바세나르목록 이시우 2004/11/24 191

1.DEFINITION
2.WA-LIST (03) 1 CAT 3
3.WA-LIST (03) 1 CAT 4
4.Acronyms and Abbreviations

DEFINITIONS OF TERMS USED IN THESE LISTS

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

Note 1 Definitions apply throughout the Lists and their Annexes. The references are purely advisory and have no effect on the universal application of defined terms throughout these Lists and their Annexes.

Note 2 Words and terms contained in the List of Definitions only take the defined meaning where this is indicated by their being enclosed in quotations marks (” “). Elsewhere, words and terms take their commonly accepted (dictionary) meanings, unless a local definition for a particular control is given. (See also ‘Statements of Understanding and Validity Notes – Definition of Terms used in these Lists’).

Cat 2 “Accuracy”
Cat 6 (Usually measured in terms of inaccuracy) is the maximum deviation, positive or negative, of an indicated value from an accepted standard or true value.

Cat 7 “Active flight control systems”
Function to prevent undesirable “aircraft” and missile motions or structural loads by autonomously processing outputs from multiple sensors and then providing necessary preventive commands to effect automatic control.

Cat 6 “Active pixel”
Cat 8 A minimum (single) element of the solid state array which has a photoelectric transfer function when exposed to light (electromagnetic) radiation.

Cat 1 “Adapted for use in war”
ML 7 Any modification or selection (such as altering purity, shelf life, virulence, dissemination characteristics, or resistance to UV radiation) designed to increase the effectiveness in producing casualties in humans or animals, degrading equipment or damaging crops or the environment.

ML8. “Additives”
Substances used in explosive formulations to improve their properties.

Cat 1 “Aircraft”
Cat 7 & 9 A fixed wing, swivel wing, rotary wing (helicopter), tilt rotor or tilt-
ML 8, 9 & 10 wing airborne vehicle.

Cat 2 “All compensations available”
“All compensations available” means after all feasible measures available to the manufacturer to minimise all systematic positioning errors for the particular machine-tool model are considered.

Cat 3 “Allocated by the ITU”
Cat 5 P1 The allocation of frequency bands according to the ITU Radio Regulations (Edition 1998) for primary, permitted and secondary services.
N.B. Additional and alternative allocations are not included.

Cat 2 “Angular position deviation”
The maximum difference between angular position and the actual, very accurately measured angular position after the workpiece mount of the table has been turned out of its initial position. (Reference: VDI/VDE 2617, Draft: ‘Rotary tables on coordinate measuring machines’).

Cat 5 “Asymmetric algorithm ”
A cryptographic algorithm using different, mathematically-related keys for encryption and decryption.
Technical Note
A common use of “asymmetric algorithms” is key management.

Cat 5 “Asynchronous transfer mode” (“ATM”)
A transfer mode in which the information is organised into cells; it is asynchronous in the sense that the recurrence of cells depends on the required or instantaneous bit rate.

Cat 5 “ATM”
“ATM” is equivalent to “Asynchronous transfer mode”.

Cat 6 “Automatic target tracking”
A processing technique that automatically determines and provides as output an extrapolated value of the most probable position of the target in real time.

Cat 3 “Basic gate propagation delay time”
The propagation delay time value corresponding to the basic gate used in a “monolithic integrated circuit”. For a ‘family’ of “monolithic integrated circuits”, this may be specified either as the propagation delay time per typical gate within the given ‘family’ or as the typical propagation delay time per gate within the given ‘family’.
Technical Notes
1. “Basic gate propagation delay time” is not to be confused with the input/output delay time of a complex “monolithic integrated circuit”.
2. ‘Family’ consists of all integrated circuits to which all of the following are applied as their manufacturing methodology and specifications except their respective functions:
a. The common hardware and software architecture;
b. The common design and process technology; and
c. The common basic characteristics.

GTN “Basic scientific research”
Experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena or observable facts, not primarily directed towards a specific practical aim or objective.

Cat 7 “Bias” (accelerometer)
An accelerometer output when no acceleration is applied.

ML 7 “Biocatalysts”
Enzymes for specific chemical or biochemical reactions or other biological compounds which bind to and accelerate the degradation of CW agents.
Technical Note
‘Enzymes’ means “biocatalysts” for specific chemical or biochemical reactions.

ML 7 “Biopolymers”
Biological macromolecules as follows:
a. Enzymes for specific chemical or biochemical reactions;
b. Antibodies, monoclonal, polyclonal or anti-idiotypic;
c. Specially designed or specially processed receptors;

Technical Notes
1. ‘Anti-idiotypic antibodies’ means antibodies which bind to the specific antigen binding sites of other antibodies;
2. ‘Monoclonal antibodies’ means proteins which bind to one antigenic site and are produced by a single clone of cells;
3. ‘Polyclonal antibodies’ means a mixture of proteins which bind to the specific antigen and are produced by more than one clone of cells;
4. ‘Receptors’ means biological macromolecular structures capable of binding ligands, the binding of which affects physiological functions.

Cat 2 “Camming” (axial displacement)
Axial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle faceplate, at a point next to the circumference of the spindle faceplate (Reference: ISO 230/1 1986, paragraph 5.63).

Cat 1 “Carbon fibre preforms”
An ordered arrangement of uncoated or coated fibres intended to constitute a framework of a part before the “matrix” is introduced to form a “composite”.

Cat 4 “CE”
“CE” is equivalent to “computing element”.

Cat 6 “Chemical Laser”
A “laser” in which the excited species is produced by the output energy from a chemical reaction.

“Circuit element”
A single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.

Cat 7 “Circulation-controlled anti-torque or circulation-controlled direction control systems”
Control systems using air blown over aerodynamic surfaces to increase or control the forces generated by the surfaces.

Cat 1 “Civil aircraft”
Cat 7 Those “aircraft” listed by designation in published airworthiness
Cat 9 certification lists by the civil aviation authorities to fly commercial civil
ML 10 internal and external routes or for legitimate civil, private or business use.

Cat 1 “Commingled”
Filament to filament blending of thermoplastic fibres and reinforcement fibres in order to produce a fibre reinforcement “matrix” mix in total fibre form.

Cat 1 “Comminution”
A process to reduce a material to particles by crushing or grinding.

Cat 5 “Common channel signalling”
A signalling method in which a single channel between exchanges conveys, by means of labelled messages, signalling information relating to a multiplicity of circuits or calls and other information such as that used for network management.

Cat 4 “Communications channel controller”
The physical interface which controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.

Cat 1 “Composite”
Cat 2 A “matrix” and an additional phase or additional phases consisting of
Cat 6 particles, whiskers, fibres or any combination thereof, present for a
Cat 8 & 9 specific purpose or purposes.

Cat 3 “Composite theoretical performance” (“CTP”)
Cat 4 A measure of computational performance given in millions of theoretical operations per second (Mtops), calculated using the aggregation of “computing elements”
N.B. See Category 4, Technical Note.

Cat 2 “Compound rotary table”
A table allowing the workpiece to rotate and tilt about two non-parallel axes, which can be coordinated simultaneously for “contouring control”.

Cat 4 “Computing element” (“CE”)
The smallest computational unit that produces an arithmetic or logic result.

Cat 2 “Contouring control”
Two or more “numerically controlled” motions operating in accordance with instructions that specify the next required position and the required feed rates to that position. These feed rates are varied in relation to each other so that a desired contour is generated (Ref. ISO/DIS 2806 – 1980).

Cat 1 “Critical temperature”
Cat 3 (sometimes referred to as the transition temperature) of a specific
Cat 6 “superconductive” material is the temperature at which the material loses all resistance to the flow of direct electrical current.

Cat 5 “Cryptography”
The discipline which embodies principles, means and methods for the transformation of data in order to hide its information content, prevent its undetected modification or prevent its unauthorized use. “Cryptography” is limited to the transformation of information using one or more secret parameters (e.g., crypto variables) or associated key management.

Technical Note
‘Secret parameter’: a constant or key kept from the knowledge of others or shared only within a group.

Cat 3 “CTP”
Cat 4 “CTP” is equivalent to “Composite theoretical performance”.

Cat 7 “Data-Based Referenced Navigation” (“DBRN”) Systems
Systems which use various sources of previously measured geo-mapping data integrated to provide accurate navigation information under dynamic conditions. Data sources include bathymetric maps, stellar maps, gravity maps, magnetic maps or 3-D digital terrain maps.

Cat 5 “Data signalling rate”
The rate, as defined in ITU Recommendation 53-36, taking into account that, for non-binary modulation, baud and bit per second are not equal. Bits for coding, checking and synchronisation functions are to be included.
Note When determining the “data signalling rate”, servicing and administrative channels shall be excluded.
Technical Note
It is the maximum one-way rate, i.e., the maximum rate in either transmission or reception.

Cat 6 “Deformable Mirrors”
Mirrors:
a. Having a single continuous optical reflecting surface which is dynamically deformed by the application of individual torques or forces to compensate for distortions in the optical waveform incident upon the mirror; or
b. Having multiple optical reflecting elements that can be individually and dynamically repositioned by the application of torques or forces to compensate for distortions in the optical waveform incident upon the mirror.
“Deformable mirrors” are also known as adaptive optic mirrors.

GTN “Development”
Both Is related to all stages prior to serial production, such as: design, design
Lists research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts.

Cat 1 “Diffusion bonding”
Cat 2 A solid state molecular joining of at least two separate metals into a
Cat 9 single piece with a joint strength equivalent to that of the weakest material.

Cat 4 “Digital computer”
Cat 5 Equipment which can, in the form of one or more discrete variables, perform all of the following:
a. Accept data;
b. Store data or instructions in fixed or alterable (writable) storage devices;
c. Process data by means of a stored sequence of instructions which is modifiable; and
d. Provide output of data.

Technical Note
Modifications of a stored sequence of instructions include replacement of fixed storage devices, but not a physical change in wiring or interconnections.

Cat 5 “Digital transfer rate”
The total bit rate of the information that is directly transferred on any type of medium. (See also “total digital transfer rate”).

Cat 2 “Direct-acting hydraulic pressing”
A deformation process which uses a fluid-filled flexible bladder in direct contact with the workpiece.

“Discrete component”
A separately packaged “circuit element” with its own external connections.

Cat 7 “Drift rate” (gyro)
The time rate of output deviation from the desired output. It consists of random and systematic components and is expressed as an equivalent input angular displacement per unit time with respect to inertial space.

Cat 5 “Dynamic adaptive routing”
Automatic rerouting of traffic based on sensing and analysis of current actual network conditions.
Note This does not include cases of routing decisions taken on predefined information.

Cat 3 “Dynamic signal analysers”
“Signal analysers” which use digital sampling and tranformation techniques to form a Fourier spectrum display of the given waveform including amplitude and phase information.

Cat 1 “Effective gram”
“Effective gram” for plutonium isotope is defined as the isotope weight in grams.

Cat 5 “Electronically steerable phased array antenna”
Cat 6 An antenna which forms a beam by means of phase coupling, (i.e., the beam direction is controlled by the complex excitation coefficients of the radiating elements) and the direction of that beam can be varied (both in transmission and reception) in azimuth or in elevation, or both, by application of an electrical signal.

Cat 3 “Electronic assembly”
Cat 4 A number of electronic components (i.e., “circuit elements”, “discrete
Cat 5 components”, integrated circuits, etc.) connected together to perform (a) specific function(s), replaceable as an entity and normally capable of being disassembled.

Cat 2 “End-effectors”
ML 17 Grippers, active tooling units and any other tooling that is attached to the baseplate on the end of a “robot” manipulator arm.

Technical Note
‘Active tooling units’ are devices for applying motive power, process energy or sensing to a workpiece.

ML4 “Energetic materials”
ML8 Substances or mixtures that react chemically to release energy required for their intended application. “Explosives”, “pyrotechnics” and “propellants” are subclasses of energetic materials.

Cat 6 “Equivalent Density”
The mass of an optic per unit optical area projected onto the optical surface.

Cat 4 “Expert systems”
Cat 7 Systems providing results by application of rules to data which are stored independently of the “programme” and capable of any of the following:
a. Modifying automatically the “source code” introduced by the user;
b. Providing knowledge linked to a class of problems in quasi-natural language; or
c. Acquiring the knowledge required for their development (symbolic training).

ML 8 “Explosives”
Solid, liquid or gaseous substances or mixtures of substances which, in their application as primary, booster, or main charges in warheads, demolition and other applications, are required to detonate.

ML 7 “Expression Vectors”
Carriers (e.g., plasmid or virus) used to introduce genetic material into host cells.

Cat 7 “FADEC”
Cat 9 Full Authority Digital Engine Control (FADEC) – an electronic control system for gas turbine or combined cycle engines utilising a digital computer to control the variables required to regulate engine thrust or shaft power output throughout the engine operating range from the beginning of fuel metering to fuel shutoff.

Cat 4 “Fault tolerance”
The capability of a computer system, after any malfunction of any of its hardware or “software” components, to continue to operate without human intervention, at a given level of service that provides continuity of operation, data integrity and recovery of service within a given time.

Cat 1 “Fibrous or filamentary materials”
Cat 8 Include:
a. Continuous monofilaments;
b. Continuous yarns and rovings;
c. Tapes, fabrics, random mats and braids;
d. Chopped fibres, staple fibres and coherent fibre blankets;
e. Whiskers, either monocrystalline or polycrystalline, of any length;
f. Aromatic polyamide pulp.

Cat 3 “Film type integrated circuit”
An array of “circuit elements” and metallic interconnections formed by deposition of a thick or thin film on an insulating “substrate”.

ML 15 “First generation image intensifier tubes”
Electrostatically focused tubes, employing input and output fibre optic or glass face plates, multi-alkali photocathodes (S-20 or S-25), but not microchannel plate amplifiers.

Cat 5 “Fixed”
The coding or compression algorithm cannot accept externally supplied parameters (eg., cryptographic or key variables) and cannot be modified by the user.

Cat 7 “Flight control optical sensor array”
A network of distributed optical sensors, using “laser” beams, to provide real-time flight control data for on-board processing.

Cat 7 “Flight path optimization”
A procedure that minimizes deviations from a four-dimensional (space and time) desired trajectory based on maximizing performance or effectiveness for mission tasks.

Cat 6 “Focal plane array”
A linear or two-dimensional planar layer, or combination of planar layers, of individual detector elements, with or without readout electronics, which work in the focal plane.
Note This definition does not include a stack of single detector elements or any two, three or four element detectors provided time delay and integration is not performed within the element.

Cat 3 “Fractional bandwidth”
The “instantaneous bandwidth” divided by the centre frequency, expressed as a percentage.

Cat 5 “Frequency hopping ”
A form of “spread spectrum” in which the transmission frequency of a single communication channel is made to change by a random or pseudo-random sequence of discrete steps.

Cat 3 “Frequency switching time”
Cat 5 The maximum time (i.e., delay) taken by a signal, when switched from one selected output frequency to another selected output frequency, to reach any of the following:
a. A frequency within 100 Hz of the final frequency; or
b. An output level within 1 dB of the final output level.

Cat 3 “Frequency synthesiser”
Any kind of frequency source or signal generator, regardless of the actual technique used, providing a multiplicity of simultaneous or alternative output frequencies, from one or more outputs, controlled by, derived from or disciplined by a lesser number of standard (or master) frequencies.

Cat 1 “Gas atomisation”
A process to reduce a molten stream of metal alloy to droplets of 500 µm diameter or less by a high pressure gas stream.

Cat 6 “Geographically dispersed”
Sensors are considered “geographically dispersed” when each location is distant from any other more than 1,500 m in any direction. Mobile sensors are always considered “geographically dispersed”.

Cat 2 “Hot isostatic densification”
A process of pressurising a casting at temperatures exceeding 375 K (102°C) in a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal force in all directions to reduce or eliminate internal voids in the casting.

Cat 4 “Hybrid computer”
Equipment which can perform all of the following:
a. Accept data;
b. Process data, in both analogue and digital representations; and
c. Provide output of data.

Cat 3 “Hybrid integrated circuit”
Any combination of integrated circuit(s), or integrated circuit with “circuit elements” or “discrete components” connected together to perform (a) specific function(s), and having all of the following characteristics:
a. Containing at least one unencapsulated device;
b. Connected together using typical IC production methods;
c. Replaceable as an entity; and
d. Not normally capable of being disassembled.

Cat 4 “Image enhancement”
The processing of externally derived information-bearing images by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform). This does not include algorithms using only linear or rotational transformation of a single image, such as translation, feature extraction, registration or false coloration.

Cat 5 “Information security”
All the means and functions ensuring the accessibility, confidentiality or integrity of information or communications, excluding the means and functions intended to safeguard against malfunctions. This includes “cryptography”, cryptanalysis, protection against compromising emanations and computer security.

Technical Note
‘Cryptanalysis’: the analysis of a cryptographic system or its inputs and outputs to derive confidential variables or sensitive data, including clear text. (ISO 7498-2-1988 (E), paragraph 3.3.18).

Cat 3 “Instantaneous bandwidth”
Cat 5P1 The bandwidth over which output power remains constant within 3 dB without adjustment of other operating parameters.

Cat 6 “Instrumented range”
The specified unambiguous display range of a radar.

Cat 6 “Interconnected radar sensors”
Two or more radar sensors are interconnected when they mutually exchange data in real time.

GTN “In the public domain”
GSN This means “technology” or “software” which has been made available without restrictions upon its further dissemination.
Note Copyright restrictions do not remove “technology” or “software” from being “in the public domain”.

Cat 6 “Intrinsic magnetic gradiometer”
A single magnetic field gradient sensing element and associated electronics the output of which is a measure of magnetic field gradient.

Cat 2 “Isostatic presses”
Equipment capable of pressurising a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal pressure in all directions within the cavity upon a workpiece or material.

Cat 2, 3,5 “Laser”
6 & 9 An assembly of components which produce both spatially and
ML5, 9 & 23 temporally coherent light that is amplified by stimulated emission of radiation.

Cat 2 “Linearity”
(Usually measured in terms of non-linearity) is the maximum deviation of the actual characteristic (average of upscale and downscale readings), positive or negative, from a straight line so positioned as to equalise and minimise the maximum deviations.

Cat 4 “Local area network”
A data communication system having all of the following characteristics:
a. Allows an arbitrary number of independent data devices to communicate directly with each other; and
b. Is confined to a geographical area of moderate size (e.g., office building, plant, campus, warehouse).
Technical Note
‘Data device’ means equipment capable of transmitting or receiving sequences of digital information.

Cat 6 “Magnetic gradiometers”
Are designed to detect the spatial variation of magnetic fields from sources external to the instrument. They consist of multiple “magnetometers” and associated electronics the output of which is a measure of magnetic field gradient. (See also “Intrinsic Magnetic Gradiometer”)

Cat 6 “Magnetometers”
Are designed to detect magnetic fields from sources external to the instrument. They consist of a single magnetic field sensing element and associated electronics the output of which is a measure of the magnetic field.

Cat 4 “Main storage”
The primary storage for data or instructions for rapid access by a central processing unit. It consists of the internal storage of a “digital computer” and any hierarchical extension thereto, such as cache storage or non-sequentially accessed extended storage.

Cat 1 “Matrix”
Cat 2 A substantially continuous phase that fills the space between particles,
Cat 8 & 9 whiskers or fibres.

Cat 2 “Measurement uncertainty”
The characteristic parameter which specifies in what range around the output value the correct value of the measurable variable lies with a confidence level of 95%. It includes the uncorrected systematic deviations, the uncorrected backlash and the random deviations
(Reference: ISO 10360-2, or VDI/VDE 2617).

Cat 1 “Mechanical alloying”
An alloying process resulting from the bonding, fracturing and rebonding of elemental and master alloy powders by mechanical impact. Non-metallic particles may be incorporated in the alloy by addition of the appropriate powders.

Cat 1 “Melt extraction”
A process to “solidify rapidly” and extract a ribbon-like alloy product by the insertion of a short segment of a rotating chilled block into a bath of a molten metal alloy.

Cat 1 “Melt spinning”
A process to “solidify rapidly” a molten metal stream impinging upon a rotating chilled block, forming a flake, ribbon or rod-like product.

Cat 3 “Microcomputer microcircuit”
A “monolithic integrated circuit” or “multichip integrated circuit” containing an arithmetic logic unit (ALU) capable of executing general purpose instructions from an internal storage, on data contained in the internal storage.
Technical Note
The internal storage may be augmented by an external storage.

Cat 3 “Microprocessor microcircuit”
A “monolithic integrated circuit” or “multichip integrated circuit” containing an arithmetic logic unit (ALU) capable of executing a series of general purpose instructions from an external storage.
Technical Note
The “microprocessor microcircuit” normally does not contain integral user-accessible storage, although storage present on-the-chip may be used in performing its logic function.
Note This definition includes chip sets which are designed to operate together to provide the function of a “microprocessor microcircuit”.

“Microprogramme”
A sequence of elementary instructions maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction register.

Cat 3 “Monolithic integrated circuit”
A combination of passive or active “circuit elements” or both which:
a. Are formed by means of diffusion processes, implantation processes or deposition processes in or on a single semiconducting piece of material, a so-called ‘chip’;
b. Can be considered as indivisibly associated; and
c. Perform the function(s) of a circuit.

Cat 6 “Monospectral imaging sensors”
Are capable of acquisition of imaging data from one discrete spectral band.

Cat 3 “Multichip integrated circuit”
Two or more “monolithic integrated circuits” bonded to a common “substrate”.

Cat 4 “Multi-data-stream processing”
The “microprogramme” or equipment architecture technique which permits simultaneous processing of two or more data sequences under the control of one or more instruction sequences by means such as:
a. Single Instruction Multiple Data (SIMD) architectures such as vector or array processors;
b. Multiple Single Instruction Multiple Data (MSIMD) architectures;
c. Multiple Instruction Multiple Data (MIMD) architectures, including those which are tightly coupled, closely coupled or loosely coupled; or
d. Structured arrays of processing elements, including systolic arrays.

Cat 5 “Multilevel security”
A class of system containing information with different sensitivities that simultaneously permits access by users with different security clearances and needs-to-know, but prevents users from obtaining access to information for which they lack authorization.
Technical Note
“Multilevel security” is computer security and not computer reliability which deals with equipment fault prevention or human error prevention in general.

Cat 6 “Multispectral imaging sensors”
Are capable of simultaneous or serial acquisition of imaging data from two or more discrete spectral bands. Sensors having more than twenty discrete spectral bands are sometimes referred to as hyperspectral imaging sensors.

Cat 4 “Network access controller”
A physical interface to a distributed switching network. It uses a common medium which operates throughout at the same “digital transfer rate” using arbitration (e.g., token or carrier sense) for transmission. Independently from any other, it selects data packets or data groups (e.g., IEEE 802) addressed to it. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.

Cat 4 “Neural computer”
A computational device designed or modified to mimic the behaviour of a neuron or a collection of neurons, i.e., a computational device which is distinguished by its hardware capability to modulate the weights and numbers of the interconnections of a multiplicity of computational components based on previous data.

Cat 6 “Noise level”
An electrical signal given in terms of power spectral density. The relation between “noise level” expressed in peak-to-peak is given by
S2 pp = 8No(f2-f1), where Spp is the peak-to-peak value of the signal (e.g., nanoteslas), No is the power spectral density (e.g., (nanotesla)2/Hz) and (f2-f1) defines the bandwidth of interest.

ML 17 “Nuclear reactor”
Includes the items within or attached directly to the reactor vessel, the equipment which controls the level of power in the core, and the components which normally contain or come into direct contact with or control the primary coolant of the reactor core.

Cat 2 “Numerical control”
The automatic control of a process performed by a device that makes use of numeric data usually introduced as the operation is in progress (Ref. ISO 2382).

Cat 4 “Object code”
Cat 9 “Object code”: An equipment executable form of a convenient expression
of one or more processes (“source code” (or source language)) which has been converted by a programming system.

Cat 5 “Optical amplification”
In optical communications, an amplification technique that introduces a gain of optical signals that have been generated by a separate optical source, without conversion to electrical signals, i.e., using semiconductor optical amplifiers, optical fibre luminescent amplifiers.

Cat 4 “Optical computer”
A computer designed or modified to use light to represent data and whose computational logic elements are based on directly coupled optical devices.

Cat 3 “Optical integrated circuit”
A “monolithic integrated circuit” or a “hybrid integrated circuit”, containing one or more parts designed to function as a photosensor or photoemitter or to perform (an) optical or (an) electro-optical function(s).

Cat 5 “Optical switching”
The routing of or switching of signals in optical form without conversion to electrical signals.

Cat 3 “Overall current density”
The total number of ampere-turns in the coil (i.e., the sum of the number of turns multiplied by the maximum current carried by each turn) divided by the total cross-section of the coil (comprising the superconducting filaments, the metallic matrix in which the superconducting filaments are embedded, the encapsulating material, any cooling channels, etc.).

Cat 6 “Peak power”
Energy per pulse in joules divided by the pulse duration in seconds.

Cat 5 “Personalised smart card”
A smart card containing a microcircuit which has been programmed for a specific application and cannot be reprogrammed for any other application by the user.

Cat 7 “Power management”
Changing the transmitted power of the altimeter signal so that received power at the “aircraft” altitude is always at the minimum necessary to determine the altitude.

ML 8 “Precursors”
Speciality chemicals used in the manufacture of explosives.

Cat 1 “Previously separated”
The application of any process intended to increase the concentration of the controlled isotope.

Cat 7 “Primary flight control”
“Aircraft” stability or manoeuvering control using force/moment generators, i.e. aerodynamic control surfaces or propulsive thrust vectoring.

Cat 4 “Principal element”
An element is a “principal element” when its replacement value is more than 35% of the total value of the system of which it is an element. Element value is the price paid for the element by the manufacturer of the system, or by the system integrator. Total value is the normal international selling price to unrelated parties at the point of manufacture or consolidation of shipment.

GTN “Production”
Means all production stages, such as: product engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance.

Cat 2 “Programme”
Cat 4 A sequence of instructions to carry out a process in, or convertible
Cat 5 & 6 into, a form executable by an electronic computer.

ML8 “Propellants”
Substances or mixtures that react chemically to produce large volumes of hot gases at controlled rates to perform mechanical work.

Cat 6 “Pulse compression”
The coding and processing of a radar signal pulse of long time duration to one of short time duration, while maintaining the benefits of high pulse energy.

Cat 6 “Pulse duration”
Duration of a “laser” pulse measured at Full Width Half Intensity (FWHI) levels.

ML 4 “Pyrotechnic(s)”
ML 8 Mixtures of solid or liquid fuels and oxidizers which, when ignited, undergo an energetic chemical reaction at a controlled rate intended to produce specific time delays, or quantities of heat, noise, smoke, visible light or infrared radiation. Pyrophorics are a subclass of pyrotechnics, which contain no oxidizers but ignite spontaneously on contact with air.

Cat 6 “Q-switched laser”
A “laser” in which the energy is stored in the population inversion or in the optical resonator and subsequently emitted in a pulse.

Cat 6 “Radar frequency agility”
Any technique which changes, in a pseudo-random sequence, the carrier frequency of a pulsed radar transmitter between pulses or between groups of pulses by an amount equal to or larger than the pulse bandwidth.

Cat 6 “Radar spread spectrum”
Any modulation technique for spreading energy originating from a signal with a relatively narrow frequency band, over a much wider band of frequencies, by using random or pseudo-random coding.

Cat 3 “Real-time bandwidth”
For “dynamic signal analysers”, the widest frequency range which the analyser can output to display or mass storage without causing any discontinuity in the analysis of the input data. For analysers with more than one channel, the channel configuration yielding the widest “real-time bandwidth” shall be used to make the calculation.

Cat 2, “Real time processing”
Cat 6 & 7 The processing of data by a computer system providing a required level of service, as a function of available resources, within a guaranteed response time, regardless of the load of the system, when stimulated by an external event.

Cat 5 “Required”
Cat 6 As applied to “technology”, refers to only that portion of “technology”
Cat 9 which is peculiarly responsible for achieving or exceeding the controlled
GTN performance levels, characteristics or functions. Such “required”
“technology” may be shared by different products.

Cat 2 “Resolution”
The least increment of a measuring device; on digital instruments, the least significant bit. (Reference: ANSI B-89.1.12)

ML 7 “Riot control agents”
Substances which produce temporary irritating or disabling physical effects which disappear within minutes of removal from exposure. There is no significant risk of permanent injury and medical treatment is rarely required.

Cat 2 “Robot”
Cat 8 A manipulation mechanism, which may be of the continuous path or of
ML 17 the point-to-point variety, may use sensors, and has all the following characteristics:
a. Is multifunctional;
b. Is capable of positioning or orienting material, parts, tools or special devices through variable movements in three dimensional space;
c. Incorporates three or more closed or open loop servo-devices which may include stepping motors; and

“Robot” contd.
d. Has “user-accessible programmability” by means of the teach/playback method or by means of an electronic computer which may be a programmable logic controller, i.e., without mechanical intervention.

Note The above definition does not include the following devices:
1. Manipulation mechanisms which are only manually/teleoperator controllable;
2. Fixed sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed stops, such as pins or cams. The sequence of motions and the selection of paths or angles are not variable or changeable by mechanical, electronic or electrical means;
3. Mechanically controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed, but adjustable stops, such as pins or cams. The sequence of motions and the selection of paths or angles are variable within the fixed programme pattern. Variations or modifications of the programme pattern (e.g., changes of pins or exchanges of cams) in one or more motion axes are accomplished only through mechanical operations;
4. Non-servo-controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is variable but the sequence proceeds only by the binary signal from mechanically fixed electrical binary devices or adjustable stops;
5. Stacker cranes defined as Cartesian coordinate manipulator systems manufactured as an integral part of a vertical array of storage bins and designed to access the contents of those bins for storage or retrieval.

Cat 1 “Rotary atomisation”
A process to reduce a stream or pool of molten metal to droplets to a diameter of 500 µm or less by centrifugal force.

Cat 2 “Run out” (out-of-true running)
Radial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle axis at a point on the external or internal revolving surface to be tested (Reference: ISO 230/1-1986, paragraph 5.61).

Cat 7 “Scale factor” (gyro or accelerometer)
The ratio of change in output to a change in the input intended to be measured. Scale factor is generally evaluated as the slope of the straight line that can be fitted by the method of least squares to input-output data obtained by varying the input cyclically over the input range.

Cat 3 “Settling time”
The time required for the output to come within one-half bit of the final value when switching between any two levels of the converter.

Cat 6 “SHPL”
“SHPL” is equivalent to “Super High Power Laser”.

Cat 3 “Signal analysers”
Apparatus capable of measuring and displaying basic properties of the single-frequency components of multi-frequency signals.

Cat 3 “Signal processing”
Cat 4 The processing of externally derived information-
Cat 5 bearing signals by algorithms such as time
Cat 6 compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform).

Both “Software”
Lists A collection of one or more “programmes” or “microprogrammes” fixed in any tangible medium of expression.

“Solidify rapidly”
A process involving the solidification of molten material at cooling rates exceeding 1,000 K/sec.

Cat 4 “Source code”
Cat 5 A convenient expression of one or more processes which may be
Cat 6 turned by a programming system into equipment executable
Cat 7 form (“object code” (or object language)).
Cat 9

Cat 7 “Spacecraft”
Cat 9 Active and passive satellites and space probes.

Cat 3 “Space qualified”
Cat 6 Products designed, manufactured and tested to meet the special electrical,
ML 23 mechanical or environmental requirements for use in the launch and deployment of satellites or high altitude flight systems operating at altitudes of 100 km or higher.

Cat 1 “Splat quenching”
A process to “solidify rapidly” a molten metal stream impinging upon a chilled block, forming a flake-like product.

Cat 5 “Spread spectrum”
The technique whereby energy in a relatively narrow-band communication channel is spread over a much wider energy spectrum.

Cat 6 “Spread spectrum” radar – see “Radar spread spectrum”

Cat 7 “Stability”
Standard deviation (1 sigma) of the variation of a particular parameter from its calibrated value measured under stable temperature conditions. This can be expressed as a function of time.

Cat 2 “Stored programme controlled”
Cat 3 A control using instructions stored in an electronic storage which a
Cat 5 processor can execute in order to direct the performance of predetermined functions.
Technical Note
Equipment may be “stored programme controlled” whether the electronic storage is internal or external to the equipment.

Cat 3 “Substrate”
A sheet of base material with or without an interconnection pattern and on which or within which “discrete components” or integrated circuits or both can be located.

Cat 6 “Substrate blanks”
Monolithic compounds with dimensions suitable for the production of optical elements such as mirrors or optical windows.

Cat 2 “Superalloy”
Cat 9 Nickel-, cobalt- or iron-base alloys having strengths superior to any alloys in the AISI 300 series at temperatures over 922 K (649°C) under severe environmental and operating conditions.

Cat 1 “Superconductive”
Cat 3 Refers to materials,(i.e., metals, alloys or compounds) which can lose all
Cat 6 electrical resistance (i.e., which can attain infinite electrical conductivity
Cat 8 and carry very large electrical currents without Joule heating).
ML 18 & 20 Technical Note
The “superconductive” state of a material is individually characterised by a “critical temperature”, a critical magnetic field, which is a function of temperature, and a critical current density which is, however, a function of both magnetic field and temperature.

Cat 6 “Super High Power Laser” (“SHPL”)
A “laser” capable of delivering (the total or any portion of) the output energy exceeding 1 kJ within 50 ms or having an average or CW power exceeding 20 kW.

Cat 1 “Superplastic forming”
Cat 2 A deformation process using heat for metals that are normally characterised by low values of elongation (less than 20%) at the breaking point as determined at room temperature by conventional tensile strength testing, in order to achieve elongations during processing which are at least 2 times those values.

Cat 5 ” Symmetric algorithm ”
A cryptographic algorithm using an identical key for both encryption and decryption.
Technical Note
A common use of “symmetric algorithms” is confidentiality of data.

Cat 6 “System tracks”
Processed, correlated (fusion of radar target data to flight plan position) and updated aircraft flight position report available to the Air Traffic Control centre controllers.

Cat 4 “Systolic array computer”
A computer where the flow and modification of the data is dynamically controllable at the logic gate level by the user.

ML 7 “Tear gases”
Gases which produce temporary irritating or disabling effects which disappear within minutes of removal from exposure.

GTN & “Technology”
Both Lists Specific information necessary for the “development”, “production” or “use” of a product. The information takes the form of technical data or technical assistance. Controlled “technology” is defined in the General Technology Note and in the Dual-Use List.

Technical Notes
1. ‘Technical data’ may take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories.
2. ‘Technical assistance’ may take forms such as instruction, skills, training, working knowledge, consulting services. ‘Technical assistance’ may involve transfer of ‘technical data’.

Cat 4 “Terminal interface equipment”
Equipment at which information enters or leaves the telecommunication system, e.g., telephone, data device, computer, facsimile device.
Cat 4 “Three dimensional Vector Rate”
The number of vectors generated per second which have 10 pixel poly line vectors, clip tested, randomly oriented, with either integer or floating point X-Y-Z coordinate values (whichever produces the maximum rate).

Cat 2 “Tilting spindle”
A tool-holding spindle which alters, during the machining process, the angular position of its centre line with respect to any other axis.

Cat 6 “Time constant”
The time taken from the application of a light stimulus for the current increment to reach a value of 1-1/e times the final value (i.e., 63% of the final value).

Cat 5 P1 “Time-modulated ultra-wideband”
Cat 5 P2 The technique in which very short precisely time-controlled RF pulses are modulated in accordance with communications data by shifting pulse positions (usually called Pulse Position Modulation, PPM) channelized or scrambled in accordance with pseudo-random noise codes by PPM, then transmitted and received in the direct pulse form without using any carrier frequencies, consequently having extremely low power density over ultra-wide frequency bands. It is also known as Impulse Radio.

Cat 7 “Total control of flight”
Automated control of “aircraft” state variables and flight path to meet mission objectives responding to real time changes in data regarding objectives, hazards or other “aircraft”.

Cat 5 “Total digital transfer rate”
The number of bits, including line coding, overhead and so forth per unit time passing between corresponding equipment in a digital transmission system. (See also “digital transfer rate”)

Cat 6 “Transfer laser”
A “laser” in which the lasing species is excited through the transfer of energy by collision of a non-lasing atom or molecule with a lasing atom or molecule species.

Cat 6 “Tunable”
The ability of a “laser” to produce a continuous output at all wavelengths over a range of several “laser” transitions. A line selectable “laser” produces discrete wavelengths within one “laser” transition and is not considered “tunable”.

GTN “Use”
Cat 1, 2, 4 Operation, installation (including on-site installation), maintenance
Cat 5, 6, 7 (checking), repair, overhaul and refurbishing.
Cat 8 & 9

Cat 4 “User-accessible programmability”
Cat 5 The facility allowing a user to insert, modify or replace “programmes” by means other than:
Cat 6 a. A physical change in wiring or interconnections; or
b. The setting of function controls including entry of parameters.

Cat 1 “Vacuum atomisation”
A process to reduce a molten stream of metal to droplets of a diameter of 500 µm or less by the rapid evolution of a dissolved gas upon exposure to a vacuum.

Cat 7 “Variable geometry airfoils”
Use trailing edge flaps or tabs, or leading edge slats or pivoted nose droop, the position of which can be controlled in flight.

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”.

3. A. 1. a. 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;
b. A dose rate upset of 5 x 106 Gy (Si)/s or higher; or
c. A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 x 1013 n/cm2 or higher on silicon, or its equivalent for other materials;
Note 3.A.1.a.1.c. does not apply to Metal Insulator Semiconductors (MIS).

3. A. 1. a. 2. “Microprocessor microcircuits”, “microcomputer microcircuits”, microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, analogue-to-digital converters, digital-to-analogue 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 is 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. Rated for operation at an ambient temperature above 398 K (+125°C);
b. Rated for operation at an ambient temperature below 218 K
(-55°C); or
c. Rated for operation over the entire ambient temperature range from 218 K (-55°C) to 398 K (+125°C);
Note 3.A.1.a.2. does not apply to integrated circuits for civil automobile or railway train applications.

3. A. 1. a. 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. Deleted
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 that provides a direct external interconnection between parallel “microprocessor microcircuits” with a transfer rate exceeding 150 Mbyte/s;

3. A. 1. a. 4. Storage integrated circuits manufactured from a compound semiconductor;

3. A. 1. a. 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 of less than 5 ns;
2. A resolution of 12 bit with a total conversion time of less than 20 ns;
3. A resolution of more than 12 bit but equal to or less than 14 bit with a total conversion time of less than 200 ns; or
4. A resolution of more than 14 bit with a total conversion time of less than 1 microsecond;

b. Digital-to-analogue converters with a resolution of 12 bit or more, and a “settling time” of less than 10 ns;

Technical Note
1. A resolution of n bit corresponds to a quantisation of 2n levels.
2. Total conversion time is the inverse of the sample rate.

3. A. 1. a. 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;

3. A. 1. a. 7. Field programmable logic devices having any of the following:
a. An equivalent usable gate count of more than 30,000 (2 input gates);
b. A typical “basic gate propagation delay time” of less than 0.1 ns; or
c. A toggle frequency exceeding 133 MHz;

Note 3.A.1.a.7.includes:
- Simple Programmable Logic Devices (SPLDs)
- Complex Programmable Logic Devices (CPLDs)
- Field Programmable Gate Arrays (FPGAs)
- Field Programmable Logic Arrays (FPLAs)
- Field Programmable Interconnects (FPICs)

N.B. Field programmable logic devices are also known as field programmable gate or field programmable logic arrays.

3. A. 1. a. 8. Deleted

3. A. 1. a. 9. Neural network integrated circuits;

3. A. 1. 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. More than 1,000 terminals;
b. A typical “basic gate propagation delay time” of less than 0.1 ns; or
c. An operating frequency exceeding 3 GHz;

3. A. 1. a. 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 3000 (2 input gates); or
b. A toggle frequency exceeding 1.2 GHz;

3. A. 1. 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 3.A.1.a.12. gives an execution time of 500 μs.

3. A. 1. b. Microwave or millimetre wave components, as follows:
1. Electronic vacuum tubes and cathodes, as follows:
Note 1 3.A.1.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 3.A.1.b.1. does not control non-”space-qualified” tubes which meet all of 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;

a. Travelling wave tubes, pulsed or continuous wave, as follows:
1. Operating at frequencies exceeding 31.8 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 a “fractional bandwidth” of more than 7% or a peak power exceeding 2.5 kW;

3. A. 1. b. 1. a. 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 producing a continuous emission current density at rated operating conditions exceeding 5 A/cm²;

3. A. 1. b. 2. Microwave monolithic integrated circuits (MMIC) power amplifiers having any of the following:
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. 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%;
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%;
d. Rated for operation at frequencies exceeding 31.8 GHz up to and including 37.5 GHz;
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
f. Rated for operation at frequencies exceeding 43.5 GHz.

Note 1 3.A.1.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 3.A.1.b.2., is determined by the lowest average output power control threshold.

Note 3 Notes 1 and 2 in the chapeau to Category 3 mean that 3.A.1.b.2. does not control MMICs if they are specially designed for other applications, e.g., telecommunications, radar, automobiles.

3. A. 1. b. 3. Microwave transistors having any of the following:
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. 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);
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);
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
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 3.A.1.b.3, is determined by the lowest average output power control threshold.

3. A. 1. b. 4. Microwave solid state amplifiers and microwave assemblies/modules containing microwave amplifiers having any of the following:
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. 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%;
c. Rated for operation at frequencies exceeding 31.8 GHz up to and including 37.5 GHz;
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%;
e. Rated for operation at frequencies exceeding 43.5 GHz; or
f. Rated for operation at frequencies above 3 GHz and having all of the following:
1. An average output power (in watts), P, greater than 150 divided by the maximum operating frequency (in GHz) squared [P>150 W*GHz2/fGHz2];
2. A fractional bandwidth of 5% or greater; and
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≤ 15cm*GHz/ fGHz].

N.B. MMIC power amplifiers should be evaluated against the criteria in 3.A.1.b.2.

Note 1 3.A.1.b.4. 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 an item whose operating frequency spans more than one frequency range, as defined by 3.A.1.b.4, is determined by the lowest average output power control threshold.

3. A. 1. b. 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; or
b. A band-stop bandwidth of less than 0.5% of centre frequency;

6. Deleted

3. A. 1. b. 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 controlled by 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 any frequency band which is “allocated by the ITU” for radio-communications services, but not for radio-determination.

3. A. 1. 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;
3. A. 1. c. 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;

3. A. 1. 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. 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
2. Frequency selection at all frequencies using resonant circuits with Q?values exceeding 10,000;

3. A. 1. 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.

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);

3. A. 1. e. 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 than 25 kJ;

3. A. 1. e. 2. 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. A. 1. e. 3. “Superconductive” electromagnets and solenoids specially designed to be fully charged or discharged in less than one second, having all of the following:
Note 3.A.1.e.3. does not control “superconductive” electromagnets or solenoids specially designed for Magnetic Resonance Imaging (MRI) medical equipment.

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;

3. A. 1. 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; or
2. An accuracy better than ± 2.5 seconds of arc.

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.

3. A. 2. a. 2. Digital video magnetic tape recorders having a maximum digital interface transfer rate exceeding 360 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, which may include a compressed signal format, standardised or recommended by the ITU, the IEC, the SMPTE, the EBU, the ETSI or the IEEE for civil television applications.

3. A. 2. a. 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; or
b. 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;

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; and
b. 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.

6. Digital instrumentation data recorders, using magnetic disk storage technique, having all of the following:
a. Digitizing rate equal to or more than 100 million samples per second and a resolution of 8 bit or more; and
b. A continuous throughput of 1 Gbit/s or more;

3. A. 2. b. “Frequency synthesiser” “electronic assemblies” having a “frequency switching time” from one selected frequency to another of less than 1 ms;

c. Radio frequency “signal analysers”, as follows:
1. “Signal analysers” capable of analysing any frequencies exceeding 31.8 GHz but less than 37.5 GHz or exceeding 43.5 GHz;
2. “Dynamic signal analysers” having a “real-time bandwidth” exceeding 500 kHz;
Note 3.A.2.c.2. does not control those “dynamic signal analysers” using only constant percentage bandwidth filters (also known as octave or fractional octave filters).

3. A. 2. 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 31.8 GHz but not exceeding 43.5 GHz and rated to generate a pulse duration of less than 100 ns;
2. A maximum synthesised frequency exceeding 43.5 GHz;
3. A “frequency switching time” from one selected frequency to another of less than 1 ms; or
4. 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;

Technical Note
For the purposes of 3.A.2.d.1., ‘pulse duration’ is defined as the time interval between the leading edge of the pulse achieving 90% of the peak and the trailing edge of the pulse achieving 10% of the peak.

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.

3. A. 2. e. Network analysers with a maximum operating frequency exceeding 43.5 GHz;

f. Microwave test receivers having all of the following:
1. A maximum operating frequency exceeding 43.5 GHz; and
2. Being capable of measuring amplitude and phase simultaneously;

g. Atomic frequency standards having any of the following:
1. Long-term stability (aging) less (better) than 1 x 10-11/month; or
2. Being “space qualified”.
Note 3.A.2.g.1. does not control non-”space qualified” rubidium standards.

3. A. 3. Spray cooling thermal management systems employing closed loop fluid handling and reconditioning equipment in a sealed enclosure where a dielectric fluid is sprayed onto electronic components using specially designed spray nozzles that are designed to maintain electronic components within their operating temperature range, and specially designed components therefor.

3. B. TEST, INSPECTION AND PRODUCTION EQUIPMENT

3. B. 1. Equipment for the manufacturing of semiconductor devices or materials, as follows, and specially designed components and accessories therefor:
a. Equipment designed for epitaxial growth, as follows:

1. Equipment capable of producing any of the following:
a. A silicon layer with a thickness uniform to less than ± 2.5% across a distance of 200 mm or more; or
b. A layer of any material other than silicon with a thickness uniform to less than ± 2.5% across a distance of 75 mm or more;

2. Metal organic chemical vapour deposition (MOCVD) reactors specially designed for compound semiconductor crystal growth by the chemical reaction between materials controlled by 3.C.3 or 3.C.4.;
3. Molecular beam epitaxial growth equipment using gas or solid sources;

3. B. 1. b. Equipment designed for ion implantation, having any of the following:
1. A beam energy (accelerating voltage) exceeding 1 MeV;
2. Being specially designed and optimised to operate at a beam energy (accelerating voltage) of less than 2 keV;
3. Direct write capability; or
4. A beam energy of 65 keV or more and a beam current of 45 mA or more for high energy oxygen implant into a heated semiconductor material “substrate”;

3. B. 1. c. Anisotropic plasma dry etching equipment, as follows:
1. Equipment with cassette-to-cassette operation and load-locks, and having any of the following:
a. Designed or optimised to produce critical dimensions of 0.3 μm or less with ±5% 3 sigma precision; or
b. Designed for generating less than 0.04 particles/cm2 with a measurable particle size greater than 0.1 μm in diameter;

2. Equipment specially designed for equipment controlled by 3.B.1.e. and having any of the following:
a. Designed or optimised to produce critical dimensions of 0.3 μm or less with ±5% 3 sigma precision; or
b. Designed for generating less than 0.04 particles/cm2 with a measurable particle size greater than 0.1 μm in diameter;

3. B. 1. d. Plasma enhanced CVD equipment, as follows:
1. Equipment with cassette-to-cassette operation and load-locks, and designed according to the manufacturer’s specifications or optimised for use in the production of semiconductor devices with critical dimensions of 180 nm or less;

3. B. 1. d. 2. Equipment specially designed for equipment controlled by 3.B.1.e. and designed according to the manufacturer’s specifications or optimised for use in the production of semiconductor devices with critical dimensions of 180 nm or less;

3. B. 1. e. Automatic loading multi-chamber central wafer handling systems, having all of the following:
1. Interfaces for wafer input and output, to which more than two pieces of semiconductor processing equipment are to be connected; and
2. Designed to form an integrated system in a vacuum environment for sequential multiple wafer processing;
Note 3.B.1.e. does not control automatic robotic wafer handling systems not designed to operate in a vacuum environment.

3. B. 1. f. Lithography equipment, as follows:
1. Align and expose step and repeat (direct step on wafer) or step and scan (scanner) equipment for wafer processing using photo-optical or X-ray methods, having any of the following:
a. A light source wavelength shorter than 350 nm; or
b. Capable of producing a pattern with a minimum resolvable feature size of 0.35 µm or less;
Technical Note
The minimum resolvable feature size is calculated by the following formula:

where the K factor = 0.7.
MRF = minimum resolvable feature size.

2. Equipment specially designed for mask making or semiconductor device processing using deflected focussed electron beam, ion beam or “laser” beam, having any of the following:
a. A spot size smaller than 0.2 µm;
b. Being capable of producing a pattern with a feature size of less than 1 µm; or
c. An overlay accuracy of better than ± 0.20 µm (3 sigma);

3. B. 1. g. Masks and reticles designed for integrated circuits controlled by 3.A.1.;

h. Multi-layer masks with a phase shift layer.

Note 3.B.1.h. does not control multi-layer masks with a phase shift layer designed for the fabrication of memory devices not controlled by 3.A.1.

3. B. 2. “Stored programme controlled” test equipment, specially designed for testing finished or unfinished semiconductor devices, as follows, and specially designed components and accessories therefor:
3. B. 2. a. For testing S-parameters of transistor devices at frequencies exceeding 31.8 GHz;

b. For testing integrated circuits capable of performing functional (truth table) testing at a pattern rate of more than 667 MHz;
Note 3.B.2.b. does not control test equipment specially designed for testing:
1. “Electronic assemblies” or a class of “electronic assemblies” for home or entertainment applications;
2. Uncontrolled electronic components, “electronic assemblies” or integrated circuits;
3. Memories.

Technical Note
For the purpose of this entry, pattern rate is defined as the maximum frequency of digital operation of a tester. It is therefore equivalent to the highest data rate that a tester can provide in non-multiplexed mode. It is also referred to as test speed, maximum digital frequency or maximum digital speed.

3. B. 2. c. For testing microwave integrated circuits controlled by 3.A.1.b.2.;

3. C. MATERIALS

3. C. 1. Hetero-epitaxial materials consisting of a “substrate” having stacked epitaxially grown multiple layers of any of the following:
a. Silicon;
b. Germanium;
c. Silicon Carbide; or
d. III/V compounds of gallium or indium.

Technical Note
III/V compounds are polycrystalline or binary or complex monocrystalline products consisting of elements of groups IIIA and VA of Mendeleyev’s periodic classification table (e.g., gallium arsenide, gallium-aluminium arsenide, indium phosphide).

3. C. 2. Resist materials, as follows, and “substrates” coated with controlled resists:
a. Positive resists designed for semiconductor lithography specially adjusted (optimised) for use at wavelengths below 350 nm ;
b. All resists designed for use with electron beams or ion beams, with a sensitivity of 0.01 µcoulomb/mm2 or better;
c. All resists designed for use with X-rays, with a sensitivity of 2.5 mJ/mm2 or better;
d. All resists optimised for surface imaging technologies, including silylated resists.

Technical Note
Silylation techniques are defined as processes incorporating oxidation of the resist surface to enhance performance for both wet and dry developing.

3. C. 3. Organo-inorganic compounds, as follows:
a. Organo-metallic compounds of aluminium, gallium or indium having a purity (metal basis) better than 99.999%;
b. Organo-arsenic, organo-antimony and organo-phosphorus compounds having a purity (inorganic element basis) better than 99.999%.
Note 3.C.3. only controls compounds whose metallic, partly metallic or non-metallic element is directly linked to carbon in the organic part of the molecule.

3. C. 4. Hydrides of phosphorus, arsenic or antimony, having a purity better than 99.999%, even diluted in inert gases or hydrogen.
Note 3.C.4. does not control hydrides containing 20% molar or more of inert gases or hydrogen.

3. D. SOFTWARE

3. D. 1. “Software” specially designed for the “development” or “production” of equipment controlled by 3.A.1.b. to 3.A.2.g. or 3.B.

3. D. 2. “Software” specially designed for the “use” of any of the following:
a. Equipment controlled by 3.B.1.a. to f.; or
b. Equipment controlled by 3.B.2.

3. D. 3. Physics-based simulation “software” specially designed for the “development” of lithographic, etching or deposition processes for translating masking patterns into specific topographical patterns in conductors, dielectrics or semiconductor materials.

Technical Note
‘Physics-based’ in 3.D.3. means using computations to determine a sequence of physical cause and effect events based on physical properties (e.g., temperature, pressure, diffusion constants and semiconductor materials properties).

Note Libraries, design attributes or associated data for the design of semiconductor devices or integrated circuits are considered as “technology”.

3. D. 4. “Software” specially designed for the “development” of the equipment controlled by 3.A.3.

3. E. TECHNOLOGY

3. E. 1. “Technology” according to the General Technology Note for the “development” or “production” of equipment or materials controlled by 3.A, 3.B or 3.C;

Note 3.E.1. does not control “technology” for the “production” of equipment or components controlled by 3.A.3.

2. “Technology” according to the General Technology Note other than that controlled in 3.E.1. for the “development” or “production” of “microprocessor microcircuits”, “micro-computer microcircuits” and microcontroller microcircuits having a “composite theoretical performance” (“CTP”) of 530 million theoretical operations per second (Mtops) or more and an arithmetic logic unit with an access width of 32 bits or more.

Note 3.E.1. and 3.E.2. do not control “technology” for the “development” or “production” of integrated circuits controlled by 3.A.1.a.3. to 3.A.1.a.12., having all of the following:
1. Using “technology” of 0.5 µm or more; and
2. Not incorporating multi-layer structures.
Technical Note
The term multi-layer structures in Note b.2. above does not include devices incorporating a maximum of three metal layers and three polysilicon layers.

3. E. 3. Other “technology” for the “development” or “production” of:
a. Vacuum microelectronic devices;

b. Hetero-structure semiconductor devices such as high electron mobility transistors (HEMT), hetero-bipolar transistors (HBT), quantum well and super lattice devices;
Note 3.E.3.b does not control technology for high electron mobility transistors (HEMT) operating at frequencies lower than 31.8 GHz and hetero-junction bipolar transistors (HBT) operating at frequencies lower than 31.8 GHz.

c. “Superconductive” electronic devices;
d. Substrates of films of diamond for electronic components;
e. Substrates of silicon-on-insulator (SOI) for integrated circuits in which the insulator is silicon dioxide;
f. Substrates of silicon carbide for electronic components;
g. Electronic vacuum tubes operating at frequencies of 31.8 GHz or higher.
4. COMPUTERS

Note 1 Computers, related equipment and “software” performing telecommunications or “local area network” functions must also be evaluated against the performance characteristics of Category 5, Part 1 (Telecommunications).

Note 2 Control units which directly interconnect the buses or channels of central processing units, “main storage” or disk controllers are not regarded as telecommunications equipment described in Category 5, Part 1 (Telecommunications).
N.B. For the control status of “software” specially designed for packet switching, see Category 5.D.1. (Telecommunications).

Note 3 Computers, related equipment and “software” performing cryptographic, cryptanalytic, certifiable multi-level security or certifiable user isolation functions, or which limit electromagnetic compatibility (EMC), must also be evaluated against the performance characteristics in Category 5, Part 2 (“Information Security”).

4. A. SYSTEMS, EQUIPMENT AND COMPONENTS

4. A. 1. Electronic computers and related equipment, as follows, and “electronic assemblies” and specially designed components therefor:
a. Specially designed to have any of the following characteristics:
1. Rated for operation at an ambient temperature below 228 K (-45°C) or above 358 K (85°C);
Note 4.A.1.a.1. does not apply to computers specially designed for civil automobile or railway train applications.

2. Radiation hardened to exceed any of the following specifications:
a. Total Dose 5 x 103 Gy (Si);
b. Dose Rate Upset 5 x 106 Gy (Si)/s; or
c. Single Event Upset 1 x 10-7 Error/bit/day;

b. Having characteristics or performing functions exceeding the limits in Category 5, Part 2 (“Information Security”).
Note 4.A.1.b. does not control electronic computers and related equipment when accompanying their user for the user’s personal use.

4. A. 2. Deleted

4. A. 3. “Digital computers”, “electronic assemblies”, and related equipment therefor, as follows, and specially designed components therefor:

Note 1 4.A.3. includes the following:
a. Vector processors;
b. Array processors;
c. Digital signal processors;
d. Logic processors;
e. Equipment designed for “image enhancement”;
f. Equipment designed for “signal processing”.

Note 2 The control status of the “digital computers” and related equipment described in 4.A.3 is determined by the control status of other equipment or systems provided:
a. The “digital computers” or related equipment are essential for the operation of the other equipment or systems;
b. The “digital computers” or related equipment are not a “principal element” of the other equipment or systems; and
N.B.1 The control status of “signal processing” or “image enhancement” equipment specially designed for other equipment with functions limited to those required for the other equipment is determined by the control status of the other equipment even if it exceeds the “principal element” criterion.
N.B.2 For the control status of “digital computers” or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications).
c. The “technology” for the “digital computers” and related equipment is determined by 4.E.

4. A. 3. a. Designed or modified for “fault tolerance”;

Note For the purposes of 4.A.3.a., “digital computers” and related equipment are not considered to be designed or modified for “fault tolerance” if they utilise any of the following:
1. Error detection or correction algorithms in “main storage”;
2. The interconnection of two “digital computers” so that, if the active central processing unit fails, an idling but mirroring central processing unit can continue the system’s functioning;
3. The interconnection of two central processing units by data channels or by using shared storage to permit one central processing unit to perform other work until the second central processing unit fails, at which time the first central processing unit takes over in order to continue the system’s functioning; or
4. The synchronisation of two central processing units by “software” so that one central processing unit recognises when the other central processing unit fails and recovers tasks from the failing unit.

4. A. 3. b. “Digital computers” having a “composite theoretical performance” (“CTP”) exceeding 190,000 Mtops;

4. A. 3. c. “Electronic assemblies” specially designed or modified for enhancing performance by aggregation of “computing elements” (“CEs”) so that the “CTP” of the aggregation exceeds the limit in 4.A.3.b.;
Note 1 4.A.3.c. applies only to “electronic assemblies” and programmable interconnections not exceeding the limit in 4.A.3.b. when shipped as unintegrated “electronic assemblies”. It does not apply to “electronic assemblies” inherently limited by nature of their design for use as related equipment controlled by 4.A.3.d., or 4.A.3.e.
Note 2 4.A.3.c. does not control “electronic assemblies” specially designed for a product or family of products whose maximum configuration does not exceed the limit of 4.A.3.b.

d. Deleted

e. Equipment performing analogue-to-digital conversions exceeding the limits in 3.A.1.a.5;

f. Deleted

g. Equipment specially designed to provide external interconnection of “digital computers” or associated equipment which allows communications at data rates exceeding 1,25 Gbyte/s.
Note 4.A.3.g. does not control internal interconnection equipment (e.g., backplanes, buses), passive interconnection equipment, “network access controllers” or “communications channel controllers”.

4. A. 4. Computers, as follows, and specially designed related equipment, “electronic assemblies” and components therefor:
a. “Systolic array computers”;
b. “Neural computers”;
c. “Optical computers”.

4. B. TEST, INSPECTION AND PRODUCTION EQUIPMENT – None

4. C. MATERIALS – None

4. D. SOFTWARE

Note The control status of “software” for the “development”, “production”, or “use” of equipment described in other Categories is dealt with in the appropriate Category. The control status of “software” for equipment described in this Category is dealt with herein.

4. D. 1. a. “Software” specially designed or modified for the “development”, “production” or “use” of equipment or “software” controlled by 4.A. or 4.D.

b. “Software”, other than that controlled by 4.D.1.a., specially designed or modified for the “development” or “production” of:
1. “Digital computers” having a “composite theoretical performance” (“CTP”) exceeding 28,000 Mtops; or
2. “Electronic assemblies” specially designed or modified for enhancing performance by aggregation of “computing elements” (“CEs”) so that the “CTP” of the aggregation exceeds the limit in 4.D.1.b.1.

2. “Software” specially designed or modified to support “technology” controlled by 4.E.

3. Specific “software”, as follows:
a. Operating system “software”, “software” development tools and compilers specially designed for “multi-data-stream processing” equipment, in “source code”;
b. Deleted
c. “Software” having characteristics or performing functions exceeding the limits in Category 5, Part 2 (“Information Security”);
Note 4.D.3.c. does not control “software” when accompanying its user for the user’s personal use.

d. Deleted

4. E. TECHNOLOGY

4. E. 1. a. “Technology” according to the General Technology Note, for the “development”, “production” or “use” of equipment or “software” controlled by 4.A. or 4.D.

b. “Technology”, other than that controlled by 4.E.1.a., specially designed or modified for the “development” or “production” of:
1. “Digital computers” having a “composite theoretical performance” (“CTP”) exceeding 28,000 Mtops; or
2. “Electronic assemblies” specially designed or modified for enhancing performance by aggregation of “computing elements” (“CEs”) so that the “CTP” of the aggregation exceeds the limit in 4.E.1.b.1.

TECHNICAL NOTE ON “COMPOSITE THEORETICAL PERFORMANCE” (“CTP”)

Abbreviations used in this Technical Note

“CE” “computing element” (typically an arithmetic logical unit)
FP floating point
XP fixed point
t execution time
XOR exclusive OR
CPU central processing unit
TP theoretical performance (of a single “CE”)
“CTP” “composite theoretical performance” (multiple “CEs”)
R effective calculating rate
WL word length
L word length adjustment
* multiply
Execution time ‘t’ is expressed in microseconds, TP and “CTP” are expressed in millions of theoretical operations per second (Mtops) and WL is expressed in bits.

Outline of “CTP” calculation method

“CTP” is a measure of computational performance given in Mtops. In calculating the “CTP” of an aggregation of “CEs” the following three steps are required:

1. Calculate the effective calculating rate R for each “CE”;
2. Apply the word length adjustment (L) to the effective calculating rate (R), resulting in a Theoretical Performance (TP) for each “CE”;
3. If there is more than one “CE”, combine the TPs, resulting in a “CTP” for the aggregation.
Details for these steps are given in the following sections.

Note 1 For aggregations of multiple “CEs” which have both shared and unshared memory subsystems, the calculation of “CTP” is completed hierarchically, in two steps: first, aggregate the groups of “CEs” sharing memory; second, calculate the “CTP” of the groups using the calculation method for multiple “CEs” not sharing memory.

Note 2 “CEs” that are limited to input/output and peripheral functions (e.g., disk drive, communication and video display controllers) are not aggregated into the “CTP” calculation.

TECHNICAL NOTE ON “CTP”

The following table shows the method of calculating the Effective Calculating Rate R for each “CE”:
Step 1: The effective calculating rate R

For “CEs” Implementing:Note Every “CE” must be evaluated independently. Effective calculating Rate, R
XP only(R xp) if no add is implemented use: If neither add nor multiply is implemented use the fastest available arithmetic operation as follows: See Notes X & Z
FP only(R fp) See Notes X & Y
Both FP and XP(R) Calculate both R xp, R fp
For simple logic processors not implementing any of the specified arithmetic operations. Where t log is the execute time of the XOR, or forlogic hardware not implementing the XOR, the fastest simple logic operation.See Notes X & Z
For special logic processors not using any of the specified arithmetic or logic operations. R = R’ * WL/64Where R’ is the number of results per second, WL is the number of bits upon which the logic operation occurs, and 64 is a factor to normalize to a 64 bit operation.

TECHNICAL NOTE ON “CTP”

Note W For a pipelined “CE” capable of executing up to one arithmetic or logic operation every clock cycle after the pipeline is full, a pipelined rate can be established. The effective calculating rate (R) for such a “CE” is the faster of the pipelined rate or non-pipelined execution rate.

Note X For a “CE” which performs multiple operations of a specific type in a single cycle (e.g., two additions per cycle or two identical logic operations per cycle), the execution time t is given by:

“CEs” which perform different types of arithmetic or logic operations in a single machine cycle are to be treated as multiple separate “CEs” performing simultaneously (e.g., a “CE” performing an addition and a multiplication in one cycle is to be treated as two “CEs”, the first performing an addition in one cycle and the second performing a multiplication in one cycle).
If a single “CE” has both scalar function and vector function, use the shorter execution time value.

Note Y For the “CE” that does not implement FP add or FP multiply, but that performs FP divide:

If the “CE” implements FP reciprocal but not FP add, FP multiply or FP divide, then

If none of the specified instructions is implemented, the effective FP rate is 0.

Note Z In simple logic operations, a single instruction performs a single logic manipulation of no more than two operands of given lengths.
In complex logic operations, a single instruction performs multiple logic manipulations to produce one or more results from two or more operands.

TECHNICAL NOTE ON “CTP”

Note Z
Rates should be calculated for all supported operand lengths considering both pipelined operations (if supported), and non-pipelined operations using the fastest executing instruction for each operand length based on:
1. Pipelined or register-to-register operations. Exclude extraordinarily short execution times generated for operations on a predetermined operand or operands (for example, multiplication by 0 or 1). If no register-to-register operations are implemented, continue with (2).
2. The faster of register-to-memory or memory-to-register operations; if these also do not exist, then continue with (3).
3. Memory-to-memory.

In each case above, use the shortest execution time certified by the manufacturer.

Step 2: TP for each supported operand length WL

Adjust the effective rate R (or R’) by the word length adjustment L as follows:

TP = R * L,
where L = (1/3 + WL/96)

Note The word length WL used in these calculations is the operand length in bits. (If an operation uses operands of different lengths, select the largest word length.)

The combination of a mantissa ALU and an exponent ALU of a floating point processor or unit is considered to be one “CE” with a Word Length (WL) equal to the number of bits in the data representation (typically 32 or 64) for purposes of the “CTP” calculation.

This adjustment is not applied to specialized logic processors which do not use XOR instructions. In this case TP = R.

Select the maximum resulting value of TP for:

Each XP-only “CE” (Rxp);
Each FP-only “CE” (Rfp);
Each combined FP and XP “CE” (R);
Each simple logic processor not implementing any of the specified arithmetic operations; and
Each special logic processor not using any of the specified arithmetic or logic operations.

TECHNICAL NOTE ON “CTP”

Step 3: “CTP” for aggregations of “CEs”, including CPUs.

For a CPU with a single “CE”,
“CTP” = TP
(for “CEs” performing both fixed and floating point operations
TP = max (TPfp, TPxp))

“CTP” for aggregations of multiple “CEs” operating simultaneously is calculated as follows:

Note 1 For aggregations that do not allow all of the “CEs” to run simultaneously, the possible combination of “CEs” that provides the largest “CTP” should be used. The TP of each contributing “CE” is to be calculated at its maximum value theoretically possible before the “CTP” of the combination is derived.
N.B. To determine the possible combinations of simultaneously operating “CEs”, generate an instruction sequence that initiates operations in multiple “CEs”, beginning with the slowest “CE” (the one needing the largest number of cycles to complete its operation) and ending with the fastest “CE”. At each cycle of the sequence, the combination of “CEs” that are in operation during that cycle is a possible combination. The instruction sequence must take into account all hardware and/or architectural constraints on overlapping operations.

Note 2 A single integrated circuit chip or board assembly may contain multiple “CEs”.

Note 3 Simultaneous operations are assumed to exist when the computer manufacturer claims concurrent, parallel or simultaneous operation or execution in a manual or brochure for the computer.

Note 4 “CTP” values are not to be aggregated for “CE” combinations (inter)connected by “Local Area Networks”, Wide Area Networks, I/O shared connections/devices, I/O controllers and any communication interconnection implemented by software.

TECHNICAL NOTE ON “CTP”

Note 5 “CTP” values must be aggregated for multiple “CEs” specially designed to enhance performance by aggregation, operating simultaneously and sharing memory,? or multiple memory/”CE”- combinations operating simultaneously utilising specially designed hardware.
This aggregation does not apply to “electronic assemblies” described in 4.A.3.c.

“CTP” = TP1 + C2 * TP2 + … + Cn * TP n,

where the TPs are ordered by value, with TP1 being the highest, TP2 being the second highest, …, and TPn being the lowest. Ci is a coefficient determined by the strength of the interconnection between “CEs”, as follows:

For multiple “CEs” operating simultaneously and sharing memory:

C2 = C3 = C4 = … = Cn = 0.75

Note 1 When the “CTP” calculated by the above method does not exceed 194 Mtops, the following formula may be used to calculate Ci:

(i = 2, … , n)

where m = the number of “CEs” or groups of “CEs” sharing access.

provided:
1. The TPi of each “CE” or group of “CEs” does not exceed 30 Mtops;
2. The “CEs” or groups of “CEs” share access to main memory (excluding cache memory) over a single channel; and
3. Only one “CE” or group of “CEs” can have use of the channel at any given time.
N.B. This does not apply to items controlled under Category 3.

Note 2 “CEs” share memory if they access a common segment of solid state memory. This memory may include cache memory, main memory or other internal memory. Peripheral memory devices such as disk drives, tape drives or RAM disks are not included.

TECHNICAL NOTE ON “CTP”

For Multiple “CEs” or groups of “CEs” not sharing memory, interconnected by one or more data channels:

Ci = 0.75 * ki (i = 2, … , 32) (see Note below)
= 0.60 * ki (i = 33, … , 64)
= 0.45 * ki (i = 65, … , 256)
= 0.30 * ki (i > 256)

The value of Ci is based on the number of “CEs”, not the number of nodes.

where ki = min (Si/Kr, 1), and
Kr = normalizing factor of 20 MByte/s.
Si = sum of the maximum data rates (in units of MByte/s) for all data channels connected to the ith “CE” or group of “CEs” sharing memory.

When calculating a Ci for a group of “CEs”, the number of the first “CE” in a group determines the proper limit for Ci. For example, in an aggregation of groups consisting of 3 “CEs” each, the 22nd group will contain “CE”64, “CE”65 and “CE”66. The proper limit for Ci for this group is 0.60.

Aggregation (of “CEs” or groups of “CEs”) should be from the fastest-to-slowest; i.e.:
TP1 > TP2 >…. > TPn , and
in the case of TPi = TPi + 1, from the largest to smallest; i.e.:
Ci > Ci + 1
Note The ki factor is not to be applied to “CEs” 2 to 12 if the TPi of the “CE” or group of “CEs” is more than 50 Mtops; i.e., Ci for “CEs” 2 to 12 is 0.75.

ACRONYMS AND ABBREVIATIONS USED IN THESE LISTS

An acronym or abbreviation, when used as a defined term, will be found in ‘Definitions of Terms used in these Lists’.

ACRONYM OR MEANING
ABBREVIATION

ABEC Annular Bearing Engineers Committee
AGMA American Gear Manufacturers’ Association
AHRS attitude and heading reference systems
ALU arithmetic logic unit
ATC air traffic control
C3I command, communications, control & intelligence
CAD computer-aided-design
CAS Chemical Abstracts Service
CDU control and display unit
CEP circular error probable
CNTD controlled nucleation thermal deposition
CVD chemical vapour deposition
CW chemical warfare
CW (for lasers) continuous wave
DEW directed energy weapon systems
DME distance measuring equipment
DS directionally solidified
EB-PVD electron beam physical vapour deposition
EBU European Broadcasting Union
ECM electro-chemical machining
ECR electron cyclotron resonance
EDM electrical discharge machines
EEPROMS electrically erasable programmable read only memory
EIA Electronic Industries Association
EMC electromagnetic compatibility
EMCDB elastomer modified cast double based propellants
FFT Fast Fourier Transform
GLONASS global navigation satellite system
GPS global positioning system
HBT hetero-bipolar transistors
HDDR high density digital recording
HEMT high electron mobility transistors
ICAO International Civil Aviation Organisation
IEC International Electro-technical Commission
IEEE Institute of Electrical and Electronic Engineers
IFOV instantaneous-field-of-view
ILS instrument landing system
IRIG inter-range instrumentation group

ACRONYM OR MEANING
ABBREVIATION

ISAR inverse synthetic aperture radar
ISO International Organization for Standardization
ITU International Telecommunication Union
JIS Japanese Industrial Standard
JT Joule-Thomson
LIDAR light detection and ranging
LRU line replaceable unit
MAC message authentication code
Mach ratio of speed of an object to speed of sound (after Ernst Mach)
MLS microwave landing systems
MOCVD metal organic chemical vapour deposition
MRI magnetic resonance imaging
MTBF mean-time-between-failures
Mtops million theoretical operations per second
MTTF mean-time-to-failure
NBC Nuclear, Biological and Chemical
NDT non-destructive test
PAR precision approach radar
PIN personal identification number
ppm parts per million
PSD power spectral density
QAM quadrature-amplitude-modulation
RF radio frequency
RPV remotely piloted air vehicles
SACMA Suppliers of Advanced Composite Materials Association
SAR synthetic aperture radar
SC single crystal
SLAR sidelooking airborne radar
SMPTE Society of Motion Picture and Television Engineers
SRA shop replaceable assembly
SRAM static random access memory
SRM SACMA Recommended Methods
SSB single sideband
SSR secondary surveillance radar
TCSEC trusted computer system evaluation criteria
TIR total indicated reading
UTS ultimate tensile strength
VOR very high frequency omni-directional range
YAG yttrium/aluminum garnet