The Wassenaar Arrangement - Dual-Use and Munitions Lists - July 1996
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3.A. SYSTEMS, EQUIPMENT AND COMPONENTS
Note 1 The control status of equipment and components described in 3.A., other than those described in 3.A.1.a.3. to 3.A.1.a.10. or 3.A.1.a.12., which are specially designed for or which have the same functional characteristics as other equipment is determined by the control status of the other equipment.Note 2 The control status of integrated circuits described in 3.A.1.a.3. to 3.A.1.a.9. or 3.A.1.a.12. which are unalterably programmed or designed for a specific function for another equipment is determined by the control status of the other equipment.
N.B. When the manufacturer or applicant cannot determine the control status of the other equipment, the control status of the integrated circuits is determined in 3.A.1.a.3. to 3.A.1.a.9. and 3.A.1.a.12.If the integrated circuit is a silicon-based "microcomputer microcircuit" or microcontroller microcircuit described in 3.A.1.a.3. having an operand (data) word length of 8 bit or less, the control status of the integrated circuit is determined in 3.A.1.a.3.
3.A.1. Electronic components, as follows:
a. General purpose integrated circuits, as follows:Note 1 The control status of wafers (finished or unfinished), in which the function has been determined, is to be evaluated against the parameters of 3.A.1.a.Note 2 Integrated circuits include the following types:
"Monolithic integrated circuits";"Hybrid integrated circuits";
"Multichip integrated circuits";
"Film type integrated circuits", including silicon-on-sapphire integrated circuits;
"Optical integrated circuits".
1. Integrated circuits, designed or rated as radiation hardened to withstand any of the following:a. A total dose of 5 x 103 Gy (Si) or higher; orb. A dose rate upset of 5 x 106 Gy (Si)/s or higher;
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2. Integrated circuits described in 3.A.1.a.3. to 3.A.1.a.10. or 3.A.1.a.12., EEPROMs, flash memories and SRAMs, having any of the following:a. Rated for operation at an ambient temperature above 398 K (+125°C);b. Rated for operation at an ambient temperature below 218 K (-55C); or
c. Rated for operation over the entire ambient temperature range from 218 K (-55C) to 398 K (+125°C);
Note: 3.A.1.a.2. does not apply to integrated circuits for civil automobiles or railway train applications.3. "Microprocessor microcircuits", "micro-computer microcircuits" and microcontroller microcircuits, having any of the following characteristics:
Note: 3.A.1.a.3. includes digital signal processors, digital array processors and digital coprocessors.
a. A "composite theoretical performance" ("CTP") of 260 million theoretical operations per second (Mtops) or more and an arithmetic logic unit with an access width of 32 bit or more;b. Manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz; or
c. More than one data or instruction bus or serial communication port for external interconnection in a parallel processor with a transfer rate exceeding 2.5 Mbyte/s;
4. Storage integrated circuits manufactured from a compound semiconductor;
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5. Analogue-to-digital and digital-to-analogue converter integrated circuits, as follows:a. Analogue-to-digital converters having any of the following:1. A resolution of 8 bit or more, but less than 12 bit, with a total conversion time to maximum resolution of less than 10 ns;2. A resolution of 12 bit with a total conversion time to maximum resolution of less than 200 ns; or
3. A resolution of more than 12 bit with a total conversion time to maximum resolution of less than 2 µs;
b. Digital-to-analogue converters with a resolution of 12 bit or more, and a "settling time" of less than 10 ns;
6. Electro-optical and "optical integrated circuits" designed for "signal processing" having all of the following:
a. One or more than one internal "laser" diode;b. One or more than one internal light detecting element; and
c. Optical waveguides;
7. Field programmable gate arrays having any of the following:
a. An equivalent usable gate count of more than 30,000 (2 input gates); orb. A typical "basic gate propagation delay time" of less than 0.4 ns;
8. Field programmable logic arrays having any of the following:
a. An equivalent usable gate count of more than 30,000 (2 input gates); orb. A toggle frequency exceeding 133 MHz;
9. Neural network integrated circuits;
10. Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following:
a. More than 208 terminals;b. A typical "basic gate propagation delay time" of less than 0.35 ns; or
c. An operating frequency exceeding 3 GHz;
11. Digital integrated circuits, other than those described in 3.A.1.a.3 to 3.A.1.a.10. and 3.A.1.a.12., based upon any compound semiconductor and having any of the following:
a. An equivalent gate count of more than 300 (2 input gates); orb. A toggle frequency exceeding 1.2 GHz;
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12. Fast Fourier Transform (FFT) processors having any of the following:a. A rated execution time for a 1,024 point complex FFT of less than 1 ms;b. A rated execution time for an N-point complex FFT of other than 1,024 points of less than N log2 N /10,240 ms, where N is the number of points; or
c. A butterfly throughput of more than 5.12 MHz;
3.A.1.b. Microwave or millimetre wave components, as follows:
1. Electronic vacuum tubes and cathodes, as follows:Note: 3.A.1.b.1. does not control tubes designed or rated to operate in the ITU allocated bands at frequencies not exceeding 31 GHz.a. Travelling wave tubes, pulsed or continuous wave, as follows:1. Operating at frequencies higher than 31 GHz;2. Having a cathode heater element with a turn on time to rated RF power of less than 3 seconds;
3. Coupled cavity tubes, or derivatives thereof, with an "instantaneous bandwidth" of more than 7% or a peak power exceeding 2.5 kW;
4. Helix tubes, or derivatives thereof, with any of the following characteristics:
a. An "instantaneous bandwidth" of more than one octave, and average power (expressed in kW) times frequency (expressed in GHz) of more than 0.5;b. An "instantaneous bandwidth" of one octave or less, and average power (expressed in kW) times frequency (expressed in GHz) of more than 1; or
c. Being"space qualified";
b. Crossed-field amplifier tubes with a gain of more than 17 dB;
c. Impregnated cathodes designed for electronic tubes, with any of the following:
1. A turn on time to rated emission of less than 3 seconds; or2. Producing a continuous emission current density at rated operating conditions exceeding 5 A/cm2;
2. Microwave integrated circuits or modules containing "monolithic integrated circuits" operating at frequencies exceeding 3 GHz;Note: 3.A.1.b.2. does not control circuits or modules for equipment designed or rated to operate in the ITU allocated bands at frequencies not exceeding 31 GHz.
3. Microwave transistors rated for operation at frequencies exceeding 31 GHz;
4. Microwave solid state amplifiers, having any of the following:
a. Operating frequencies exceeding 10.5 GHz and an "instantaneous bandwidth" of more than half an octave; orb. Operating frequencies exceeding 31 GHz;
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5. Electronically or magnetically tunable band-pass or band-stop filters having more than 5 tunable resonators capable of tuning across a 1.5:1 frequency band (fmax/fmin) in less than 10 µs having any of the following:a. A band-pass bandwidth of more than 0.5% of centre frequency; orb. A band-stop bandwidth of less than 0.5% of centre frequency;
6. Microwave assemblies capable of operating at frequencies exceeding 31 GHz;
7. Mixers and converters designed to extend the frequency range of equipment described in 3.A.2.c., 3.A.2.e. or 3.A.2.f. beyond the limits stated therein;
8. Microwave power amplifiers containing tubes specified in 3.A.1.b. and having all of the following:
a. Operating frequencies above 3 GHz;b. An average output power density exceeding 80 W/kg; and
c. A volume of less than 400 cm3;
Note: 3.A.1.b.8. does not control equipment designed or rated for operation in an ITU allocated band.
c. Acoustic wave devices, as follows, and specially designed components therefor:
1. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices (i.e., "signal processing" devices employing elastic waves in materials), having any of the following:a. A carrier frequency exceeding 2.5 GHz;b. A carrier frequency exceeding 1 GHz, but not exceeding 2.5 GHz, and having any of the following:
1. A frequency side-lobe rejection exceeding 55 dB;2. A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100;
3. A bandwidth greater than 250 MHz; or
4. A dispersive delay of more than 10 µs; or
c. A carrier frequency of 1 GHz or less, having any of the following:
1. A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100;2. A dispersive delay of more than 10 µs; or
3. A frequency side-lobe rejection exceeding 55 dB and a bandwidth greater than 50 MHz;
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2. Bulk (volume) acoustic wave devices (i.e., "signal processing" devices employing elastic waves) which permit the direct processing of signals at frequencies exceeding 1 GHz;3. Acoustic-optic "signal processing" devices employing interaction between acoustic waves (bulk wave or surface wave) and light waves which permit the direct processing of signals or images, including spectral analysis, correlation or convolution;
d. Electronic devices and circuits containing components, manufactured from "superconductive" materials specially designed for operation at temperatures below the "critical temperature" of at least one of the "superconductive" constituents, with any of the following:1. Electromagnetic amplification:a. At frequencies equal to or less than 31 GHz with a noise figure of less than 0.5 dB; orb. At frequencies exceeding 31 GHz;
2. Current switching for digital circuits using "superconductive" gates with a product of delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10-14 J; or
3. Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10,000;
e. High energy devices, as follows:1. Batteries and photovoltaic arrays, as follows:Note 3.A.1.e.1. does not control batteries with volumes equal to or less than 27 cm3 (e.g., standard C-cells or R14 batteries).a. Primary cells and batteries having an energy density exceeding 480 Wh/kg and rated for operation in the temperature range from below 243 K (-30°C) to above 343 K (70°C);
b. Rechargeable cells and batteries having an energy density exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge current equal to C/5 hours (C being the nominal capacity in ampere hours) when operating in the temperature range from below 253 K (-20°C) to above 333 K (60°C);
Technical Note
Energy density is obtained by multiplying the average power in watts (average voltage in volts times average current in amperes) by the duration of the discharge in hours to 75% of the open circuit voltage divided by the total mass of the cell (or battery) in kg.
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c. "Space qualified" and radiation hardened photovoltaic arrays with a specific power exceeding 160 W/m2 at an operating temperature of 301 K (28°C) under a tungsten illumination of 1 kW/m2 at 2,800 K (2,527°C);2. High energy storage capacitors, as follows:
a. Capacitors with a repetition rate of less than 10 Hz (single shot capacitors) having all of the following:1. A voltage rating equal to or more than 5 kV;2. An energy density equal to or more than 250 J/kg; and
3. A total energy equal to or more 25 kJ;
b. Capacitors with a repetition rate of 10 Hz or more (repetition rated capacitors) having all of the following:
1. A voltage rating equal to or more than 5 kV;2. An energy density equal to or more than 50 J/kg;
3. A total energy equal to or more than 100 J; and
4. A charge/discharge cycle life equal to or more than 10,000;
3. "Superconductive" electromagnets and solenoids specially designed to be fully charged or discharged in less than one second, having all of the following:
a. Energy delivered during the discharge exceeding 10 kJ in the first second;b. Inner diameter of the current carrying windings of more than 250 mm; and
c. Rated for a magnetic induction of more than 8 T or "overall current density" in the winding of more than 300 A/mm2;
Note 3.A.1.e.3. does not control "superconductive" electromagnets or solenoids specially designed for Magnetic Resonance Imaging (MRI) medical equipment.
f. Rotary input type shaft absolute position encoders having any of the following:
1. A resolution of better than 1 part in 265,000 (18 bit resolution) of full scale; or2. An accuracy better than ± 2.5 seconds of arc.
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3.A.2. General purpose electronic equipment, as follows:
a. Recording equipment, as follows, and specially designed test tape therefor:1. Analogue instrumentation magnetic tape recorders, including those permitting the recording of digital signals (e.g., using a high density digital recording (HDDR) module), having any of the following:a. A bandwidth exceeding 4 MHz per electronic channel or track;b. A bandwidth exceeding 2 MHz per electronic channel or track and having more than 42 tracks; or
c. A time displacement (base) error, measured in accordance with applicable IRIG or EIA documents, of less than ± 0.1 µs;
Note: Analogue magnetic tape recorders specially designed for civilian video purposes are not considered to be instrumentation tape recorders.2. Digital video magnetic tape recorders having a maximum digital interface transfer rate exceeding 180 Mbit/s;
Note 3.A.2.a.2. does not control digital video magnetic tape recorders specially designed for television recording using a signal format standardised or recommended by the CCIR or the IEC for civil television applications.3. Digital instrumentation magnetic tape data recorders employing helical scan techniques or fixed head techniques, having any of the following:
a. A maximum digital interface transfer rate exceeding 175 Mbit/s; orb. Being "space qualified";
Note 3.A.2.a.3. does not control analogue magnetic tape recorders equipped with HDDR conversion electronics and configured to record only digital data.
4. Equipment, having a maximum digital interface transfer rate exceeding 175 Mbit/s, designed to convert digital video magnetic tape recorders for use as digital instrumentation data recorders;
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5. Waveform digitisers and transient recorders having all of the following:a. Digitising rates equal to or more than 200 million samples per second and a resolution of 10 bits or more; andb. A continuous throughput of 2 Gbit/s or more;
Technical Note
For those instruments with a parallel bus architecture, the continuous throughput rate is the highest word rate multiplied by the number of bits in a word.
Continuous throughput is the fastest data rate the instrument can output to mass storage without the loss of any information whilst sustaining the sampling rate and analogue-to-digital conversion.
b. "Frequency synthesiser" "electronic assemblies" having a "frequency switching time" from one selected frequency to another of less than 1 ms;
c. "Signal analysers", as follows:1. "Signal analysers" capable of analysing frequencies exceeding 31 GHz;2. "Dynamic signal analysers" having a "real-time bandwidth" exceeding 25.6 kHz;
Note 3.A.2.c.2. does not control those "dynamic signal analysers" using only constant percentage bandwidth filters.Technical Note:Constant percentage bandwidth filters are also known as octave or fractional octave filters.
d. Frequency synthesised signal generators producing output frequencies, the accuracy and short term and long term stability of which are controlled, derived from or disciplined by the internal master frequency, and having any of the following:
1. A maximum synthesised frequency exceeding 31 GHz;2. A "frequency switching time" from one selected frequency to another of less than 1 ms; or
3. A single sideband (SSB) phase noise better than -(126 + 20 log10F - 20 log10f) in dBc/Hz, where F is the off-set from the operating frequency in Hz and f is the operating frequency in MHz;
Note 3.A.2.d. does not control equipment in which the output frequency is either produced by the addition or subtraction of two or more crystal oscillator frequencies, or by an addition or subtraction followed by a multiplication of the result.
e. Network analysers with a maximum operating frequency exceeding 40 GHz;
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f. Microwave test receivers having all of the following:1. A maximum operating frequency exceeding 40 GHz; and2. 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; or2. Being "space qualified".
Note: 3.A.2.g.1. does not control non-"space qualified" rubidium standards.
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. "Stored programme controlled" equipment designed for epitaxial growth, as follows:1. Equipment capable of producing a layer 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 specified in 3.C.3. or 3.C.4.;
3. Molecular beam epitaxial growth equipment using gas sources;
b. "Stored programme controlled" equipment designed for ion implantation, having any of the following:
1. An accelerating voltage exceeding 200 keV;2. Being specially designed and optimised to operate at an accelerating voltage of less than 10 keV;
3. Direct write capability; or
4. Being capable of high energy oxygen implant into a heated semiconductor material "substrate";
c. "Stored programme controlled" anisotropic plasma dry etching equipment, as follows:
1. Equipment with cassette-to-cassette operation and load-locks, and having any of the following:a. Magnetic confinement; orb. Electron cyclotron resonance (ECR);
2. Equipment specially designed for equipment specified in 3. B001.e. and having any of the following:
a. Magnetic confinement; orb. ECR;
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d. "Stored programme controlled" plasma enhanced CVD equipment, as follows:1. Equipment with cassette-to-cassette operation and load-locks, and having any of the following:a. Magnetic confinement; orb. ECR;
2. Equipment specially designed for equipment specified in 3.B.1.e. and having any of the following:
a. Magnetic confinement; orb. ECR;
e. "Stored programme controlled" 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; and2. 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.
f. "Stored programme controlled" lithography equipment, as follows:
1. Align and expose step and repeat equipment for wafer processing using photo-optical or X-ray methods, having any of the following:a. A light source wavelength shorter than 400 nm; orb. Capable of producing a pattern with a minimum resolvable feature size of 0.7 µm or less;
Note: The minimum resolvable feature size is calculated by the following formula:
MRF = (an exposure light source wavelength in µm) x (Kfactor)
numerical aperturewhere 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 m; or
c. An overlay accuracy of better than ± 0.20 µm (3 sigma);
g. Masks and reticles designed for integrated circuits specified in 3.A.1.;
h. Multi-layer masks with a phase shift layer.
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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:
a. For testing S-parameters of transistor devices at frequencies exceeding 31 GHz;b. For testing integrated circuits capable of performing functional (truth table) testing at a pattern rate of more than 60 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.
c. For testing microwave integrated circuits at frequencies exceeding 3 GHz;
Note 3.B.2.c. does not control test equipment specially designed for testing microwave integrated circuits for equipment designed or rated to operate in the ITU allocated bands at frequencies not exceeding 31 GHz.d. Electron beam systems designed for operation at 3 keV or below, or "laser" beam systems, for the non-contactive probing of powered-up semiconductor devices, having all of the following:
1. Stroboscopic capability with either beam-blanking or detector strobing; and2. An electron spectrometer for voltage measurement with a resolution of less than 0.5 V.
Note 3.B.2.d. does not control scanning electron microscopes, except when specially designed and instrumented for the non-contactive probing of powered-up semiconductor devices.
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; or
c. 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).
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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 370 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 specified in 3.A.1.b. to 3.A.2.g. or 3.B.
3.D.2. "Software" specially designed for the "use" of "stored programme controlled" equipment specified in 3.B.
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3.D.3. Computer-aided-design (CAD) "software" designed for semiconductor devices or integrated circuits, having any of the following:
a. Design rules or circuit verification rules;b. Simulation of the physically laid out circuits; or
c. Lithographic processing simulators for design.
Technical NoteA lithographic processing simulator is a "software" package used in the design phase to define the sequence of lithographic, etching and deposition steps for translating masking patterns into specific topographical patterns in conductors, dielectrics or semiconductor material.
Note 3.D.3. does not control "software" specially designed for schematic entry, logic simulation, placing and routing, layout verification or pattern generation tape.
N.B. Libraries, design attributes or associated data for the design of semiconductor devices or integrated circuits are considered as "technology".
3.E. TECHNOLOGY
3.E.1. "Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 3.A., 3.B. or 3.C.;
Note 3.E.1. does not control "technology" for the "development" or "production" of:a. Microwave transistors operating at frequencies below 31 GHz;
b. Integrated circuits specified in 3.A.1.a.3. to 3.A.1.a.12., having all of the following:
1. Using "technology" of 1 µm or more, and2. Not incorporating multi-layer structures.
N.B.: The term multi-layer structures in Note b.2. to 3.E.1. does not include devices incorporating a maximum of two metal layers and two polysilicon layers.
3.E.2. 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;
c. "Superconductive" electronic devices;
d. Substrates of films of diamond for electronic components.
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