the supplier; or
2. "In the public domain".
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1. A. SYSTEMS, EQUIPMENT AND COMPONENTS
1.A.1. Components made from fluorinated compounds, as follows:
a. Seals, gaskets, sealants or fuel bladders specially designed for "aircraft" or aerospace use made from more than 50% by weight of any of the materials specified in 1.C.9.b. or 1.C.9.c.;b. Piezoelectric polymers and copolymers made from vinylidene fluoride materials specified in 1.C.9.a.:
1. In sheet or film form; and2. With a thickness exceeding 200 µm;
c. Seals, gaskets, valve seats, bladders or diaphragms made from fluoroelastomers containing at least one vinylether monomer, specially designed for "aircraft", aerospace or missile use.
1.A.2. "Composite" structures or laminates, having any of the following:
a. An organic "matrix" and made from materials specified in 1.C.10.c., 1.C.10.d. or 1.C.10.e.; orNote 1.A.2.a does not control finished or semi-finished items specially designed for purely civilian applications as follows:
1. Sporting goods;2. Automotive industry;
3. Machine tool industry;
4. Medical applications.
b. A metal or carbon "matrix" and made from:
1. Carbon "fibrous or filamentary materials" with:a. A "specific modulus" exceeding 10.15 x 106m; andb. A "specific tensile" strength exceeding 17.7 x 104m; or
2. Materials specified in 1.C.10.c.
Note 1.A.2.b. does not control finished or semi-finished items specially designed for purely civilian applications as follows:
1. Sporting goods;2. Automotive industry;
3. Machine tool industry;
4. Medical applications.
[5]
Technical Notes1. Specific modulus: Young's modulus in pascals, equivalent to N/m2 divided by specific weight in N/m3, measured at a temperature of (296 ± 2) K ((23 ± 2)°C) and a relative humidity of (50 ± 5)%.2. Specific tensile strength: ultimate tensile strength in pascals, equivalent to N/m2 divided by specific weight in N/m3, measured at a temperature of (296 ± 2) K ((23 ± 2)°C) and a relative humidity of (50 ± 5)%.
Note 1.A.2. does not control composite structures or laminates made from epoxy resin impregnated carbon "fibrous or filamentary matgerials" for the repair of aircraft structures or laminates, provided the size does not exceed 1 m2.
1.A.3. Manufactures of non-fluorinated polymeric substances specified in 1.C.8.a.3. in film, sheet, tape or ribbon form:
a. With a thickness exceeding 0.254 mm; orb. Coated or laminated with carbon, graphite, metals or magnetic substances.
Note: 1.A.3. does not control manufactures when coated or laminated with copper and designed for the production of electronic printed circuit boards.
1.A.4. Protective and detection equipment and components not specially designed for military use, as follows:
a. Gas masks, filter canisters and decontamination equipment therefor designed or modified for defence against biological agents or radioactive materials "adapted for use in war" or chemical warfare (CW) agents and specially designed components therefor;b. Protective suits, gloves and shoes specially designed or modified for defence against biological agents or radioactive materials "adapted for use in war" or chemical warfare (CW) agents;
c. Nuclear, biological and chemical (NBC) detection systems specially designed or modified for detection or identification of biological agents or radioactive materials "adapted for use in war" or chemical warfare (CW) agents and specially designed components therefor.
Note: 1.A.4. does not control :
a. Personal radiation monitoring dosimeters;b. Equipment limited by design or function to protect against hazards specific to civil industries, such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or to the food industry.
[6]
1.A.5. Body armour, and specially designed components therefor, not manufactured to military standards or specifications or to their equivalents in performance.
Note 1 1.A.5. does not control individual suits of body armour and accessories therefor, when accompanying their users for his/her own personal protection.
Note 2 1.A.5. does not control body armour designed to provide frontal protection only from both fragment and blast from non-military explosive devices.
1.B. TEST, INSPECTION AND PRODUCTION EQUIPMENT
1. Equipment for the production of fibres, prepregs, preforms or "composites" controlled by 1.A.2. or 1.C.10., as follows, and specially designed components and accessories therefor:
a. Filament winding machines of which the motions for positioning, wrapping and winding fibres are coordinated and programmed in three or more axes, specially designed for the manufacture of "composite" structures or laminates from "fibrous or filamentary materials";b. Tape-laying or tow-placement machines of which the motions for positioning and laying tape, tows or sheets are coordinated and programmed in two or more axes, specially designed for the manufacture of "composite" airframe or 'missile' structures;
c. Multidirectional, multidimensional weaving machines or interlacing machines, including adapters and modification kits, for weaving, interlacing or braiding fibres to manufacture "composite" structures;
Note 1.B.1.c. does not control textile machinery not modified for the above end-uses.
d. Equipment specially designed or adapted for the production of reinforcement fibres, as follows:
1. Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon fibres or silicon carbide fibres, including special equipment to strain the fibre during heating;2. Equipment for the chemical vapour deposition of elements or compounds on heated filamentary substrates to manufacture silicon carbide fibres;
3. Equipment for the wet-spinning of refractory ceramics (such as aluminium oxide);
4. Equipment for converting aluminium containing precursor fibres into alumina fibres by heat treatment;
[7]
e. Equipment for producing prepregs specified in 1.C.10.e. by the hot melt method;f. Non-destructive inspection equipment capable of inspecting defects three dimensionally, using ultrasonic or X-ray tomography and specially designed for "composite" materials.
1.B.2. Systems and components therefor, specially designed to avoid contamination and specially designed for producing metal alloys, metal alloy powder or alloyed materials specified in 1.C.2.a.2., 1.C.2.b. or 1.C.2.c.
1.B.3. Tools, dies, moulds or fixtures, for "superplastic forming" or "diffusion bonding" titanium or aluminium or their alloys, specially designed for the manufacture of:
a. Airframe or aerospace structures;b. "Aircraft" or aerospace engines; or
c. Specially designed components for those structures or engines.
1.C. MATERIALS
Technical Note
Metals and alloys
Unless provision to the contrary is made, the words 'metals' and 'alloys' cover crude and semi-fabricated forms, as follows:
Crude forms
Anodes, balls, bars (including notched bars and wire bars), billets, blocks, blooms, brickets, cakes, cathodes, crystals, cubes, dice, grains, granules, ingots, lumps, pellets, pigs, powder, rondelles, shot, slabs, slugs, sponge, sticks;
Semi-fabricated forms (whether or not coated, plated, drilled or punched):
a. Wrought or worked materials fabricated by rolling, drawing, extruding, forging, impact extruding, pressing, graining, atomising, and grinding, i.e.: angles, channels, circles, discs, dust, flakes, foils and leaf, forging, plate, powder, pressings and stampings, ribbons, rings, rods (including bare welding rods, wire rods, and rolled wire), sections, shapes, sheets, strip, pipe and tubes (including tube rounds, squares, and hollows), drawn or extruded wire;b. Cast material produced by casting in sand, die, metal, plaster or other types of moulds, including high pressure castings, sintered forms, and forms made by powder metallurgy.
The object of the control should not be defeated by the export of non-listed
forms alleged to be finished products but representing in reality crude forms
or semi-fabricated forms.
a. Materials for absorbing frequencies exceeding 2 x 108 Hz but less than 3 x 1012 Hz;Notes 1 1.C.1.a. does not control:a. Hair type absorbers, constructed of natural or synthetic fibres, with non-magnetic loading to provide absorption;
b. Absorbers having no magnetic loss and whose incident surface is non-planar in shape, including pyramids, cones, wedges and convoluted surfaces;
c. Planar absorbers, having all of the following characteristics:
1. Made from any of the following:a. Plastic foam materials (flexible or non-flexible) with carbon-loading, or organic materials, including binders, providing more than 5% echo compared with metal over a bandwidth exceeding ± 15% of the centre frequency of the incident energy, and not capable of withstanding temperatures exceeding 450 K (177°C); orb. Ceramic materials providing more than 20% echo compared with metal over a bandwidth exceeding ± 15% of the centre frequency of the incident energy, and not capable of withstanding temperatures exceeding 800 K (527°C);
Technical Note
Absorption test samples for 1.C.1.a. Note: 1.c.1. should be a square at least 5 wavelengths of the centre frequency on a side and positioned in the far field of the radiating element.
2. Tensile strength less than 7 x 106 N/m2; and
3. Compressive strength less than 14 x 106 N/m2;
d. Planar absorbers made of sintered ferrite, having:
1. A specific gravity exceeding 4.4; and2. A maximum operating temperature of 548 K (275°C).
Note 2 Nothing in 1.C.1.a. releases magnetic materials to provide absorption when contained in paint.
[9]
b. Materials for absorbing frequencies exceeding 1.5 x 1014 Hz but less than 3.7 x 1014 Hz and not transparent to visible light;c. Intrinsically conductive polymeric materials with a bulk electrical conductivity exceeding 10,000 S/m (Siemens per metre) or a sheet (surface) resistivity of less than 100 ohms/square, based on any of the following polymers:
1. Polyaniline;2. Polypyrrole;
3. Polythiophene;
4. Poly phenylene-vinylene; or
5. Poly thienylene-vinylene.
Technical Note:
Bulk electrical conductivity and sheet (surface) resistivity should be determined using ASTM D-257 or national equivalents.
1.C.2. Metal alloys, metal alloy powder and alloyed materials, as follows:
Note: 1.C.2. does not control metal alloys, metal alloy powder and alloyed materials for coating substrates.
a. Metal alloys, as follows:1. Nickel or titanium-based alloys in the form of aluminides, as follows, in crude or semi-fabricated forms:a. Nickel aluminides containing a minimum of 15 weight percent aluminium, a maximum of 38 weight percent aluminium and at least one additional alloying element ;b. Titanium aluminides containing 10 weight percent or more aluminium and at least one additional alloying element ;
2. Metal alloys, as follows, made from metal alloy powder or particulate material specified in 1.C.2.b.:
a. Nickel alloys with:1. A stress-rupture life of 10,000 hours or longer at 923 K (650°C) at a stress of 676 MPa; or2. A low cycle fatigue life of 10,000 cycles or more at 823 K (550°C) at a maximum stress of 1,095 MPa;
b. Niobium alloys with:
1. A stress-rupture life of 10,000 hours or longer at 1,073 K (800°C) at a stress of 400 MPa; or2. A low cycle fatigue life of 10,000 cycles or more at 973 K (700°C) at a maximum stress of 700 MPa;
c. Titanium alloys with:
1. A stress-rupture life of 10,000 hours or longer at 723 K (450°C) at a stress of 200 MPa; or2. A low cycle fatigue life of 10,000 cycles or more at 723 K (450°C) at a maximum stress of 400 MPa;
d. Aluminium alloys with a tensile strength of:
1. 240 MPa or more at 473 K (200°C); or2. 415 MPa or more at 298 K (25°C);
[10]
e. Magnesium alloys with a tensile strength of 345 MPa or more and a corrosion rate of less than 1 mm/year in 3% sodium chloride aqueous solution measured in accordance with ASTM standard G-31 or national equivalents;Technical Notes1. The metal alloys in 1.C.2.a. are those containing a higher percentage by weight of the stated metal than of any other element.
2. Stress-rupture life should be measured in accordance with ASTM standard E-139 or national equivalents.
3. Low cycle fatigue life should be measured in accordance with ASTM Standard E-606 'Recommended Practice for Constant-Amplitude Low-Cycle Fatigue Testing' or national equivalents. Testing should be axial with an average stress ratio equal to 1 and a stress-concentration factor (Kt) equal to 1. The average stress is defined as maximum stress minus minimum stress divided by maximum stress.
b. Metal alloy powder or particulate material for materials specified in 1.C.2.a., as follows:
1. Made from any of the following composition systems:Technical NoteX in the following equals one or more alloying elements.
a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine engine parts or components, i.e. with less than 3 non-metallic particles (introduced during the manufacturing process) larger than 100 µm in 109 alloy particles;
b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si, Nb-Ti-X or Nb-X-Ti);
c. Titanium alloys (Ti-Al-X or Ti-X-Al);
d. Aluminium alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn, Al-Fe-X or Al-X-Fe); or
e. Magnesium alloys (Mg-Al-X or Mg-X-Al); and
2. Made in a controlled environment by any of the following processes:
a. "Vacuum atomisation";b. "Gas atomisation";
c. "Rotary atomisation";
d. "Splat quenching";
e. "Melt spinning" and "comminution";
f. "Melt extraction" and "comminution"; or
g. "Mechanical alloying";
c. Alloyed materials, in the form of uncomminuted flakes, ribbons or thin rods produced in a controlled environment by "splat quenching", "melt spinning" or "melt extraction", used in the manufacture of metal alloy powder or particulate material specified in 1.C.2.b.
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1.C.3. Magnetic metals, of all types and of whatever form, having any of the following characteristics:
a. Initial relative permeability of 120,000 or more and a thickness of 0.05 mm or less;Technical Note
Measurement of initial permeability must be performed on fully annealed materials.
b. Magnetostrictive alloys, having any of the following characteristics:
1. A saturation magnetostriction of more than 5 x 10-4; or2. A magnetomechanical coupling factor (k) of more than 0.8; or
c. Amorphous or nanocrystalline alloy strips, having all of the following characteristics:
1. A composition having a minimum of 75 weight percent of iron, cobalt or nickel;2. A saturation magnetic induction (Bs) of 1.6 T or more; and
3. Any of the following:
a. A strip thickness of 0.02 mm or less; orb. An electrical resistivity of 2 x 10-4 ohm cm or more.
Technical Note
'Nanocrystalline' materials in 1.C.3.c. are those materials having a crystal grain size of 50 nm or less, as determined by X-ray diffraction.
1.C.4. Uranium titanium alloys or tungsten alloys with a "matrix" based on iron, nickel or copper, having all of the following:
a. A density exceeding 17.5 g/cm3;b. An elastic limit exceeding 1,250 MPa;
c. An ultimate tensile strength exceeding 1,270 MPa; and
d. An elongation exceeding 8%.
1.C.5. "Superconductive" "composite" conductors in lengths exceeding 100 m or with a mass exceeding 100 g, as follows:
a. Multifilamentary "superconductive" "composite" conductors containing one or more niobium-titanium filaments:1. Embedded in a "matrix" other than a copper or copper-based mixed "matrix"; or2. Having a cross-section area less than 0.28 x 10-4 mm2 (6 µm in diameter for circular filaments);
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b. "Superconductive" "composite" conductors consisting of one or more "superconductive" filaments other than niobium-titanium, having all of the following:1. A "critical temperature" at zero magnetic induction exceeding 9.85 K (-263.31°C) but less than 24 K (-249.16°C);2. A cross-section area less than 0.28 x 10-4 mm2; and
3. Remaining in the "superconductive" state at a temperature of 4.2 K (-268.96°C) when exposed to a magnetic field corresponding to a magnetic induction of 12 T.
1.C.6. Fluids and lubricating materials, as follows:
a. Hydraulic fluids containing, as their principal ingredients, any of the following compounds or materials:1. Synthetic hydrocarbon oils or silahydrocarbon oils, having all of the following:Note For the purpose of 1.C.6.a.1., silahydrocarbon oils contain exclusively silicon, hydrogen and carbon.
a. A flash point exceeding 477 K (204°C);b. A pour point at 239 K (-34°C) or less;
c. A viscosity index of 75 or more; and
d. A thermal stability at 616 K (343°C); or
2. Chlorofluorocarbons, having all of the following:
Note For the purpose of 1.C.6.a.2., chlorofluorocarbons contain exclusively carbon, fluorine and chlorine.
a. No flash point;b. An autogenous ignition temperature exceeding 977 K (704°C);
c. A pour point at 219 K (-54°C) or less;
d. A viscosity index of 80 or more; and
e. A boiling point at 473 K (200°C) or higher;
b. Lubricating materials containing, as their principal ingredients, any of the following compounds or materials:1. Phenylene or alkylphenylene ethers or thio-ethers, or their mixtures, containing more than two ether or thio-ether functions or mixtures thereof; or2. Fluorinated silicone fluids with a kinematic viscosity of less than 5,000 mm2/s (5,000 centistokes) measured at 298 K (25°C);
c. Damping or flotation fluids with a purity exceeding 99.8%, containing less than 25 particles of 200 µm or larger in size per 100 ml and made from at least 85% of any of the following compounds or materials:
1. Dibromotetrafluoroethane;2. Polychlorotrifluoroethylene (oily and waxy modifications only); or
3. Polybromotrifluoroethylene;
[13]
d. Fluorocarbon electronic cooling fluids, having all of the following characteristics:1. Containing 85% by weight or more of any of the following, or mixtures thereof:a. Monomeric forms of perfluoropolyalkylether-triazines or perfluoroaliphatic-ethers;b. Perfluoroalkylamines;
c. Perfluorocycloalkanes; or
d. Perfluoroalkanes;
2. Density at 298 K (25°C) of 1.5 g/ml or more;
3. In a liquid state at 273 K (0°C); and
4. Containing 60% or more by weight of fluorine.
Technical Note
For the purpose of 1.C.6.:
a. Flash point is determined using the Cleveland Open Cup Method described in ASTM D-92 or national equivalents;b. Pour point is determined using the method described in ASTM D-97 or national equivalents;
c. Viscosity index is determined using the method described in ASTM D-2270 or national equivalents;
d. Thermal stability is determined by the following test procedure or national equivalents:
Twenty ml of the fluid under test is placed in a 46 ml type 317 stainless steel chamber containing one each of 12.5 mm (nominal) diameter balls of M-10 tool steel, 52100 steel and naval bronze (60% Cu, 39% Zn, 0.75% Sn);
The chamber is purged with nitrogen, sealed at atmospheric pressure and the temperature raised to and maintained at 644 ± 6 K (371 ± 6°C) for six hours;
The specimen will be considered thermally stable if, on completion of the above procedure, all of the following conditions are met:
1. The loss in weight of each ball is less than 10 mg/mm2 of ball surface;2. The change in original viscosity as determined at 311 K (38°C) is less than 25%; and
3. The total acid or base number is less than 0.40;
e. Autogenous ignition temperature is determined using the method described in ASTM E-659 or national equivalents.
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1.C.7. Ceramic base materials, non-"composite" ceramic materials, ceramic-"matrix" "composite" materials and precursor materials, as follows:
a. Base materials of single or complex borides of titanium having total metallic impurities, excluding intentional additions, of less than 5,000 ppm, an average particle size equal to or less than 5 µm and no more than 10% of the particles larger than 10 µm;b. Non-"composite" ceramic materials in crude or semi-fabricated form, composed of borides of titanium with a density of 98% or more of the theoretical density;
Note 1.C.7.b. does not control abrasives.
c. Ceramic-ceramic "composite" materials with a glass or oxide-"matrix" and reinforced with fibres made from any of the following systems:
1. Si-N;2. Si-C;
3. Si-Al-O-N; or
4. Si-O-N;
having a specific tensile strength exceeding 12.7 x 103 m;
d. Ceramic-ceramic "composite" materials, with or without a continuous metallic phase, incorporating particles, whiskers or fibres, where carbides or nitrides of silicon, zirconium or boron form the "matrix";
e. Precursor materials (i.e., special purpose polymeric or metallo-organic materials) for producing any phase or phases of the materials specified in 1.C.7.c., as follows:
1. Polydiorganosilanes (for producing silicon carbide);2. Polysilazanes (for producing silicon nitride);
3. Polycarbosilazanes (for producing ceramics with silicon, carbon and nitrogen components);
f. Ceramic-ceramic "composite" materials with an oxide or glass "matrix" reinforced with continuous fibres from any of the following systems:
1. Al2O3; or2. Si-C-N.
Note: 1.C.7.f. does not control "composites" containing fibres from these systems with a fibre tensile strength of less than 700 MPa at 1,273 K (1,000°C) or fibre tensile creep resistance of more than 1% creep strain at 100 MPa load and 1,273 K (1,000°C) for 100 hours.
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1.C.8. Non-fluorinated polymeric substances, as follows:
a.1. Bismaleimides;2. Aromatic polyamide-imides;
3. Aromatic polyimides;
4. Aromatic polyetherimides having a glass transition temperature (Tg) exceeding 513 K (240°C) determined using the dry method described in ASTM D 3418;
Note 1.C.8.a. does not control non-fusible compression moulding powders or moulded forms.
b. Thermoplastic liquid crystal copolymers having a heat distortion temperature exceeding 523 K (250°C) measured according to ASTM D-648, method A, or national equivalents, with a load of 1.82 N/mm2 and composed of:
1. Any of the following:a. Phenylene, biphenylene or naphthalene; orb. Methyl, tertiary-butyl or phenyl substituted phenylene, biphenylene or naphthalene; and
2. Any of the following acids:
a. Terephthalic acid;b. 6-hydroxy-2 naphthoic acid; or
c. 4-hydroxybenzoic acid;
c. Polyarylene ether ketones, as follows:
1. Polyether ether ketone (PEEK);2. Polyether ketone ketone (PEKK);
3. Polyether ketone (PEK);
4. Polyether ketone ether ketone ketone (PEKEKK);
d. Polyarylene ketones;
e. Polyarylene sulphides, where the arylene group is biphenylene, triphenylene or combinations thereof;
f. Polybiphenylenethersulphone.
Technical Note
The glass transition temperature (Tg) for 1.C.8. materials is determined using the method described in ASTM D 3418 using the dry method.
1.C.9. Unprocessed fluorinated compounds, as follows:
a. Copolymers of vinylidene fluoride having 75% or more beta crystalline structure without stretching;b. Fluorinated polyimides containing 10% by weight or more of combined fluorine;
c. Fluorinated phosphazene elastomers containing 30% by weight or more of combined fluorine.
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1.C.10. "Fibrous or filamentary materials" which may be used in organic "matrix", metallic "matrix" or carbon "matrix" "composite" structures or laminates, as follows:
a. Organic "fibrous or filamentary materials", having all of the following:1. A specific modulus exceeding 12.7 x 106 m; and2. A specific tensile strength exceeding 23.5 x 104 m;
Note 1.C.10.a. does not control polyethylene.
b. Carbon "fibrous or filamentary materials", having all of the following:
1. A specific modulus exceeding 12.7 x 106 m; and2. A specific tensile strength exceeding 23.5 x 104 m;
Technical Note
Properties for materials described in 1.C.10.b. should be determined using SACMA recommended methods SRM 12 to 17, or national equivalent tow tests, such as Japanese Industrial Standard JIS-R-7601, Paragraph 6.6.2., and based on lot average.
Note 1.C.10.b. does not control fabric made from "fibrous or filamentary materials" for the repair of aircraft structures or laminates, in which the size of individual sheets does not exceed 50 cm x 90 cm.
c. Inorganic "fibrous or filamentary materials", having all of the following:
1. A specific modulus exceeding 2.54 x 106 m; and2. A melting, softening, decomposition or sublimation point exceeding 1,922 K (1,649°C) in an inert environment;
Note 1.C.10.c. does not control:
1. Discontinuous, multiphase, polycrystalline alumina fibres in chopped fibre or random mat form, containing 3 weight percent or more silica, with a specific modulus of less than 10 x 106 m;2. Molybdenum and molybdenum alloy fibres;
3. Boron fibres;
4. Discontinuous ceramic fibres with a melting, softening, decomposition or sublimation point lower than 2,043 K (1,770°C) in an inert environment.
d. "Fibrous or filamentary materials":1. Composed of any of the following:a. Polyetherimides specified in 1.C.8.a.; orb. Materials specified in 1.C.8.b. to 1.C.8.f.; or
2. Composed of materials specified in 1.C.10.d.1.a. or 1.C.10.d.1.b. and "commingled" with other fibres specified in 1.C.10.a., 1.C.10.b. or 1.C.10.c.;
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e. Resin-impregnated or pitch-impregnated fibres (prepregs), metal or carbon-coated fibres (preforms) or "carbon fibre preforms", as follows:1. Made from "fibrous or filamentary materials" specified in 1.C.10.a., 1.C.10.b. or 1.C.10.c.;2. Made from organic or carbon "fibrous or filamentary materials":
a. With a "specific tensile strength" exceeding 17.7 x 104 m;b. With a "specific modulus" exceeding 10.15 x 106 m;
c. Not controlled by 1.C.10.a. or 1.C.10.b.; and
d. When impregnated with materials specified in 1.C.8. or 1.C.9.b., having a glass transition temperature (Tg) exceeding 383 K (110°C) or with phenolic or epoxy resins, having a glass transition temperature (Tg) equal to or exceeding 418 K (145°C).
Notes 1.C.10.e. does not control:1. Epoxy resin "matrix" impregnated carbon "fibrous or filamentary materials" (prepregs) for the repair of aircraft structures or laminates, in which the size of individual sheets of prepreg does not exceed 50 cm x 90 cm;
2. Prepregs when impregnated with phenolic or epoxy resins having a glass transition temperature (Tg) less than 433 K (160°C) and a cure temperature lower than the glass transition temperature.
Technical NoteThe glass transition temperature (Tg) for 1.C.10.e. materials is determined using the method described in ASTM D 3418 using the dry method. The glass transition temperature for phenolic and epoxy resins is determined using the method described in ASTM D 4065 at a frequency of 1Hz and a heating rate of 2 K (°C) per minute using the dry method.
Technical Notes
1. Specific modulus: Young's modulus in pascals, equivalent to N/m2 divided by specific weight in N/m3, measured at a temperature of (296 ± 2) K ((23 ± 2)°C) and a relative humidity of (50 ± 5)%.
2. Specific tensile strength: ultimate tensile strength in pascals, equivalent to N/m2 divided by specific weight in N/m3, measured at a temperature of (296 ± 2) K ((23 ± 2)°C) and a relative humidity of (50 ± 5)%.
[18]
1.C.11. Metals and compounds, as follows:
a. Metals in particle sizes of less than 60 µm whether spherical, atomised, spheroidal, flaked or ground, manufactured from material consisting of 99% or more of zirconium, magnesium and alloys of these;N.B.: The metals or alloys listed in 1.C.11.a. are controlled whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium.
b. Boron or boron carbide of 85% purity or higher and a particle size of 60 µm or less;
N.B.: The metals or alloys listed in 1.C.11.b. are controlled whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium.
c. Guanidine nitrate.
1.C.12. Materials for nuclear heat sources, as follows:
a. Plutonium in any form with a plutonium isotopic assay of plutonium-238 of more than 50% by weight;Note 1.C.12.a. does not control:
1. Shipments with a plutonium content of 1 g or less;2. Shipments of 3 "effective grammes" or less when contained in a sensing component in instruments.
b. "Previously separated" neptunium-237 in any form.
Note 1.C.12.b. does not control shipments with a neptunium-237 content of 1 g or less.
1.D. SOFTWARE
1.D.1. "Software" specially designed or modified for the "development", "production" or "use" of equipment specified in 1.B.
1.D.2. "Software" for the "development" of organic "matrix", metal "matrix" or carbon "matrix" laminates or "composites".
[19]
1.E. TECHNOLOGY
1.E.1. "Technology" according to the General Technology Note: for the "development" or "production" of equipment or materials specified in 1.A.1.b., 1.A.1.c., 1.A.2. to 1.A.5., 1.B. or 1.C.
1.E.2 Other "technology", as follows:
a. "Technology" for the "development" or "production" of polybenzothiazoles or polybenzoxazoles;b. "Technology" for the "development" or "production" of fluoroelastomer compounds containing at least one vinylether monomer;
c. "Technology" for the design or "production" of the following base materials or non-"composite" ceramic materials:
1. Base materials having all of the following characteristics:a. Any of the following compositions:1. Single or complex oxides of zirconium and complex oxides of silicon or aluminium;2. Single nitrides of boron (cubic crystalline forms);
3. Single or complex carbides of silicon or boron; or
4. Single or complex nitrides of silicon;
b. Total metallic impurities, excluding intentional additions, of less than:
1. 1,000 ppm for single oxides or carbides; or2. 5,000 ppm for complex compounds or single nitrides;
and
c. Having any of the following:
1. Average particle size equal to or less than 5 µm and no more than 10% of the particles larger than 10 µm; orNote For zirconia, these limits are 1 µm and 5 µm respectively.
2. Having all of the following:
a. Platelets with a length to thickness ratio exceeding 5;b. Whiskers with a length to diameter ratio exceeding 10 for diameters less than 2 µm; and
c. Continuous or chopped fibres less than 10 µm in diameter;
2. Non-"composite" ceramic materials composed of the materials described in 1.E.2.c.1;
Note 1.E.2.c.2. does not control technology for the design or production of abrasives.
d. "Technology" for the "production" of aromatic polyamide fibres;
[20]
e. "Technology" for the installation, maintenance or repair of materials specified in 1.C.1.;f. "Technology" for the repair of "composite" structures, laminates or materials specified in 1.A.2., 1.C.7.c. or 1.C.7.d.
Note 1.E.2.f. does not control "technology" for the repair of "civil aircraft" structures using carbon "fibrous or filamentary materials" and epoxy resins, contained in aircraft manufacturers' manuals.
[21]
2.A. SYSTEMS, EQUIPMENT AND COMPONENTS
(For quiet running bearings, see Item 9 on the Munitions List.)*
2.A.1. Anti-friction bearings and bearing systems, as follows, and components therefor:
Note: 2.A.1. does not control balls with tolerances specified by the manufacturer in accordance with ISO 3290 as grade 5 or worse.
a. Ball bearings and solid roller bearings having tolerances specified by the manufacturer in accordance with ABEC 7, ABEC 7P, ABEC 7T or ISO Standard Class 4 or better (or national equivalents), and having rings, balls or rollers made from monel or beryllium;Note; 2.A.1.a. does not control tapered roller bearings.
b. Other ball bearings and solid roller bearings having tolerances specified by the manufacturer in accordance with ABEC 9, ABEC 9P or ISO Standard Class 2 or better (or national equivalents);
Note: 2.A.1.b. does not control tapered roller bearings.
c. Active magnetic bearing systems using any of the following:
1. Materials with flux densities of 2.0 T or greater and yield strengths greater than 414 MPa;2. All-electromagnetic 3D homopolar bias designs for actuators; or
3. High temperature (450 K (177°C) and above) position sensors.
2.B. TEST, INSPECTION AND PRODUCTION EQUIPMENT
Technical Notes
1. Secondary parallel contouring axes, (e.g., the w-axis on horizontal boring mills or a secondary rotary axis the centre line of which is parallel to the primary rotary axis) are not counted in the total number of contouring axes.
N.B. Rotary axes need not rotate over 360. A rotary axis can be driven by a linear device (e.g., a screw or a rack-and-pinion).
2. Axis nomenclature shall be in accordance with International Standard
ISO 841, 'Numerical Control Machines - Axis and Motion Nomenclature'.
3. For the purposes of this Category a "tilting spindle" is counted as
a rotary axis.
_________________
* France and the Russian Federation view this list as reference drawn up to help in the selection of dual-use goods which could contribute to the indigenous development, production or enhancement of conventional munitions capabilities.
4. Guaranteed positioning accuracy levels instead of individual test
protocols may be used for each machine tool model using the agreed ISO test
procedure.
5. The positioning accuracy of "numerically controlled" machine tools
is to be determined and presented in accordance with ISO 230/2.
2.B.1. Machine tools, as follows, and any combination thereof, for removing (or cutting) metals, ceramics or "composites", which, according to the manufacturer's technical specification, can be equipped with electronic devices for "numerical control":
a. Machine tools for turning, having all of the following characteristics:1. Positioning accuracy with all compensations available of less (better) than 6 µm along any linear axis (overall positioning); and2. Two or more axes which can be coordinated simultaneously for "contouring control";
Note 2.B.1.a. does not control turning machines specially designed for the production of contact lenses.
b. Machine tools for milling, having any of the following characteristics:
1.a. Positioning accuracy with all compensations available of less (better) than 6 µm along any linear axis (overall positioning); andb. Three linear axes plus one rotary axis which can be coordinated simultaneously for "contouring control";
2. Five or more axes which can be coordinated simultaneously for "contouring control"; or
3. A positioning accuracy for jig boring machines, with all compensations available, of less (better) than 4 µm along any linear axis (overall positioning);
c. Machine tools for grinding, having any of the following characteristics:
1.a. Positioning accuracy with all compensations available of less (better) than 4 µm along any linear axis (overall positioning); andb. Three or more axes which can be coordinated simultaneously for "contouring control"; or
2. Five or more axes which can be coordinated simultaneously for "contouring control";
Note 2.B.1.c. does not control grinding machines, as follows:1. Cylindrical external, internal, and external-internal grinding machines having all the following characteristics:a. Limited to cylindrical grinding; andb. Limited to a maximum workpiece capacity of 150 mm outside diameter or length.
2. Machines designed specifically as jig grinders having any of the following characteristics:
a. The c-axis is used to maintain the grinding wheel normal to the work surface; or
[23]
b. The a-axis is configured to grind barrel cams.
3. Tool or cutter grinding machines shipped as complete systems with "software" specially designed for the production of tools or cutters.4. Crank shaft or cam shaft grinding machines.
5. Surface grinders.
d. Electrical discharge machines (EDM) of the non-wire type which have two or more rotary axes which can be coordinated simultaneously for "contouring control";
e. Machine tools for removing metals, ceramics or "composites":1. By means of:a. Water or other liquid jets, including those employing abrasive additives;b. Electron beam; or
c. "Laser" beam; and
2. Having two or more rotary axes which:
a. Can be coordinated simultaneously for "contouring control"; andb. Have a positioning accuracy of less (better) than 0.003°;
f. Deep-hole-drilling machines and turning machines modified for deep-hole-drilling, having a maximum depth-of-bore capability exceeding 5,000 mm and specially designed components therefor.
2.B.2. Non-"numerically controlled" machine tools for generating optical quality surfaces, as follows, and specially designed components therefor:
a. Turning machines using a single point cutting tool and having all of the following characteristics:1. Slide positioning accuracy less (better) than 0.0005 mm per 300 mm of travel;2. Bidirectional slide positioning repeatability less (better) than 0.00025 mm per 300 mm of travel;
3. Spindle "run out" and "camming" less (better) than 0.0004 mm TIR;
4. Angular deviation of the slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel; and
5. Slide perpendicularity less (better) than 0.001 mm per 300 mm of travel;
Technical Note
The bidirectional slide positioning repeatability (R) of an axis is the maximum value of the repeatability of positioning at any position along or around the axis determined using the procedure and under the conditions specified in part 2.11 of ISO 230/2: 1988.
b. Fly cutting machines having all of the following characteristics:
1. Spindle "run out" and "camming" less (better) than 0.000 mm TIR; and
[24]
2. Angular deviation of slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel.
2.B.3. "Numerically controlled" or manual machine tools, and specially designed components, controls and accessories therefor, specially designed for the shaving, finishing, grinding or honing of hardened (Rc = 40 or more) spur, helical and double-helical gears with a pitch diameter exceeding 1,250 mm and a face width of 15% of pitch diameter or larger finished to a quality of AGMA 14 or better (equivalent to ISO 1328 class 3).
2.B.4. Hot "isostatic presses", having all of the following, and specially designed dies, moulds, components, accessories and controls therefor:
a. A controlled thermal environment within the closed cavity and possessing a chamber cavity with an inside diameter of 406 mm or more; andb. Any of the following:
1. A maximum working pressure exceeding 207 MPa;2. A controlled thermal environment exceeding 1,773 K (1,500°C); or
3. A facility for hydrocarbon impregnation and removal of resultant gaseous degradation products.
Technical Note
The inside chamber dimension is that of the chamber in which both the working temperature and the working pressure are achieved and does not include fixtures. That dimension will be the smaller of either the inside diameter of the pressure chamber or the inside diameter of the insulated furnace chamber, depending on which of the two chambers is located inside the other.
2.B.5. Equipment specially designed for the deposition, processing and in-process control of inorganic overlays, coatings and surface modifications, as follows, for non-electronic substrates, by processes shown in the Table and associated Notes following 2.E.3.f., and specially designed automated handling, positioning, manipulation and control components therefor:
a. "Stored programme controlled" chemical vapour deposition (CVD) production equipment having all of the following:1. Process modified for one of the following:a. Pulsating CVD;b. Controlled nucleation thermal decomposition (CNTD); or
c. Plasma enhanced or plasma assisted CVD; and
2. Any of the following:
a. Incorporating high vacuum (equal to or less than 0.01 Pa) rotating seals; orb. Incorporating in situ coating thickness control;
b. "Stored programme controlled" ion implantation production equipment having beam currents of 5 mA or more;
c. "Stored programme controlled" electron beam physical vapour deposition (EB-PVD) production equipment incorporating all of the following:
[25]
1. Power systems rated for over 80 kW;2. A liquid pool level "laser" control system which regulates precisely the ingots feed rate; and
3. A computer controlled rate monitor operating on the principle of photo-luminescence of the ionised atoms in the evaporant stream to control the deposition rate of a coating containing two or more elements;
d. "Stored programme controlled" plasma spraying production equipment having any of the following characteristics:
1. Operating at reduced pressure controlled atmosphere (equal to or less than 10 kPa measured above and within 300 mm of the gun nozzle exit) in a vacuum chamber capable of evacuation down to 0.01 Pa prior to the spraying process; or2. Incorporating in situ coating thickness control;
e. "Stored programme controlled" sputter deposition production equipment capable of current densities of 0.1 mA/mm2 or higher at a deposition rate of 15 µm/h or more;
f. "Stored programme controlled" cathodic arc deposition production equipment incorporating a grid of electromagnets for steering control of the arc spot on the cathode;
g. "Stored programme controlled" ion plating production equipment allowing for the in situ measurement of any of the following:
1. Coating thickness on the substrate and rate control; or2. Optical characteristics.
Note 2.B.5.a., 2.B.5.b., 2.B.5.e., 2.B.5.f., and 2.B.5.g. do not control chemical vapour deposition, cathodic arc, sputter deposition, ion plating or ion implantation equipment specially designed for cutting or machining tools.
2.B.6. Dimensional inspection or measuring systems and equipment, as follows:
a. Computer controlled, "numerically controlled" or "stored programme controlled" dimensional inspection machines, having a three dimensional length (volumetric) "measurement uncertainty" equal to or less (better) than (1.7 + L/1,000) µm (L is the measured length in mm) tested according to ISO 10360-2;b. Linear and angular displacement measuring instruments, as follows:
1. Linear measuring instruments having any of the following:a. Non-contact type measuring systems with a "resolution" equal to or less (better) than 0.2 µm within a measuring range up to 0.2 mm;b. Linear voltage differential transformer systems having all of the following characteristics:
1. "Linearity" equal to or less (better) than 0.1% within a measuring range up to 5 mm; and2. Drift equal to or less (better) than 0.1% per day at a standard ambient test room temperature ± 1 K; or
c. Measuring systems having all of the following:
[26]
1. Containing a "laser"; and2. Maintaining, for at least 12 hours, over a temperature range of ± 1 K around a standard temperature and at a standard pressure, all of the following:
a. A "resolution" over their full scale of 0.1 µm or less (better); andb. A "measurement uncertainty" equal to or less (better) than (0.2 + L/2,000) µm (L is the measured length in mm);
Note 2.B.6.b.1. does not control measuring interferometer systems, without closed or open loop feedback, containing a "laser" to measure slide movement errors of machine-tools, dimensional inspection machines or similar equipment.
2. Angular measuring instruments having an "angular position deviation" equal to or less (better) than 0.00025°;Note 2.B.6.b.2. does not control optical instruments, such as autocollimators, using collimated light to detect angular displacement of a mirror.
c. Equipment for measuring surface irregularities, by measuring optical scatter as a function of angle, with a sensitivity of 0.5 nm or less (better).Note 1 Machine tools which can be used as measuring machines are controlled if they meet or exceed the criteria specified for the machine tool function or the measuring machine function.
Note 2 A machine described in 2.B.6. is controlled if it exceeds the control threshold anywhere within its operating range.
2.B.7. "Robots" having any of the following characteristics and specially designed controllers and "end-effectors" therefor:
a. Capable in real time of full three-dimensional image processing or full three-dimensional scene analysis to generate or modify "programmes" or to generate or modify numerical programme data;Note The scene analysis limitation does not include approximation of the third dimension by viewing at a given angle, or limited grey scale interpretation for the perception of depth or texture for the approved tasks (2 1/2 D).
b. Specially designed to comply with national safety standards applicable to explosive munitions environments;
c. Specially designed or rated as radiation-hardened to withstand greater than 5 x 103 Gy (Si) without operational degradation; or
d. Specially designed to operate at altitudes exceeding 30,000 m.
[27]
2.B.8. Assemblies, units or inserts specially designed for machine tools, or for equipment specified in 2.B.6. or 2.B.7., as follows:
a. Linear position feedback units (e.g., inductive type devices, graduated scales, infrared systems or "laser" systems) having an overall "accuracy" less (better) than (800 + (600 x L x 10-3)) nm (L equals the effective length in mm);Note For "laser" systems see also Note to 2.B.6.b.1.
b. Rotary position feedback units (e.g., inductive type devices, graduated scales, infrared systems or "laser" systems) having an "accuracy" less (better) than 0.00025°;
Note For "laser" systems see also Note to 2.B.6.b.1.
c. "Compound rotary tables" and "tilting spindles", capable of upgrading, according to the manufacturer's specifications, machine tools to or above the levels specified in 2.B.
2.B.9. Spin-forming machines and flow-forming machines, which, according to the manufacturer's technical specification, can be equipped with "numerical control" units or a computer control and having all of the following:
a. Two or more controlled axes of which at least two can be coordinated simultaneously for "contouring control"; and
b. A roller force more than 60 kN.Technical Note
Machines combining the function of spin-forming and flow-forming are for the purpose of 2.B.9. regarded as flow-forming machines.
2.C. MATERIALS - None.
2.D. SOFTWARE
2.D.1. "Software" specially designed or modified for the "development", "production" or "use" of equipment specified in 2.A. or 2.B.
2.D.2. "Software" for electronic devices, even when residing in an electronic device or system, enabling such devices or systems to function as a "numerical control" unit, capable of any of the following:
a. Coordinating simultaneously more than 4 axes for "contouring control"; orb. "Real time processing" of data to modify tool path, feed rate and spindle data, during the machining operation, by any of the following:
1. Automatic calculation and modification of part program data for machining in two or more axes by means of measuring cycles and access to source data; or2. "Adaptive control" with more than one physical variable measured and processed by means of a computing model (strategy) to change one or more machining instructions to optimize the process.
[28]
Note 2.D.2. does not control "software" specially designed or modified for the operation of machine tools not controlled by Category 2.
2.E. TECHNOLOGY
2.E.1. "Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 2.A., 2.B. or 2.D.
2.E.2. "Technology" according to the General Technology Note for the "production" of equipment specified in 2.A. or 2.B.
2.E.3. Other "technology", as follows:
a. "Technology" for the "development" of interactive graphics as an integrated part in "numerical control" units for preparation or modification of part programmes;b. "Technology" for metal-working manufacturing processes, as follows:
1. "Technology" for the design of tools, dies or fixtures specially designed for any of the following processes:a. "Superplastic forming";b. "Diffusion bonding"; or
c. "Direct-acting hydraulic pressing";
2. Technical data consisting of process methods or parameters as listed below used to control:
a. "Superplastic forming" of aluminium alloys, titanium alloys or "superalloys":1. Surface preparation;2. Strain rate;
3. Temperature;
4. Pressure;
b. "Diffusion bonding" of "superalloys" or titanium alloys:
1. Surface preparation;2. Temperature;
3. Pressure;
c. "Direct-acting hydraulic pressing" of aluminium alloys or titanium alloys:
1. Pressure;2. Cycle time;
[29]
d. "Hot isostatic densification" of titanium alloys, aluminium alloys or "superalloys":1. Temperature;2. Pressure;
3. Cycle time;
c. "Technology" for the "development" or "production" of hydraulic stretch-forming machines and dies therefor, for the manufacture of airframe structures;d. "Technology" for the "development" of generators of machine tool instructions (e.g., part programmes) from design data residing inside "numerical control" units;
e. "Technology for the development" of integration "software" for incorporation of expert systems for advanced decision support of shop floor operations into "numerical control" units;
f. "Technology" for the application of inorganic overlay coatings or inorganic surface modification coatings (specified in column 3 of the following table) to non-electronic substrates (specified in column 2 of the following table), by processes specified in column 1 of the following table and defined in the Technical Note.
[30]
TABLE - DEPOSITION TECHNIQUES
1. Coating Process (1)* 2. Substrate 3. Resultant Coating
A. Chemical Vapour "Superalloys" Aluminides for internal
Deposition (CVD) passages
Ceramics and Low- Silicides
expansion glasses(14) Carbides
Dielectric layers (15)
Carbon-carbon, Silicides
Ceramic and Carbides
Metal "matrix" Refractory metals
"composites" Mixtures thereof (4)
Dielectric layers (15)
Aluminides
Alloyed aluminides (2)
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof (4)
Dielectric layers (15)
Molybdenum and Dielectric layers (15)
Molybdenum alloys
Beryllium and Dielectric layers (15)
Beryllium alloys
Sensor window Dielectric layers (15)
materials (9)
___________________________________________________________________________
B. Thermal-Evaporation
Physical Vapour
Deposition (TE-PVD)
1. Physical Vapour "Superalloys" Alloyed silicides
Deposition (PVD): Alloyed aluminides (2)
Electron-Beam MCrAlX (5)
(EB-PVD) Modified zirconia (12)
Silicides
Aluminides
Mixtures thereof (4)
* The numbers in parenthesis refer to the Notes following this Table.
[31]
TABLE - DEPOSITION TECHNIQUES
1. Coating Process (1) 2. Substrate 3. Resultant Coating
B.1. (continued) Ceramics and Low- Dielectric layers (15)
expansion glasses
(14)
Corrosion resistant MCrAlX (5)
steel (7) Modified zirconia (12)
Mixtures thereof (4)
Carbon-carbon, Silicides
Ceramic and Carbides
Metal "matrix" Refractory metals
"composites" Mixtures thereof (4)
Dielectric layers (15)
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof (4)
Dielectric layers (15)
Molybdenum and Dielectric layers (15)
Molybdenum alloys
Beryllium and Dielectric layers (15)
Beryllium alloys Borides
Sensor window Dielectric layers (15)
materials (9)
Titanium alloys (13) Borides
Nitrides
_____________________________________________________________________________
B.2. Ion assisted Ceramics and Low- Dielectric layers (15)
resistive heating expansion glasses (14)
Physical Vapour
Deposition (lon
Plating)
Carbon-carbon, Dielectric layers (15)
Ceramic and
Metal "matrix"
"composites"
[32]
TABLE - DEPOSITION TECHNIQUES
1. Coating Process (1) 2. Substrate 3. Resultant Coating
B.2. (continued) Cemented tungsten Dielectric layers (15)
carbide (16),
Silicon carbide
Molybdenum and
Molybdenum alloys Dielectric layers (15)
Beryllium and
Beryllium alloys Dielectric layers (15)
Sensor window Dielectric layers (15)
materials (9)
_____________________________________________________________________________
B.3. Physical Vapour Ceramics and Low- Silicides
Deposition: expansion glasses (14) Dielectric layers (15)
"laser" evaporation
Carbon-carbon, Dielectric layers (15)
Ceramic and
Metal "matrix"
"composites
Cemented tungsten Dielectric layers (15)
carbide (16),
Silicon carbide
Molybdenum and Dielectric layers (15)
Molybdenum alloys
Beryllium and Dielectric layers (15)
Beryllium alloys
Sensor window Dielectric layers (15)
materials (9) Diamond-like carbon
_____________________________________________________________________________
B.4. Physical "Superalloys" Alloyed silicides
Vapour Deposition: Alloyed aluminides (2)
cathodic arc discharge MCrAlX (5)
Polymers (11) and Borides
Organic"matrix" Carbides
"composites" Nitrides
[33]
TABLE - DEPOSITION TECHNIQUES
1. Coating Process (1) 2. Substrate 3. Resultant Coating
C. Pack cementation Carbon-carbon, Silicides
(see A above for Ceramic and Carbides
out-of-pack Metal "matrix" Mixtures thereof (4)
cementation) (10) "composites"
Titanium alloys (13) Silicides
Aluminides
Alloyed aluminides (2)
Refractory metals Silicides
and alloys (8) Oxides
_____________________________________________________________________________
D. Plasmaspraying "Superalloys" MCrAlX (5)
Modified zirconia (12)
Mixtures thereof (4)
Abradable Nickel-
Graphite
Abradable
Ni-Cr-AI-Bentonite
Abradable Al-Si-
Polyester
Alloyed aluminides (2)
Aluminium alloys (6) MCrAlX (5)
Modified zirconia (12)
Silicides
Mixtures thereof (4)
Refractory metals Aluminides
and alloys (8) Silicides
Carbides
Corrosion resistant
steel (7) Modified zirconia (12)
Mixtures thereof (4)
[34]
TABLE - DEPOSITION TECHNIQUES
1. Coating Process (1) 2. Substrate 3. Resultant Coating
D. (continued) Titanium alloys (13) Carbides
Aluminides
Silicides
Alloyed aluminides (2)
Abradable Nickel-
Graphite
Abradable
Ni-Cr-AI-Bentonite
Abradable Al-Si-Polyester
Polyester
_____________________________________________________________________________
E. Slurry Deposition Refractory metals Fused silicides
and alloys (8) Fused aluminides
except for resistance
heating elements
Carbon-carbon, Silicides
Ceramic and Carbides
Metal "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)
Dielectic layers (15)
Titanium alloys (13) Borides
Nitrides
Oxides
Silicides
Aluminides
Alloyed aluminides (2)
Carbides
[35]
TABLE - DEPOSITION TECHNIQUES
1. Coating Process (1) 2. Substrate 3. Resultant Coating
F. (continued) Carbon-carbon, Silicides
Ceramic and Carbides
Metal "matrix" Refractory metals
"composites" Mixtures thereof (4)
Dielectric layers (15)
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof (4)
Dielectric layers (15)
Molybdenum and
Molybdenum alloys Dielectric layers (15)
Beryllium and Borides
Beryllium alloys Dielectric layers (15)
Sensor window Dielectric layers (15)
materials (9)
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
[36]
TABLE - DEPOSITION TECHNIQUES - NOTES
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. Mixtures consist of 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 aluminium 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 aluminium 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 aluminium and 0.9 to1.1 weight percent of yttrium.
6. The term 'aluminium 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 consist of 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 and the following metal halides: potassium iodide, potassium fluoride, or sensor window materials of more than 40 mm diameter for thallium bromide and thallium chlorobromide.
10. "Technology" for single-step pack cementation of solid airfoils is not controlled by Category 2.
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11. Polymers, as follows: polyimide, polyester, polysulphide, 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 stabilise 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 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 x 10-7 K-1 or less measured at 293 K (20°C).
15. Dielectric layers are 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, nickle), titanium carbide/(cobalt, nickle), chromium carbide/nickle-chromium and chromium carbide/nickle.
TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE
Processes specified in Column 1of the Table are defined as follows:
a. Chemical Vapour 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.
N.B.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.N.B.2 Pack denotes a substrate immersed in a powder mixture.
N.B.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 Vapour 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.
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TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE
Processes specified in Column 1 of the Table - continued:
b. 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. Resistive Heating PVD employs electrically resistive heating sources capable of producing a controlled and uniform flux of evaporated coating species;
3. "Laser" Evaporation uses either pulsed or continuous wave "laser" beams to heat 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.
N.B. This definition does not include random cathodic arc deposition with non-biased substrates.c. 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 to be deposited 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.
d. 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 aluminium, chromium, silicon or combinations thereof);2. An activator (normally a halide salt); and
3. An inert powder, most frequently alumina.
The substrate and powder mixture is contained within a retort which is heated to between 1,030 K (757°C) and 1,375 K (1,102°C) for sufficient time to deposit the coating.
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TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE
Processes specified in Column 1 of the Table - continued:
e. 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 carried out under-water.N.B. 1 Low pressure means less than ambient atmospheric pressure.N.B. 2 High velocity refers to nozzle-exit gas velocity exceeding 750 m/s calculated at 293 K (20°C) at 0.1 MPa.
f. 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.
g. 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.N.B.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 vapourisation of non-metallic coating materials.N.B.2 Low-energy ion beams (less than 5 keV) can be used to activate the deposition.
h. 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 vapour deposition or sputter deposition.
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TABLE - DEPOSITION TECHNIQUES - STATEMENT OF UNDERSTANDING
It is understood that the following technical information, accompanying the table of deposition techniques, is for use as appropriate.
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 compositiona. 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;
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;
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TABLE - DEPOSITION TECHNIQUES - STATEMENT OF UNDERSTANDING
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:
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 Vapour Deposition: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 Vapour Deposition:
1. Ingot or coating material source composition;2 . Substrate temperature;
3. Reactive gas composition;
4 Ingot feed rate or material evaporation rate;
5. Time-temperature pressure cycles;
6. Beam and part manipulation;
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TABLE - DEPOSITION TECHNIQUES - STATEMENT OF UNDERSTANDING
5. b.
7. "Laser" parameters, as follows:a. Wave length;b. Power density;
c. Pulse length;
d . Repetition ratio;
e. Source;
f. Substrate orientation;
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 vaporisation rate;
6. Substrate temperature;
7. Substrate bias parameters.
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3.A. SYSTEMS, EQUIPMENT AND COMPONENTS
Note 1 The control status of equipment and components described in 3.A., other than those described in 3.A.1.a.3. to 3.A.1.a.10. or 3.A.1.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 3.A.1.a.3. to 3.A.1.a.9. or 3.A.1.a.12. which are unalterably programmed or designed for a specific function for another 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 3.A.1.a.3. to 3.A.1.a.9. and 3.A.1.a.12.If the integrated circuit is a silicon-based "microcomputer microcircuit" or microcontroller microcircuit described in 3.A.1.a.3. having an operand (data) word length of 8 bit or less, the control status of the integrated circuit is determined in 3.A.1.a.3.
3.A.1. Electronic components, as follows:
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 3.A.1.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".
1. Integrated circuits, designed or rated as radiation hardened to withstand any of the following:a. A total dose of 5 x 103 Gy (Si) or higher; orb. A dose rate upset of 5 x 106 Gy (Si)/s or higher;
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2. Integrated circuits described in 3.A.1.a.3. to 3.A.1.a.10. or 3.A.1.a.12., EEPROMs, flash memories and SRAMs, having any of the following:a. Rated for operation at an ambient temperature above 398 K (+125°C);b. Rated for operation at an ambient temperature below 218 K (-55C); or
c. Rated for operation over the entire ambient temperature range from 218 K (-55C) to 398 K (+125°C);
Note: 3.A.1.a.2. does not apply to integrated circuits for civil automobiles or railway train applications.3. "Microprocessor microcircuits", "micro-computer microcircuits" and microcontroller microcircuits, having any of the following characteristics:
Note: 3.A.1.a.3. includes digital signal processors, digital array processors and digital coprocessors.
a. A "composite theoretical performance" ("CTP") of 260 million theoretical operations per second (Mtops) or more and an arithmetic logic unit with an access width of 32 bit or more;b. Manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz; or
c. More than one data or instruction bus or serial communication port for external interconnection in a parallel processor with a transfer rate exceeding 2.5 Mbyte/s;
4. Storage integrated circuits manufactured from a compound semiconductor;
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5. Analogue-to-digital and digital-to-analogue converter integrated circuits, as follows:a. Analogue-to-digital converters having any of the following:1. A resolution of 8 bit or more, but less than 12 bit, with a total conversion time to maximum resolution of less than 10 ns;2. A resolution of 12 bit with a total conversion time to maximum resolution of less than 200 ns; or
3. A resolution of more than 12 bit with a total conversion time to maximum resolution of less than 2 µs;
b. Digital-to-analogue converters with a resolution of 12 bit or more, and a "settling time" of less than 10 ns;
6. Electro-optical and "optical integrated circuits" designed for "signal processing" having all of the following:
a. One or more than one internal "laser" diode;b. One or more than one internal light detecting element; and
c. Optical waveguides;
7. Field programmable gate arrays having any of the following:
a. An equivalent usable gate count of more than 30,000 (2 input gates); orb. A typical "basic gate propagation delay time" of less than 0.4 ns;
8. Field programmable logic arrays having any of the following:
a. An equivalent usable gate count of more than 30,000 (2 input gates); orb. A toggle frequency exceeding 133 MHz;
9. Neural network integrated circuits;
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. More than 208 terminals;b. A typical "basic gate propagation delay time" of less than 0.35 ns; or
c. An operating frequency exceeding 3 GHz;
11. Digital integrated circuits, other than those described in 3.A.1.a.3 to 3.A.1.a.10. and 3.A.1.a.12., based upon any compound semiconductor and having any of the following:
a. An equivalent gate count of more than 300 (2 input gates); orb. A toggle frequency exceeding 1.2 GHz;
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12. Fast Fourier Transform (FFT) processors having any of the following:a. A rated execution time for a 1,024 point complex FFT of less than 1 ms;b. A rated execution time for an N-point complex FFT of other than 1,024 points of less than N log2 N /10,240 ms, where N is the number of points; or
c. A butterfly throughput of more than 5.12 MHz;
3.A.1.b. Microwave or millimetre wave components, as follows:
1. Electronic vacuum tubes and cathodes, as follows:Note: 3.A.1.b.1. does not control tubes designed or rated to operate in the ITU allocated bands at frequencies not exceeding 31 GHz.a. Travelling wave tubes, pulsed or continuous wave, as follows:1. Operating at frequencies higher than 31 GHz;2. Having a cathode heater element with a turn on time to rated RF power of less than 3 seconds;
3. Coupled cavity tubes, or derivatives thereof, with an "instantaneous bandwidth" of more than 7% or a peak power exceeding 2.5 kW;
4. Helix tubes, or derivatives thereof, with any of the following characteristics:
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. An "instantaneous bandwidth" of one octave or less, and average power (expressed in kW) times frequency (expressed in GHz) of more than 1; or
c. Being"space qualified";
b. Crossed-field amplifier tubes with a gain of more than 17 dB;
c. Impregnated cathodes designed for electronic tubes, with any of the following:
1. A turn on time to rated emission of less than 3 seconds; or2. Producing a continuous emission current density at rated operating conditions exceeding 5 A/cm2;
2. Microwave integrated circuits or modules containing "monolithic integrated circuits" operating at frequencies exceeding 3 GHz;Note: 3.A.1.b.2. does not control circuits or modules for equipment designed or rated to operate in the ITU allocated bands at frequencies not exceeding 31 GHz.
3. Microwave transistors rated for operation at frequencies exceeding 31 GHz;
4. Microwave solid state amplifiers, having any of the following:
a. Operating frequencies exceeding 10.5 GHz and an "instantaneous bandwidth" of more than half an octave; orb. Operating frequencies exceeding 31 GHz;
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5. Electronically or magnetically tunable band-pass or band-stop filters having more than 5 tunable resonators capable of tuning across a 1.5:1 frequency band (fmax/fmin) in less than 10 µs having any of the following:a. A band-pass bandwidth of more than 0.5% of centre frequency; orb. A band-stop bandwidth of less than 0.5% of centre frequency;
6. Microwave assemblies capable of operating at frequencies exceeding 31 GHz;
7. Mixers and converters designed to extend the frequency range of equipment described in 3.A.2.c., 3.A.2.e. or 3.A.2.f. beyond the limits stated therein;
8. Microwave power amplifiers containing tubes specified in 3.A.1.b. and having all of the following:
a. Operating frequencies above 3 GHz;b. An average output power density exceeding 80 W/kg; and
c. A volume of less than 400 cm3;
Note: 3.A.1.b.8. does not control equipment designed or rated for operation in an ITU allocated band.
c. Acoustic wave devices, as follows, and specially designed components therefor:
1. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices (i.e., "signal processing" devices employing elastic waves in materials), having any of the following:a. A carrier frequency exceeding 2.5 GHz;b. A carrier frequency exceeding 1 GHz, but not exceeding 2.5 GHz, and having any of the following:
1. A frequency side-lobe rejection exceeding 55 dB;2. A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100;
3. A bandwidth greater than 250 MHz; or
4. A dispersive delay of more than 10 µs; or
c. A carrier frequency of 1 GHz or less, having any of the following:
1. A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100;2. A dispersive delay of more than 10 µs; or
3. A frequency side-lobe rejection exceeding 55 dB and a bandwidth greater than 50 MHz;
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2. Bulk (volume) acoustic wave devices (i.e., "signal processing" devices employing elastic waves) which permit the direct processing of signals at frequencies exceeding 1 GHz;3. Acoustic-optic "signal processing" devices employing interaction between acoustic waves (bulk wave or surface wave) and light waves which permit the direct processing of signals or images, including spectral analysis, correlation or convolution;
d. Electronic devices and circuits containing components, manufactured from "superconductive" materials specially designed for operation at temperatures below the "critical temperature" of at least one of the "superconductive" constituents, with any of the following:1. Electromagnetic amplification:a. At frequencies equal to or less than 31 GHz with a noise figure of less than 0.5 dB; orb. At frequencies exceeding 31 GHz;
2. Current switching for digital circuits using "superconductive" gates with a product of delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10-14 J; or
3. Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10,000;
e. High energy devices, as follows:1. Batteries and photovoltaic arrays, as follows:Note 3.A.1.e.1. does not control batteries with volumes equal to or less than 27 cm3 (e.g., standard C-cells or R14 batteries).a. Primary cells and batteries having an energy density exceeding 480 Wh/kg and rated for operation in the temperature range from below 243 K (-30°C) to above 343 K (70°C);
b. Rechargeable cells and batteries having an energy density exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge current equal to C/5 hours (C being the nominal capacity in ampere hours) when operating in the temperature range from below 253 K (-20°C) to above 333 K (60°C);
Technical Note
Energy density is obtained by multiplying the average power in watts (average voltage in volts times average current in amperes) by the duration of the discharge in hours to 75% of the open circuit voltage divided by the total mass of the cell (or battery) in kg.
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c. "Space qualified" and radiation hardened photovoltaic arrays with a specific power exceeding 160 W/m2 at an operating temperature of 301 K (28°C) under a tungsten illumination of 1 kW/m2 at 2,800 K (2,527°C);2. High energy storage capacitors, as follows:
a. Capacitors with a repetition rate of less than 10 Hz (single shot capacitors) having all of the following:1. A voltage rating equal to or more than 5 kV;2. An energy density equal to or more than 250 J/kg; and
3. A total energy equal to or more 25 kJ;
b. Capacitors with a repetition rate of 10 Hz or more (repetition rated capacitors) having all of the following:
1. A voltage rating equal to or more than 5 kV;2. An energy density equal to or more than 50 J/kg;
3. A total energy equal to or more than 100 J; and
4. A charge/discharge cycle life equal to or more than 10,000;
3. "Superconductive" electromagnets and solenoids specially designed to be fully charged or discharged in less than one second, having all of the following:
a. Energy delivered during the discharge exceeding 10 kJ in the first second;b. Inner diameter of the current carrying windings of more than 250 mm; and
c. Rated for a magnetic induction of more than 8 T or "overall current density" in the winding of more than 300 A/mm2;
Note 3.A.1.e.3. does not control "superconductive" electromagnets or solenoids specially designed for Magnetic Resonance Imaging (MRI) medical equipment.
f. Rotary input type shaft absolute position encoders having any of the following:
1. A resolution of better than 1 part in 265,000 (18 bit resolution) of full scale; or2. An accuracy better than ± 2.5 seconds of arc.
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3.A.2. General purpose electronic equipment, as follows:
a. Recording equipment, as follows, and specially designed test tape therefor:1. Analogue instrumentation magnetic tape recorders, including those permitting the recording of digital signals (e.g., using a high density digital recording (HDDR) module), having any of the following:a. A bandwidth exceeding 4 MHz per electronic channel or track;b. A bandwidth exceeding 2 MHz per electronic channel or track and having more than 42 tracks; or
c. A time displacement (base) error, measured in accordance with applicable IRIG or EIA documents, of less than ± 0.1 µs;
Note: Analogue magnetic tape recorders specially designed for civilian video purposes are not considered to be instrumentation tape recorders.2. Digital video magnetic tape recorders having a maximum digital interface transfer rate exceeding 180 Mbit/s;
Note 3.A.2.a.2. does not control digital video magnetic tape recorders specially designed for television recording using a signal format standardised or recommended by the CCIR or the IEC for civil television applications.3. Digital instrumentation magnetic tape data recorders employing helical scan techniques or fixed head techniques, having any of the following:
a. A maximum digital interface transfer rate exceeding 175 Mbit/s; orb. Being "space qualified";
Note 3.A.2.a.3. does not control analogue magnetic tape recorders equipped with HDDR conversion electronics and configured to record only digital data.
4. Equipment, having a maximum digital interface transfer rate exceeding 175 Mbit/s, designed to convert digital video magnetic tape recorders for use as digital instrumentation data recorders;
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5. Waveform digitisers and transient recorders having all of the following:a. Digitising rates equal to or more than 200 million samples per second and a resolution of 10 bits or more; andb. A continuous throughput of 2 Gbit/s or more;
Technical Note
For those instruments with a parallel bus architecture, the continuous throughput rate is the highest word rate multiplied by the number of bits in a word.
Continuous throughput is the fastest data rate the instrument can output to mass storage without the loss of any information whilst sustaining the sampling rate and analogue-to-digital conversion.
b. "Frequency synthesiser" "electronic assemblies" having a "frequency switching time" from one selected frequency to another of less than 1 ms;
c. "Signal analysers", as follows:1. "Signal analysers" capable of analysing frequencies exceeding 31 GHz;2. "Dynamic signal analysers" having a "real-time bandwidth" exceeding 25.6 kHz;
Note 3.A.2.c.2. does not control those "dynamic signal analysers" using only constant percentage bandwidth filters.Technical Note:Constant percentage bandwidth filters are also known as octave or fractional octave filters.
d. Frequency synthesised signal generators producing output frequencies, the accuracy and short term and long term stability of which are controlled, derived from or disciplined by the internal master frequency, and having any of the following:
1. A maximum synthesised frequency exceeding 31 GHz;2. A "frequency switching time" from one selected frequency to another of less than 1 ms; or
3. A single sideband (SSB) phase noise better than -(126 + 20 log10F - 20 log10f) in dBc/Hz, where F is the off-set from the operating frequency in Hz and f is the operating frequency in MHz;
Note 3.A.2.d. does not control equipment in which the output frequency is either produced by the addition or subtraction of two or more crystal oscillator frequencies, or by an addition or subtraction followed by a multiplication of the result.
e. Network analysers with a maximum operating frequency exceeding 40 GHz;
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f. Microwave test receivers having all