(a) Electronic equipment and systems not included in Category XII, as follows:
(1) underwater hardware, equipment or systems, as follows:
(i) active or passive acoustic array sensing systems or acoustic array equipment capable of real‑time processing that survey or detect, and also track, localise (that is, determine range and bearing), classify, or identify, surface vessels, submarines, other undersea vehicles, torpedoes, or mines, having any of the following:
(A) multi‑static capability;
(B) operating frequency less than 20 kHz;
(C) operating bandwidth greater than 10 kHz;
(ii) underwater single acoustic sensor system that distinguishes non‑biologic tonals and locates the origin of the sound;
(iii) non‑acoustic systems that survey or detect, and also track, localise (that is, determine range and bearing), classify, or identify, surface vessels, submarines, other undersea vehicles, torpedoes, or mines;
(iv) acoustic modems, networks, and communications equipment with real‑time adaptive compensation or employing Low Probability of Intercept (LPI);
(v) low Frequency/Very Low Frequency (LF/VLF) electronic modems, routers, interfaces, and communications equipment, specially designed for submarine communications;
(vi) autonomous systems and equipment that enable cooperative sensing and engagement by fixed (bottom mounted/seabed) or mobile Autonomous Underwater Vehicles (AUVs);
(2) underwater acoustic countermeasures and counter‑countermeasures systems or equipment;
(3) radar systems and equipment, as follows:
(i) airborne radar that maintains positional state of an object or objects of interest, other than weather phenomena, in a received radar signal through time;
(ii) Synthetic Aperture Radar (SAR) incorporating image resolution less than (better than) 0.3 m, or incorporating Coherent Change Detection (CCD) with geo‑registration accuracy less than (better than) 0.3 m, not including concealed object detection equipment operating in the frequency range from 30 GHz to 3,000 GHz and having a spatial resolution of 0.5 milliradians up to and including 1 milliradians at a standoff distance of 100 m;
(iii) Inverse Synthetic Aperture Radar (ISAR);
(iv) radar that geodetically‑locates (that is, geodetic latitude, geodetic longitude, and geodetic height) with a target location error 50 (TLE50) less than or equal to 10 m at ranges greater than 1 km;
(v) any Ocean Surveillance Radar with an average‑power‑aperture product of greater than 50 Wm2;
(vi) any ocean surveillance radar that transmits a waveform with an instantaneous bandwidth greater than 100 MHz and has an antenna rotation rate greater than 60 revolutions per minute (RPM);
(vii) air surveillance radar with free space detection of 1 square metre RCS target at 85 nmi or greater range, scaled to RCS values as RCS to the 1/4 power;
(viii) air surveillance radar with free space detection of 1 square metre RCS target at an altitude of 65,000 feet and an elevation angle greater than 20 degrees (that is, counter‑battery);
(ix) air surveillance radar with multiple elevation beams, phase or amplitude monopulse estimation, or 3D height‑finding;
(x) air surveillance radar with a beam solid angle less than or equal to 16 degrees2 that performs free space tracking of 1 square metre RCS target at a range greater or equal to 25 nmi with revisit rate greater or equal to 1/3 Hz;
(xi) instrumentation radar for anechoic test facility or outdoor range that maintains positional state of an object of interest in a received radar signal through time or provides measurement of RCS of a static target less than or equal to minus 10dBsm, or RCS of a dynamic target;
(xii) radar incorporating pulsed operation with electronics steering of transmit beam in elevation and azimuth;
(xiii) radar with mode(s) for ballistic tracking or ballistic extrapolation to source of launch or impact point of articles controlled in Categories III, IV, or XV;
(xiv) active protection radar and missile warning radar with mode(s) implemented for detection of incoming munitions;
(xv) over the horizon high frequency sky‑wave (ionosphere) radar;
(xvi) radar that detects a moving object through a physical obstruction at distance greater than 0.2 m from the obstruction;
(xvii) radar having moving target indicator (MTI) or pulse‑Doppler processing where any single Doppler filter provides a normalised clutter attenuation of greater than 60dB;
(xviii) radar having electronic protection or electronic counter‑countermeasures (ECCM) other than manual gain control, automatic gain control, radio frequency selection, constant false alarm rate, and pulse repetition interval jitter;
(xix) radar employing electronic attack (EA) mode(s) using the radar transmitter and antenna;
(xx) radar employing electronic support (ES) mode(s) (that is, the ability to use a radar system for ES purposes in one or more of the following: as a high‑gain receiver, as a wide‑bandwidth receiver, as a multi‑beam receiver, or as part of a multi‑point system);
(xxi) radar employing non‑cooperative target recognition (NCTR) (that is, the ability to recognise a specific platform type without cooperative action of the target platform);
(xxii) radar employing automatic target recognition (ATR) (that is, recognition of target using structural features (for example, tank versus car) of the target with system resolution better than (less than) 0.3 m);
(xxiii) radar that sends interceptor guidance commands or provides illumination keyed to an interceptor seeker;
(xxiv) radar employing waveform generation for LPI other than frequency modulated continuous wave (FMCW) with linear ramp modulation;
(xxv) radar that sends and receives communications;
(xxvi) radar that tracks or discriminates ballistic missile warhead from debris or countermeasures;
(xxvii) bi‑static/multi‑static radar that exploits greater than 125 kHz bandwidth and is lower than 2 GHz centre frequency to passively detect or track using radio frequency (RF) transmissions (for example, commercial radio and television stations);
(xxviii) radar target generators, projectors, or simulators, specially designed for radars controlled by this category; or
(xxix) radar and laser radar systems specially designed for defence articles in paragraph (a)(1) of Category IV or paragraphs (a)(5), (a)(6), or (a)(13) of Category VIII (MT if specially designed for rockets, SLVs, missiles, drones or UAVs capable of delivering a payload of at least 500 kg to a range of at least 300 km);
(4) electronic combat, that is electronic warfare, systems and equipment, as follows:
(i) ES systems and equipment that search for, intercept and identify, or locate sources of intentional or unintentional electromagnetic energy specially designed to provide immediate threat detection, recognition, targeting, planning, or conduct of future operations;
(ii) systems and equipment that detect and automatically discriminate acoustic energy emanating from weapons fire (for example, gunfire, artillery, rocket propelled grenades, or other projectiles), determining location or direction of weapons fire in less than two seconds from receipt of event signal, and able to operate on‑the‑move (for example, operating on personnel, land vehicles, sea vessels, or aircraft while in motion);
(iii) systems and equipment specially designed to introduce extraneous or erroneous signals into radar, infrared based seekers, electro‑optic based seekers, radio communication receivers, navigation receivers, or that otherwise hinder the reception, operation, or effectiveness of adversary electronics (for example, active or passive electronic attack, electronic countermeasure, electronic counter‑countermeasure equipment, jamming, and counter jamming equipment);
(5) command, control and communications (C3); command control, communications, and computers (C4); command, control, communications, computers, intelligence, surveillance, and reconnaissance (C4ISR); and identification systems or equipment, that:
(i) are specially designed to integrate, incorporate, network, or employ defence articles that are controlled in this list that do not use the term specially designed; or
(ii) incorporate United States government identification friend or foe (IFF) Modes 4 or 5; or
(iii) implement active or passive ECCM used to counter acts of communication disruption (for example, radios that incorporate HAVE QUICK I/II, SINCGARS, SATURN); or
(iv) specially designed, rated, certified, or otherwise specified or described to be in compliance with United States Government NSTISSAM TEMPEST 1‑92 standards or CNSSAM TEMPEST 01‑02, to implement techniques to suppress compromising emanations of information bearing signals; or
(v) transmit voice or data signals specially designed to elude electromagnetic detection.
(6) [Reserved]
(7) developmental electronic equipment or systems funded by the United States Government via contract or other funding authorisation;
(8) unattended ground sensor (UGS) systems or equipment having all of the following:
(i) automatic target detection;
(ii) automatic target tracking, classification, recognition, or identification;
(iii) self‑forming or self‑healing networks;
(iv) self‑localisation for geo‑locating targets;
(9) electronic sensor systems or equipment for non‑acoustic antisubmarine warfare (ASW) or mine warfare (for example, magnetic anomaly detectors (MAD), electric‑field, electromagnetic induction);
(10) electronic sensor systems or equipment for detection of concealed weapons, having a standoff detection range of greater than 45 m for personnel or detection of vehicle‑carried weapons, not including concealed object detection equipment operating in the frequency range from 30 GHz to 3,000 GHz and having a spatial resolution of 0.5 milliradians up to and including 1 milliradians at a standoff distance of 100 m;
(11) test sets specially designed for testing defence articles controlled in paragraphs (a)(3), (a)(4), (a)(5), or (b);
(12) direction finding equipment for determining bearings to specific electromagnetic sources or terrain characteristics specially designed for defence articles in paragraph (a)(1) of Category IV or paragraphs (a)(5), (a)(6), or (a)(13) of Category VIII (MT if specially designed for rockets, SLVs, missiles, drones, or UAVs capable of delivering a payload of at least 500 kg to a range of at least 300 km. See note 9).
Note 1: The term Low Probability of Intercept used in this paragraph and elsewhere in this category is defined as a class of measures that disguise, delay, or prevent the interception of acoustic or electromagnetic signals. LPI techniques can involve permutations of power management, energy management, frequency variability, out‑of‑receiver‑frequency band, low‑side lobe antenna, complex waveforms, and complex scanning. LPI is also referred to as Low Probability of Intercept, Low Probability of Detection, and Low Probability of Identification.
Note 2: Subsubparagraph (1)(ii)—the term tonals implies discrete frequencies in the broadband and narrowband spectra, emanating from man‑made objects.
Note 3: Subsubparagraph (1)(iv)—adaptive compensation is the capability of an underwater modem to assess the water conditions to select the best algorithm to receive and transmit data.
Note 4: Subparagraph (3)—this subparagraph does not control:
(a) systems or equipment that require aircraft transponders in order to meet control parameters; and
(b) precision approach radar (PAR) equipment conforming to ICAO standards and employing electronically steerable linear (1‑ dimensional) arrays or mechanically positioned passive antennas; and
(c) radio altimeter equipment.
Note 5: Subsubparagraph (3)(xii)—this subsubparagraph does not control radars not otherwise controlled in this list, operating with a peak transmit power less than or equal to 250 watts.
Note 6: Subsubparagraph (3)(xvii)—normalised clutter attentuation is defined as the reduction in the power level of received distributed clutter when normalised to the thermal noise level.
Note 7: Subsubparagraph (3)(xxix)—laser radar systems embody specialised transmission, scanning, receiving, and signal processing techniques for utilisation of lasers for echo ranging, direction finding, and discrimination of targets by location, radial speed, and body reflection characteristics.
Note 8: Subsubparagraph (3)(xxix)—for the definition of “range” as it pertains to rocket systems, see note 1 to paragraph (a) of Category IV. “Payload” is the total mass that can be carried or delivered by the specified rocket, SLV, or missile that is not used to maintain flight.
Note 9: Subsubparagraph (3)(xxix)—this subparagraph includes terrain contour mapping equipment, scene mapping and correlation (both digital and analogue) equipment, Doppler navigation radar equipment, passive interferometer equipment, and imaging sensor equipment (both active and passive).
Note 10: Subsubparagraph (4)(i)—ES provides tactical situational awareness, automatic cueing, targeting, electronic order of battle planning, electronic intelligence (ELINT), communication intelligence (COMINT), or signals intelligence (SIGINT).
Note 11: Subparagraph (7)—this subparagraph does not control electronic systems or equipment (a) in production, or (b) identified in the relevant United States Government contract or other funding authorisation as being developed for both civil and military applications.
Note 12: Subparagraph (7)—note 9 does not apply to defence articles enumerated in this list in production or development.
Note 13: Subparagraph (7)—this subparagraph applies only to those contracts and funding authorisations that are dated 1 July 2015, or later.
Note 14: Subparagraph (12) includes terrain contour mapping equipment, scene mapping and correlation (both digital and analogue) equipment, Doppler navigation radar equipment, passive interferometer equipment, and imaging sensor equipment (both active and passive).
(b) Electronic systems, equipment or software, not elsewhere enumerated in this subchapter, specially designed for intelligence purposes that collect, survey, monitor or exploit, or analyse and produce information from, the electromagnetic spectrum (regardless of transmission medium), or for counteracting such activities.
(c) Parts, components, accessories, attachments and associated equipment, as follows:
(1) Application Specific Integrated Circuits (ASICs) and Programmable Logic Devices (PLD) programmed for defence articles in this list;
(2) Printed Circuit Boards (PCBs) and populated circuit card assemblies for which the layout is specially designed for defence articles in this list;
(3) multichip modules for which the pattern or layout is specially designed for defence articles in this list;
(4) transmit/receive modules or transmit modules that have any two perpendicular sides, with either length d (in cm) equal to or less than 15 divided by the lowest operating frequency in GHz [d≤15cm*GHz/fGHz], with an electronically variable phase shifter or phasers that are a Monolithic Microwave Integrated Circuit (MMIC), or incorporate a MMIC or discrete RF power transistor;
(5) high‑energy storage capacitors with a repetition rate of 6 discharges or more per minute and full energy life greater than or equal to 10,000 discharges, at greater than 0.2 Amps per Joule peak current, that have either or both of the following:
(i) volumetric energy density greater than or equal to 1.5 J/cc;
(ii) mass energy density greater than or equal to 1.3 kJ/kg;
(6) radio frequency circulators of any dimension equal to or less than one quarter (1⁄4) wavelength of the highest operating frequency and isolation greater than 30 dB;
(7) polarimeter that detects and measures polarisation of radio frequency signals within a single pulse;
(8) digital radio frequency memory (DRFM) with RF instantaneous input bandwidth greater than 400 MHz, and 4 bit or higher resolution whose output signal is a translation of the input signal (for example, changes in magnitude, time, frequency) and specially designed parts and components therefor;
(9) vacuum electronic devices, as follows:
(i) multiple electron beam or sheet electron beam devices rated for operation at frequencies of 16 GHz or above, and with a saturated power output greater than 10,000 W (70 dBm) or a maximum average power output greater than 3,000 W (65 dBm);
(ii) cross‑field amplifiers with a gain of 15 dB to 17 dB or a duty factor greater than 5%;
(10) antenna, and specially designed parts and components therefor, that:
(i) employ four or more elements, electronically steer angular beams, independently steer angular nulls, create angular nulls with a null depth greater than 20 dB, and achieve a beam switching speed faster than 50 milliseconds; or
(ii) form adaptive null attenuation greater than 35 dB with convergence time less than one second; or
(iii) detect signals across multiple RF bands with matched left hand and right hand spiral antenna elements for determination of signal polarisation; or
(iv) determine signal angle of arrival less than two degrees (for example, interferometer antenna);
(11) radomes or electromagnetic antenna windows that:
(i) incorporate radio frequency selective surfaces; or
(ii) operate in multiple non‑adjacent frequency bands for radar applications; or
(iii) incorporate a structure that is specially designed to provide ballistic protection from bullets, shrapnel, or blast; or
(iv) have a melting point greater than 1,300°C and maintain a dielectric constant less than 6 at temperatures greater than 500°C; or
(v) are manufactured from ceramic materials with a dielectric constant less than 6 at any frequency from 100 MHz to 100 GHz (MT if usable in rockets, SLVs, or missiles capable of achieving a range greater than or equal to 300 km; or if usable in drones or UAVs capable of delivering a payload of at least 500 kg to a range of at least 300 km. See note 9 to paragraph (a)); or
(vi) maintain structural integrity at stagnation pressures greater than 6,000 pounds per square foot; or
(vii) withstand combined thermal shock greater than 4.184 × 106 J/m2 accompanied by a peak overpressure of greater than 50 kPa (MT if usable in rockets, SLVs, missiles, drones, or UAVs capable of delivering a payload of at least 500 kg to a range of at least 300 km and usable in protecting against nuclear effects (for example, Electromagnetic Pulse (EMP), X‑rays, combined blast and thermal effects). See note 9 to paragraph (a));
(12) underwater sensors (acoustic vector sensors, hydrophones, or transducers) or projectors, specially designed for systems controlled by paragraphs (a)(1) and (a)(2) of this category, having any of the following:
(i) a transmitting frequency below 10 kHz for sonar systems;
(ii) sound pressure level exceeding 224 dB (reference 1 mPa at 1 m) for equipment with an operating frequency in the band from 10 kHz to 24 kHz inclusive;
(iii) sound pressure level exceeding 235 dB (reference 1 mPa at 1 m) for equipment with an operating frequency in the band between 24 kHz and 30 kHz;
(iv) forming beams of less than 1° on any axis and having an operating frequency of less than 100 kHz;
(v) designed to operate with an unambiguous display range exceeding 5,120 m;
(vi) designed to withstand pressure during normal operation at depths exceeding 1,000 m and having transducers with any of the following:
(A) dynamic compensation for pressure;
(B) incorporating other than lead zirconate titanate as the transduction element;
(13) parts or components containing piezoelectric materials which are specially designed for underwater hardware, equipment, or systems controlled by paragraph (c)(12);
(14) tuners specially designed for systems and equipment in paragraphs (a)(4) and (b);
(15) electronic assemblies and components, capable of operation at temperatures in excess of 125 °C and specially designed for UAVs or drones controlled by Category VIII, rockets, space launch vehicles (SLV), or missiles controlled by Category IV capable of achieving a range greater than or equal to 300 km (MT);
(16) hybrid (combined analogue/digital) computers specially designed for modelling, simulation, or design integration of systems enumerated in paragraphs (a)(1), (d)(1), (d)(2), (h)(1), (h)(2), (h)(4), (h)(8), and (h)(9) of Category IV or paragraphs (a)(5), (a)(6), or (a)(13) of Category VIII (MT if for rockets, SLVs, missiles, drones or UAVs capable of delivering a payload of at least 500 kg to a range of at least 300 km for their subsystems);
(17) chaff and flare rounds specially designed for the systems and equipment described in paragraph (a)(4)(iii) of this category, and parts and components therefor containing materials controlled in Category V;
(18) parts, components, or accessories specially designed for an information assurance/information security system or radio controlled in this list that modify its published properties (for example, frequency range, algorithms, waveforms, CODECs, or modulation/demodulation schemes);
(19) any part, component, accessory, attachment, equipment, or system that (MT for those articles designated as such):
(ii) contains classified software directly related to defence articles; or
Note 1: Subparagraph (1)—an ASIC is an integrated circuit developed and produced for a specific application or function regardless of number of customers.
Note 2: Subparagraph (1)—unprogrammed PLDs are not controlled by this paragraph.
Note 3: Subparagraph (10)—this category does not control Traffic Collision Avoidance Systems (TCAS) equipment.
Note 4: Subparagraph (19)—parts and components controlled by this paragraph are limited to those that store, process or transmit classified software.
(d) Technical data and defence services directly related to the defence articles enumerated in paragraphs (a) to (c) (MT for technical data and defence services related to articles designated as such).
(e) ‑ (w) [Reserved]
(x) Commodities, software and technology used in or with defence articles controlled in this category.
Note: Use of this paragraph is limited to exports of defence articles controlled in this category where the purchase documentation includes commodities, software or technology.