IT Sourcing And Development

Commerce Control List Supplement No. 1 to Part 774 Category 5 – Telecommunications—page 1

Export Administration Regulations Bureau of Industry and Security August 15, 2017

CATEGORY 5 – TELECOMMUNICATIONS AND “INFORMATION SECURITY”

Part 1 – TELECOMMUNICATIONS Notes: 1. The control status of “components,” test and “production” equipment, and “software” therefor which are “specially designed” for telecommunications equipment or systems is determined in Category 5, Part 1. N.B.: For “lasers” “specially designed” for telecommunications equipment or systems, see ECCN 6A005. 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. “END ITEMS,” “EQUIPMENT,” “ACCESSORIES,” “ATTACHMENTS,”

“PARTS,” “COMPONENTS,” AND “SYSTEMS”

5A001 Telecommunications systems, equipment, “components” and “accessories,” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, SL, AT

Control(s) Country Chart (See Supp. No.1 to part

738) NS applies to 5A001.a, .e, .b.5, .f.3 and .h

NS Column 1

NS applies to 5A001.b (except .b.5), .c, .d, .f (except f.3), and .g.

NS Column 2

SL applies to 5A001.f.1 A license is required for all destinations, as specified in §742.13 of the EAR. Accordingly, a column specific to this control does not appear on the Commerce Country Chart (Supplement No. 1 to Part 738 of the EAR). Note to SL paragraph: This licensing requirement does not supersede, nor does it implement, construe or limit the scope of any criminal statute, including, but not limited to the Omnibus Safe Streets Act of 1968, as amended.

AT applies to entire entry

AT Column 1

Reporting Requirements

See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A for 5A001.a, b.5, .e, f.3 and .h;

$5000 for 5A001.b.1, .b.2, .b.3, .b.6, .d, f.2, f.4, and .g;

$3000 for 5A001.c. GBS: Yes, except 5A001.a, b.5, e, and h.

Commerce Control List Supplement No. 1 to Part 774 Category 5 – Telecommunications—page 2

Export Administration Regulations Bureau of Industry and Security August 15, 2017

CIV: Yes, except 5A001.a, b.3, b.5, e, and h.

Special Conditions for STA

STA: License Exception STA may not be used to ship any commodity in 5A001.b.3, .b.5 or .h to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See USML Category XI for controls on direction-finding “equipment” including types of “equipment” in ECCN 5A001.e and any other military or intelligence electronic “equipment” that is “subject to the ITAR.” (2) See USML Category XI(a)(4)(iii) for controls on electronic attack and jamming “equipment” defined in 5A001.f and .h that are subject to the ITAR. (3) See also ECCNs 5A101, 5A980, 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°C) to 397 K (124°C). Note: 5A001.a.3 applies only to electronic equipment.

b. Telecommunication systems and equipment, and “specially designed” “components” and “accessories” therefor, having any of the following characteristics, functions or features: b.1 Being underwater untethered communications systems having any of the following: b.1.a. An acoustic carrier frequency outside the range from 20 kHz to 60 kHz; b.1.b. Using an electromagnetic carrier frequency below 30 kHz; or b.1.c. Using electronic beam steering techniques; or b.1.d. Using “lasers” or light-emitting diodes (LEDs), with an output wavelength greater than 400 nm and less than 700 nm, in a “local area network”; b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz band and having all of the following: b.2.a.. Automatically predicting and selecting frequencies and “total digital transfer rates” per channel to optimize the transmission; and b.2.b. 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 frequency range of 1.5 MHz or more but less than 30 MHz, or 250 W or more in the frequency range of 30 MHz or more but not exceeding 87.5 MHz, over an “instantaneous bandwidth” of one octave or more and with an output harmonic and distortion content of better than -80 dB; b.3. Being radio equipment employing “spread spectrum” techniques, including

Commerce Control List Supplement No. 1 to Part 774 Category 5 – Telecommunications—page 3

Export Administration Regulations Bureau of Industry and Security August 15, 2017

“frequency hopping” techniques, not controlled in 5A001.b.4 and having any of the following : b.3.a. User programmable spreading codes; or b.3.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.3.b does not control radio equipment “specially designed” for use with any of the following: a. Civil cellular radio-communications systems; or b. Fixed or mobile satellite Earth stations for commercial civil telecommunications. Note: 5A001.b.3 does not control equipment operating at an output power of 1 W or less. b.4 Being radio equipment employing ultra- wideband modulation techniques, having user programmable channelizing codes, scrambling codes, or network identification codes and having any of the following: b.4.a. A bandwidth exceeding 500 MHz; or b.4.b. A “fractional bandwidth” of 20% or more; b.5. Being digitally controlled radio receivers having all of the following: b.5.a. More than 1,000 channels; b.5.b. A ‘channel switching time ’ of less than 1 ms; b.5.c. Automatic searching or scanning of a part of the electromagnetic spectrum; and

b.5.d. Identification of the received signals or the type of transmitter; or Note: 5A001.b.5 does not control radio equipment “specially designed” for use with civil cellular radio-communications systems. Technical Note: ‘Channel switching time’: the time (i.e., delay) to change from one receiving frequency to another, to arrive at or within ±0.05% of the final specified receiving frequency. Items having a specified frequency range of less than ±0.05% around their center frequency are defined to be incapable of channel frequency switching. b.6. Employing functions of digital “signal processing” to provide ‘voice coding’ output at rates of less than 700 bit/s. Technical Notes: 1. For variable rate ‘voice coding’, 5A001.b.6 applies to the ‘voice coding’ output of continuous speech. 2. For the purpose of 5A001.b.6, ‘voice coding’ is defined as the technique to take samples of human voice and then convert these samples of human voice into a digital signal taking into account specific characteristics of human speech. c. Optical fibers of more than 500 m in length and specified by the manufacturer as being capable of withstanding a ‘proof test’ tensile stress of 2 x 109 N/m2 or more; N.B.: For underwater umbilical cables, see 8A002.a.3. 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

Commerce Control List Supplement No. 1 to Part 774 Category 5 – Telecommunications—page 4

Export Administration Regulations Bureau of Industry and Security August 15, 2017

150 mm in diameter. The ambient temperature is a nominal 293 K (20ºC) and relative humidity 40%. Equivalent national standards may be used for executing the proof test. d. “Electronically steerable phased array antennas” as follows: d.1. Rated for operation above 31.8 GHz, but not exceeding 57 GHz, and having an Effective Radiated Power (ERP) equal to or greater than +20 dBm (22.15 dBm Effective Isotropic Radiated Power (EIRP)); d.2. Rated for operation above 57 GHz, but not exceeding 66 GHz, and having an ERP equal to or greater than +24 dBm (26.15 dBm EIRP); d.3. Rated for operation above 66 GHz, but not exceeding 90 GHz, and having an ERP equal to or greater than +20 dBm (22.15 dBm EIRP); d.4. Rated for operation above 90 GHz; Note: 5A001.d does not control “electronically steerable phased array antennas” for landing systems with instruments meeting ICAO standards covering Microwave Landing Systems (MLS). e. Radio direction finding equipment operating at frequencies above 30 MHz and having all of the following, and “specially designed” “components” therefor: e.1. “Instantaneous bandwidth” of 10 MHz or more; and e.2. Capable of finding a Line Of Bearing (LOB) to non-cooperating radio transmitters with a signal duration of less than 1 ms; f. Mobile telecommunications interception or jamming equipment, and monitoring equipment therefor, as follows, and “specially designed” “components” therefor:

f.1. Interception equipment designed for the extraction of voice or data, transmitted over the air interface; f.2. Interception equipment not specified in 5A001.f.1, designed for the extraction of client device or subscriber identifiers (e.g., IMSI, TIMSI or IMEI), signaling, or other metadata transmitted over the air interface; f.3. Jamming equipment “specially designed” or modified to intentionally and selectively interfere with, deny, inhibit, degrade or seduce mobile telecommunication services and performing any of the following: f.3.a. Simulate the functions of Radio Access Network (RAN) equipment; f.3.b. Detect and exploit specific characteristics of the mobile telecommunications protocol employed (e.g., GSM); or f.3.c. Exploit specific characteristics of the mobile telecommunications protocol employed (e.g., GSM); f.4. Radio Frequency (RF) monitoring equipment designed or modified to identify the operation of items specified in 5A001.f.1, 5A001.f.2 or 5A001.f.3. Note: 5A001.f.1 and 5A001.f.2 do not apply to any of the following: a. Equipment “specially designed” for the interception of analog Private Mobile Radio (PMR), IEEE 802.11 WLAN; b. Equipment designed for mobile telecommunications network operators; or c. Equipment designed for the “development” or “production” of mobile telecommunications equipment or systems.

Commerce Control List Supplement No. 1 to Part 774 Category 5 – Telecommunications—page 5

Export Administration Regulations Bureau of Industry and Security August 15, 2017

N.B. 1: See also the International Traffic in Arms Regulations (ITAR) (22 CFR Parts 120- 130). For items specified by 5A001.f.1 (including as previously specified by 5A001.i), see also5A980 and the U.S. Munitions List (22 CFR part 121). N.B. 2: For radio receivers see 5A001.b.5. g. Passive Coherent Location (PCL) systems or equipment, “specially designed” for detecting and tracking moving objects by measuring reflections of ambient radio frequency emissions, supplied by non-radar transmitters. Technical Note: Non-radar transmitters may include commercial radio, television or cellular telecommunications base stations. Note: 5A001.g. does not control: a. Radio-astronomical equipment; or b. Systems or equipment, that require any radio transmission from the target. h. Counter Improvised Explosive Device (IED) equipment and related equipment, as follows: h.1. Radio Frequency (RF) transmitting equipment, not specified by 5A001.f, designed or modified for prematurely activating or preventing the initiation of Improvised Explosive Devices (IEDs); h.2. Equipment using techniques designed to enable radio communications in the same frequency channels on which co-located equipment specified by 5A001.h.1 is transmitting. N.B.: See also Category XI of the International Traffic in Arms Regulations (ITAR) (22 CFR Parts 120-130). i. [Reserved}

N.B.: See 5A001.f.1 for items previously specified by 5A001.i. 5A101 Telemetering and telecontrol equipment, including ground equipment, designed or modified for unmanned aerial vehicle (including cruise missiles, target drones, and reconnaissance drones) or rocket systems (including ballistic missiles, space launch vehicles, and sounding rockets) capable of a maximum “range” equal to or greater than 300 km. License Requirements Reason for Control: MT, AT

Control(s) Country Chart (See Supp. No. 1 to part 738)

MT applies to entire entry MT Column 1 AT applies to entire entry AT Column 1 List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A CIV: N/A List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: The list of items controlled is contained in the ECCN heading. NOTE: 5A101 does not control: 1. Telecontrol equipment “specially designed” to be used for remote control of recreational model planes, boats or vehicles and having an electric field strength of not more

Commerce Control List Supplement No. 1 to Part 774 Category 5 – Telecommunications—page 6

Export Administration Regulations Bureau of Industry and Security August 15, 2017

than 200 microvolts per meter at a distance of 500 meters; 2. Equipment designed or modified for manned aircraft or satellites; 3. Ground based equipment designed or modified for terrestrial or marine applications; 4. Equipment designed for commercial, civil, or safety of life (e.g., data integrity or flight safety) Global Navigation Satellite System services. NOTE: ECCN 5A101 does not include items not designed or modified for unmanned aerial vehicles (including cruise missiles, target drones, and reconnaissance drones) or rocket systems (including ballistic missiles, space launch vehicles and sounding rockets) capable of a maximum “range” equal to or greater than 300km (e.g., telemetry circuit cards limited by design to reception only and designed for use in personal computers). 5A611 Telecommunications equipment, and “parts,” “components,” “accessories,” and “attachments” “specially designed” therefor, “specially designed” for a military application that are not enumerated in any USML category are controlled by ECCN 3A611. 5A980 Devices primarily useful for the surreptitious interception of wire, oral, or electronic communications, other than those controlled under 5A001.f.1; and “parts,” “components” and “accessories” therefor. License Requirements Reason for Control: SL, AT Control(s): SL and AT apply to entire entry. A license is required for all destinations, as specified in §742.13 of the EAR. Accordingly, a column specific to this control does not appear

on the Commerce Country Chart (Supplement No. 1 to Part 738 of the EAR). Note: This licensing requirement does not supersede, nor does it implement, construe or limit the scope of any criminal statute, including, but not limited to the Omnibus Safe Streets Act of 1968, as amended. List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A CIV: N/A List of Items Controlled

Related Controls: (1) See ECCN 5A001.f.1 for systems or equipment, “specially designed” or modified to intercept and process the air interface of ‘mobile telecommunications’, and “specially designed” components therefor. (2) See ECCN 5D980 for “software” for the “development”, “production” or “use” of equipment controlled by 5A980. (3) See ECCN 5E980 for the “technology” for the “development”, “production”, and “use” of equipment controlled by 5A980. Related Definitions: N/A Items:

The list of items controlled is contained in the ECCN heading. 5A991 Telecommunication equipment, not controlled by 5A001 (see List of Items Controlled). License Requirements Reason for Control: AT

Control(s) Country Chart (See Supp. No. 1 to part 738)

AT applies to entire entry AT Column 1

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Export Administration Regulations Bureau of Industry and Security August 15, 2017

List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A CIV: N/A List of Items Controlled

Related Controls: See also 5E101 and 5E991. Related Definitions: 1) ‘Asynchronous

transfer mode’ (‘ATM’) is a transfer mode in which the information is organized into cells; it is asynchronous in the sense that the recurrence of cells depends on the required or instantaneous bit rate. 2) ‘Bandwidth of one voice channel’ is data communication equipment designed to operate in one voice channel of 3,100 Hz, as defined in CCITT Recommendation G.151. 3) ‘Communications channel controller’ is the physical interface that 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. 4) ‘Datagram’ is a self-contained, independent entity of data carrying sufficient information to be routed from the source to the destination data terminal equipment without reliance on earlier exchanges between this source and destination data terminal equipment and the transporting network. 5) ‘Fast select’ is a facility applicable to virtual calls that allows data terminal equipment to expand the possibility to transmit data in call set- up and clearing ‘packets’ beyond the basic capabilities of a virtual call. 6) ‘Gateway’ is the function, realized by any combination of equipment and “software”, to carry out the conversion of conventions for representing, processing or communicating information used on one system into the corresponding, but

different conventions used in another system. 7) ‘Integrated Services Digital Network’ (ISDN) is a unified end-to-end digital network, in which data originating from all types of communication (e.g., voice, text, data, still and moving pictures) are transmitted from one port (terminal) in the exchange (switch) over one access line to and from the subscriber. 8) ‘Packet’ is a group of binary digits including data and call control signals that is switched as a composite whole. The data, call control signals, and possible error control information are arranged in a specified format.

Items: a. Any type of telecommunications equipment, not controlled by 5A001.a, “specially designed” to operate outside the temperature range from 219 K (-54 C) to 397 K (124 C). b. Telecommunication transmission equipment and systems, and “specially designed” “parts,” “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);

Commerce Control List Supplement No. 1 to Part 774 Category 5 – Telecommunications—page 8

Export Administration Regulations Bureau of Industry and Security August 15, 2017

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: 5A991.b.1 does not control equipment “specially designed” to be integrated and operated in any satellite system for civil use. b.2. Modems using the ‘bandwidth of one voice channel’ with a “data signaling rate” exceeding 9,600 bits per second; b.3. Being “stored program controlled” digital cross connect equipment with “digital transfer rate” exceeding 8.5 Mbit/s per port.

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