16 January 1998
Source: "Implementation of the Wassenaar
Arrangement List of Dual-Use Items: Revisions to the Commerce Control List
and Reporting Under the Wassenaar Arrangement; Rule."
Supplement No. 1 to Part 774--the Commerce Control List
Category 5--Telecommunications, Part I (``Information Security'', Part II)
I. Telecommunications
Notes: 1. The control status of components, ``lasers'', test and
``production'' equipment, materials and ``software'' therefor which
are specially designed for telecommunications equipment or systems
is determined in Category 5, Part 1.
2. ``Digital computers'', related equipment or ``software'',
when essential for the operation and support of telecommunications
equipment described in this Category, are regarded as specially
designed components, provided they are the standard models
customarily supplied by the manufacturer. This includes operation,
administration, maintenance, engineering or billing computer
systems.
A. Systems, Equipment and Components
5A001 Telecommunications systems, equipment, and components.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to 5A001.a.................. NS Column 1
NS applies to 5A001.b, .c, .d, or .e... NS Column 2
[[Page 2519]]
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: N/A for 5A001.a and b.9;
$5000 for 5A001.b.1 to b.8 and b.10, .c, and .e
$3000 for 5A001.d
GBS: Yes, except 5A001.a and b.9
CIV: Yes, except 5A001.a, b.8, and b.9
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 5A101 and 5A991
Related Definitions: N/A
Items: a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. Specially designed to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation; or
a.3. Specially designed to operate outside the temperature range
from 218 K (-55 deg.C) to 397 K (124 deg.C).
Note: 5A001.a.3 applies only to electronic equipment.
Note: 5A001.a.2 and 5A001.a.3 do not apply to equipment on board
satellites.
b. Telecommunication transmission equipment and systems, and
specially designed components and accessories therefor, having any
of the following characteristics, functions or features:
Note: Telecommunication transmission equipment:
a. Categorized as follows, or combinations thereof:
1. Radio equipment (e.g., transmitters, receivers and
transceivers);
2. Line terminating equipment;
3. Intermediate amplifier equipment;
4. Repeater equipment;
5. Regenerator equipment;
6. Translation encoders (transcoders);
7. Multiplex equipment (statistical mutiplex included);
8. Modulators/demodulators (modems);
9. Transmultiplex equipment (see CCITT Rec. G701);
10. ``Stored program controlled'' digital crossconnection
equipment;
11. ``Gateways'' and bridges;
12. ``Media access units''; and
b. Designed for use in single or multi-channel communication via
any of the following:
1. Wire (line);
2. Coaxial cable;
3. Optical fiber cable;
4. Electromagnetic radiation; or
5. Underwater acoustic wave propagation.
b.1. Employing digital techniques, including digital processing
of analog signals, and designed to operate at a ``digital transfer
rate'' at the highest multiplex level exceeding 45 Mbit/s or a
``total digital transfer rate'' exceeding 90 Mbit/s;
Note: 5A001.b.1 does not control equipment specially designed to
be integrated and operated in any satellite system for civil use.
b.2. Being underwater communications systems having any of the
following characteristics:
b.2.a. An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
b.2.b. Using an electromagnetic carrier frequency below 30 kHz;
or
b.2.c. Using electronic beam steering techniques;
b.3. Being equipment containing any of the following:
b.3.a. ``Network access controllers'' and their related common
medium having a ``digital transfer rate'' exceeding 156 Mbit/s; or
b.3.b. ``Communication channel controllers'' with a digital
output having a ``data signalling rate'' exceeding 2.1 Mbit/s per
channel;
Note: If any uncontrolled equipment contains a ``network access
controller'', it cannot have any type of telecommunications
interface, except those described in, but not controlled by
5A001.b.3.
b.4. Employing a ``laser'' and having any of the following
characteristics:
b.4.a. A transmission wavelength exceeding 1,000 nm; or
b.4.b. Employing analog techniques and having a bandwidth
exceeding 45 MHz;
Note: 5A001.b.4.b does not control commercial TV systems.
b.4.c. Employing coherent optical transmission or coherent
optical detection techniques (also called optical heterodyne or
homodyne techniques);
b.4.d. Employing wavelength division multiplexing techniques; or
b.4.e. Performing ``optical amplification'';
b.5. Being radio equipment operating at input or output
frequencies exceeding 31 GHz;
Note: 5A001.b.5 does not control equipment designed or modified
for operation in any ITU allocated band.
b.6. Being radio equipment employing any of the following:
b.6.a. Quadrature-amplitude-modulation (QAM) techniques above
level 4 if the ``total digital transfer rate'' exceeds 8.5 Mbit/s;
b. QAM techniques above level 16 if the ``total digital transfer
rate'' is equal to or less than 8.5 Mbit/s; or
c. Other digital modulation techniques and having a ``spectral
efficiency'' exceeding 3 bit/sec/Hz;
Notes: 1. 5A001.b.6 does not control equipment specially
designed to be integrated and operated in any satellite system for
civil use.02
2. 5A001.b.6 does not control radio relay equipment for
operation in an ITU allocated band:
a. Having any of the following:
a.1. Not exceeding 960 MHz; or
a.2. With a ``total digital transfer rate'' not exceeding 8.5
Mbit/s; and
b. Having a ``spectral efficiency'' not exceeding 4 bit/sec/Hz.
b.7. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having any of the following characteristics:
b.7.a. Incorporating adaptive techniques providing more than 15
dB suppression of an interfering signal; or
b.7.b. Having all of the following:
b.7.b.1. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.7.b.2. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the 1.5 MHz to 30 MHz frequency
range or 250 W or more in the 30 MHz to 87.5 MHz frequency range,
over an ``instantaneous bandwidth'' of one octave or more and with
an output harmonic and distortion content of better than -80 dB;
b.8. Being radio equipment employing ``spread spectrum'' or
``frequency agility'' (frequency hopping) techniques having any of
the following characteristics:
b.8.a. User programmable spreading codes; or
b.8.b. A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz;
Note: 5A001.b.8.b does not control cellular radio equipment
operating in civil bands.
Note: 5A001.b.8 does not control equipment operating at an
output power of 1.0 Watt or less.
b.9. Being digitally controlled radio receivers having all of
the following:
b.9.a. More than 1,000 channels;
b.9.b. A ``frequency switching time'' of less than 1 ms;
b.9.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
b.9.d. Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.9 does not control cellular radio equipment
operating in civil bands.
b.10. Employing functions of digital ``signal processing'' to
provide voice coding at rates of less than 2,400 bit/s.
c. ``Stored program controlled'' switching equipment and related
signalling systems, having any of the following characteristics,
functions or features, and specially designed components and
accessories therefor:
Note: Statistical multiplexers with digital input and digital
output which provide switching are treated as ``stored program
controlled'' switches.
c.1. ``Common channel signalling'' operating in either non-
associated or quasi-associated mode of operation;
c.2. ``Dynamic adaptive routing'';
Note: 5A001.c.2 does not control packet switches or routers with
ports or lines not exceeding the limits in 5A001.c.3.
c.3. Being packet switches, circuit switches and routers with
ports or lines exceeding any of the following:
c.3.a. A ``data signalling rate'' of 2.1 Mbit/s per channel for
a ``communications channel controller''; or
Note: 5A001.c.3.a does not control multiplexed composite links
composed only of communication channels not individually controlled
by 5A001.c.3.a.
[[Page 2520]]
c.3.b. A ``digital transfer rate'' of 156 Mbit/s for a ``network
access controller'' and related common medium;
c.4. ``Optical switching'';
c.5. Employing ``Asynchronous Transfer Mode'' (``ATM'')
techniques.
d. Optical fiber communication cables, optical fibers and
accessories, as follows:
d.1. Optical fibers and optical fiber cables of more than 50 m
in length having any of the following characteristics:
d.1.a. Designed for single mode operation; or
d.1.b. For optical fibers, specified by the manufacturer as
being capable of withstanding a proof test tensile stress of
2 x 10\9\ N/m\2\ or more;
Technical Note: Proof Test: on-line or off-line production
screen testing that dynamically applies a prescribed tensile stress
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s
while passing between capstans approximately 150 mm in diameter. The
ambient temperature is a nominal 293 K (20 deg. C) and relative
humidity 40%.
N.B.: Equivalent national standards may be used for executing
the proof test.
d.2. Optical fiber cables and accessories designed for
underwater use.
Note: 5A001.d.2 does not control standard civil
telecommunication cables and accessories.
N.B.: For fiber-optic hull penetrators or connectors, see
8A002.c.
e. ``Electronically steerable phased array antennae'' operating
above 31 GHz.
Note: 5A001.e does not control ``electronically steerable phased
array antennae'' for landing systems with instruments meeting ICAO
standards covering microwave landing systems (MLS).
5A101 Telemetering and telecontrol equipment usable for ``missiles''.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5A980 Communications intercepting devices; and parts and accessories
therefor.
License Requirements
Reason for Control: Controls on equipment described in this entry
are maintained in accordance with the Omnibus Crime Control and Safe
Streets Act of 1968 (Public Law 90-351). A license is required for
ALL destinations, regardless of end-use. Accordingly, a column
specific to this control does not appear on the Commerce Country
Chart. (See Sec. 742.13 of the EAR for additional information on the
scope of this control.)
Note: These items are subject to the United Nations Security
Council arms embargo against Rwanda described in Sec. 746.8 of the
EAR.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5A991 Telecommunication equipment, not controlled by 5A001.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Any type of telecommunications equipment, not controlled
by 5A001.a, specially designed to operate outside the temperature
range from 219 K (-54 deg. C) to 397 K (124 deg. C).
b. Transmission equipment, as follows:
b.1. Modems using the ``bandwidth of one voice channel'' with a
``data signalling rate'' exceeding 9,600 bits per second;
b.2. ``Communication channel controllers'' with a digital output
having a ``data signalling rate'' exceeding 64,000 bit/s per
channel; or
b.3. ``Network access controller'' and their related common
medium having a ``digital transfer rate'' exceeding 33 Mbit/s.
b.4. Being ``stored program controlled'' digital cross connect
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per
port.
b.5. Radio equipment operating at input or output frequencies
exceeding:
b.5.1. 31 GHz for satellite-earth station applications; or
b.5.2. 26.5 GHz for other applications;
Note: 5A991.b.5. does not control equipment for civil use when
conforming with an International Telecommunications Union (ITU)
allocated band between 26.5 GHz and 31 GHz.
b.6. Providing functions of digital ``signal processing'' as
follows:
b.6.a. Voice coding at rates less than 2,400 bit/s;
b.6.b. Employing circuitry that incorporates ``user-accessible
programmability'' of digital ``signal processing'' circuits
exceeding the limits of 4A003.b.
c. ``Stored program controlled'' switching equipment and related
signalling systems as follows:
c.1. ``Data (message) switching'' equipment or systems designed
for ``packet-mode operation'' and assemblies and components
therefor, n.e.s.
c.2. Containing ``Integrated Services Digital Network'' (ISDN)
functions and having any of the following:
c.2.a. Switch-terminal (e.g., subscriber line) interfaces with a
``digital transfer rate'' at the highest multiplex level exceeding
192,000 bit/s, including the associated signalling channel (e.g.,
2B+D); or
c.2.b. The capability that a signalling message received by a
switch on a given channel that is related to a communication on
another channel may be passed through to another switch.
Note: 5A991.b. does not preclude the evaluation and appropriate
actions taken by the receiving switch or unrelated user message
traffic on a D channel of ISDN.
c.3. Routing or switching of ``datagram'' packets;
c.4. Routing or switching of ``fast select'' packets;
Note: The restrictions in 5A991.c.3 and c.4 do not apply to
networks restricted to using only ``network access controllers'' or
to ``network access controllers'' themselves.
c.5. Multi-level priority and pre-emption for circuit switching;
Note: 5A991.c.5. does not control single-level call preemption.
c.6. Designed for automatic hand-off of cellular radio calls to
other cellular switches or automatic connection to a centralized
subscriber data base common to more than one switch;
c.7. Containing ``stored program controlled'' digital
crossconnect equipment with ``digital transfer rate'' exceeding 8.5
Mbit/s per port.
c.8. Being packet switches, circuit switches and routers with
ports or lines exceeding any of the following:
c.8.a. A ``data signalling rate'' of 64,000 bit/s per channel
for a ``communications channel controller''; or
Note: 5A991.c.8.a. does not control multiplex composite links
composed only of communication channels not individually controlled
by 5A001.b.1.
c.8.b. A ``digital transfer rate'' of 33 Mbit/s for a ``network
cess controller'' and related common media;
d. Centralized network control having all of the following
characteristics:
d.1. Receives data from the nodes; and
d.2. Process these data in order to provide control of traffic
not requiring operator decisions, and thereby performing ``dynamic
adaptive routing'';
Note: 5A991.d. does not preclude control of traffic as a
function of predictable statistical traffic conditions.
e. Phased array antennae, operating above 10.5 GHz, containing
active elements and distributed components, and designed to permit
electronic control of beam shaping and pointing, except for landing
systems with instruments meeting International Civil
[[Page 2521]]
Aviation Organization (ICAO) standards (microwave landing systems
(MLS)).
f. Mobile communications equipment, n.e.s., and assemblies and
components therefor; or
g. Radio relay communications equipment designed for use at
frequencies equal to or exceeding 19.7 GHz and assemblies and
components therefor, n.e.s.
B. Test, Inspection and Production Equipment
5B001 Equipment and specially designed components or accessories
therefor, specially designed for the ``development'', ``production'' or
``use'' of equipment, materials, functions or features controlled by
5A001, 5B001, 5C001, 5D001 or 5E001.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000
GBS: Yes
CIV: Yes
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 5B991. This entry does not control
optical fibers and ``optical fiber preform'' characterization
equipment not using semiconductor ``lasers''.
Related Definition: N/A
Items: The List of Items Controlled is contained in the ECCN
heading.
5B991 Telecommunications test equipment, n.e.s.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $1,000 for Syria; N/A to Iran
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
C. Materials
5C001 Preforms of glass or of any other material optimized for the
manufacture of optical fibers controlled by 5A001.d.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: Yes
CIV: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
D. Software
5D001 ``Software'', as described in the List of Items Controlled.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: Yes, except for ``software'' controlled by 5D001.b or .c, when
specially designed or modified for equipment, functions or features
controlled by 5A001.b.9
TSR: Yes, except for exports and reexports to destinations outside
of Austria, Belgium, Canada, Denmark, Finland, France, Germany,
Greece, Ireland, Italy, Luxembourg, the Netherlands, Portugal,
Spain, Sweden, or the United Kingdom of ``software'' controlled by
5D001.a and specially designed for items controlled by 5A001.b.9
List of Items Controlled
Unit: $ value
Related Controls: See also 5D991
Related Definitions: N/A
Items: a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment, functions
or features controlled by 5A001, 5B001 or 5C001.
b. ``Software'' specially designed or modified to support
``technology'' controlled by 5E001.
c. Specific ``software'' as follows:
c.1. ``Software'', other than in machine-executable form,
specially designed or modified for the ``use'' of digital cellular
radio equipment or systems;
c.2. ``Software'' specially designed or modified to provide
characteristics, functions or features of equipment controlled by
5A001 or 5B001;
c.3. ``Software'' which provides the capability of recovering
``source code'' of telecommunications ``software'' controlled by
5A001, 5B001, or 5C001;
c.4. ``Software'', other than in machine-executable form,
specially designed for ``dynamic adaptive routing''.
N.B.: For ``software'' for ``signal processing'' see also 4D and
6D.
5D101 ``Software'' designed or modified for the ``development'',
``production'' or ``use of items controlled by 5A101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5D991 ``Software'' specially designed or modified for the
``development'', ``production'', or ``use'' of equipment controlled by
5A991 and 5B991.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
E. Technology
5E001 ``Technology'', (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for exports or reexports to destinations outside of
Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece,
Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain,
Sweden, or the United Kingdom of ``technology'' controlled by
5E001.a for the ``development'' or ``production'' of items
controlled by 5A001.b.9 or 5D001.a.
List of Items Controlled
Unit: $ value
Related Controls: See also 5E101 and 5E991
Related Definitions: N/A
Items: a. ``Technology'' according to the General Technology Note
for the ``development'', ``production'' or ``use''
[[Page 2522]]
(excluding operation) of equipment, functions or features, materials
or ``software'' controlled by 5A001, 5B001, 5C001 or 5D001.
b. Specific ``technologies'', as follows:
b.1. ``Required'' ``technology'' for the ``development'' or
``production'' of telecommunications equipment specially designed to
be used on board satellites;
b.2. ``Technology'' for the ``development'' or ``use'' of
``laser'' communication techniques with the capability of
automatically acquiring and tracking signals and maintaining
communications through exoatmosphere or sub-surface (water) media;
b.3. ``Technology'' for the processing and application of
coatings to optical fiber specially designed to make it suitable for
underwater use;
b.4. ``Technology'' for the ``development'' of equipment
employing ``Synchronous Digital Hierarchy'' (``SDH'') or
``Synchronous Optical Network'' (``SONET'') techniques;
b.5. ``Technology'' for the ``development'' of ``switch fabric''
exceeding 64,000 bit/s per information channel other than for
digital cross connect integrated in the switch;
b.6. ``Technology'' for the ``development'' of centralized
network control or ``dynamic adaptive routing'';
b.7. ``Technology'' for the ``development'' of digital cellular
radio systems;
b.8. ``Technology'' for the ``development'' of broadband
``Integrated Services Digital Network'' (``ISDN'');
b.9. ``Technology'' for the ``development'' of QAM techniques,
for radio equipment, above level 4;
b.10. ``Technology'' for the ``development'' of ``spread
spectrum'' or ``frequency agility'' (frequency hopping) techniques.
5E101 ``Technology'' according to the General Technology Note for the
``development'', ``production'' or ``use'' of equipment controlled by
5A101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5E111 ``Technology'' according to the General Technology Note for the
``development'', ``production'', or ``use'' of ``software'' controlled
by 5D101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5E991 ``Technology'' for the ``development'', ``production'' or
``use'' of equipment controlled by 5A991 or 5B991, or ``software''
controlled by 5D991.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.