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The Export Control Order 2008

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Articles 2 and 4

[F1SCHEDULE 3U.K. UK CONTROLLED DUAL-USE GOODS, SOFTWARE AND TECHNOLOGY

This schedule has no associated Explanatory Memorandum

Textual Amendments

Note: In this Schedule, defined terms are printed in quotation marks.

Definitions

In this Schedule:

[F2“ammunition” means the complete round or the components thereof, including cartridge cases, primers, propellant powder, bullets or projectiles that are used in a “firearm”;]

[F3“circuit element” is a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc;]

“development” means all stages prior to “production” (eg, design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into goods or “software”, configuration design, integration design, layouts);

[F4“Deactivation Regulation” means Commission Implementing Regulation (EU) 2015/2403 establishing common guidelines on deactivation standards and techniques for ensuring that deactivated firearms are rendered irreversibly inoperable.]

[F3“digital computer” means equipment which can, in the form of one or more discrete variables, perform all of the following—

a. Accept data;

b. Store data or instructions in fixed or alterable (writable) storage;

c. Process data by means of a stored sequence of instructions which is modifiable; and

d. Provide output of data;

Note:Modifications of a stored sequence of instructions include replacement of fixed storage devices, but not a physical change in wiring or interconnections;”]

[F3“discrete component” is a separately packaged “circuit element” with its own external connections;]

[F3“electronic assemblies” means a number of electronic components (i.e., “circuit elements”, “discrete components”, integrated circuits, etc.) connected together to perform (a) specific function(s), replaceable as an entity and normally capable of being disassembled;]

“energetic materials” means substances or mixtures that react chemically to release energy required for their intended application; “explosives”, “pyrotechnics” and “propellants” are sub-classes of energetic materials;

[F5“essential components” means the breech-closing mechanism, the chamber and the barrel of a “firearm”, which, being separate objects, are included in the category of the “firearms” on which they are or are intended to be mounted;]

“explosive signatures” are features which are characteristic of explosives in any form prior to their initiation, as detected using technology including, but not limited to, ion mobility spectrometry, chemiluminescence, fluorescence, nuclear, acoustic or electromagnetic techniques;

“explosives” means solid, liquid or gaseous substances or mixtures of substances which, in their application as primary, booster, or main charges in warheads, demolition and other applications, are required to detonate;

[F6“firearm” means any portable barrelled weapon that expels, is designed to expel or may be converted to expel, a [F7shot], bullet or projectile by the action of a combustible propellant;]

[F8Note: This definition does not include items specially designed for any of the following:

a. Alarm;

b. Signalling;

c. Life-saving;

d. Animal slaughter;

e. Harpoon fishing;

f. Industrial or technical purposes.]

[F9“Firearm Regulation”, in relation to—

(a)

England and Wales and Scotland, means Regulation (EU) No 258/2012 of the European Parliament and of the Council of 14 March 2012 implementing Article 10 of the United Nations' Protocol against the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, supplementing the United Nations Convention against Transnational Organised Crime (UN Firearms Protocol), and establishing export authorisation, and import and transit measures for firearms, their parts and components and ammunition;

(b)

Northern Ireland, means Regulation (EU) No 258/2012 of the European Parliament and of the Council of 14 March 2012 implementing Article 10 of the United Nations' Protocol against the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, supplementing the United Nations Convention against Transnational Organised Crime (UN Firearms Protocol), and establishing export authorisation, and import and transit measures for firearms, their parts and components and ammunition as it has effect by virtue of the Protocol on Ireland/Northern Ireland in the EU withdrawal agreement;]

“improvised explosive devices” means devices fabricated or intended to be placed in an improvised manner incorporating destructive, lethal, noxious, “pyrotechnic” or incendiary chemicals designed to destroy, disfigure or harass; they may incorporate military stores, but are normally devised from non-military components;

“lighter-than-air vehicles” means balloons and airships that rely on hot air or on lighter-than-air gases such as helium or hydrogen for their lift;

[F10“parts” means any element or replacement element as referred to specifically designed for a “firearm” and essential to its operation, including a barrel, frame or [F11receiver], slide or cylinder, bolt or breech block F12... ]

“previously separated” in relation to a controlled isotope in any form, means after the application of any process intended to increase the concentration of the controlled isotope;

[F3Process Design Kit” (“PDK”) is a software tool provided by a semiconductor manufacturer to ensure that the required design practices and rules are taken into account in order to successfully produce a specific integrated circuit design in a specific semiconductor process, in accordance with technological and manufaacturing constraints (each semiconductor manufacturing process has its particular “PDK”);]

“production” means all production stages (eg, product engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance);

“propellants” means substances or mixtures that react chemically to produce large volumes of hot gases at controlled rates to perform mechanical work;

“pyrotechnic(s)” means mixtures of solid or liquid fuels and oxidisers which, when ignited, undergo an energetic chemical reaction at a controlled rate intended to produce specific time delays, or quantities of heat, noise, smoke, visible light or infrared radiation; pyrophorics are a subclass of pyrotechnics, which contain no oxidisers but ignite spontaneously on contact with air;

“required” as applied to “technology”, refers to only that portion of “technology” which is peculiarly responsible for achieving or exceeding the controlled performance levels, characteristics or functions. Such “required” “technology” may be shared by different goods F13...;

“technology” means specific ‘information’ necessary for the “development”, “production” or “use” of goods or “software”;

Technical Note:
‘Information’ may take forms including, not limited to: blueprints, plans, diagrams, models, formulae, tables, ‘source code’, engineering designs and specifications, manuals and instructions written or recorded on other media or devices (eg, disk, tape, read-only memories);
‘source code’ (or source language) is a convenient expression of one or more processes which may be turned by a programming system into equipment executable form.

[F14“Unmanned Aerial Vehicle” (or “UAV”) means any “aircraft” capable of initiating flight and sustaining controlled flight and navigation without any human presence on board;]

“use” means operation, installation (eg, on-site installation), maintenance, checking, repair, overhaul and refurbishing;

“vaccines” are medical products in a pharmaceutical formulation licensed by, or having marketing or clinical trial authorisation from, the regulatory authorities of either the country of manufacture or of use, which is intended to stimulate a protective immunological response in humans or animals in order to prevent disease in those to whom or to which it is administered.

Textual Amendments

F12Words in Sch. 3 omitted (22.2.2017) by virtue of The Export Control (Amendment) Order 2017 (S.I. 2017/85), arts. 1, 2(9)(b)(i)

F13Words in Sch. 3 omitted (7.6.2021) by virtue of The Export Control (Amendment) Order 2021 (S.I. 2021/586), arts. 1, 2(23)(a)

Explosive-related goods and technology

PL8001The export or “transfer by electronic means” of the following goods or “technology” is prohibited to any destination outside all of the following: [F15European Union], Australia, New Zealand, Canada, Norway, Switzerland, United States of America and Japan:
a.Equipment and devices, other than those in Schedule 2 or in 1A004.d., 1A005, 1A006, 1A007, 1A008, 3A229, 3A232 or 5A001.h. in Annex I to “the dual-use Regulation”, for detection of or use with “explosives” or for dealing with or protecting against “improvised explosive devices”, as follows, and specially designed components therefor:
1.Electronic equipment designed to detect “explosives” or “explosive signatures”;
N.B.:See also 1A004.d. in Annex I to “the dual-use Regulation”.
Note:PL8001.a.1. does not control equipment requiring operator judgment to establish the presence of “explosives” or “explosive signatures”.
2.Electronic jamming equipment specially designed to prevent the detonation by radio remote control of “improvised explosive devices”;
N.B.:See also 5A001.h. in Annex I to “the dual-use Regulation”.
3.Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, (eg, firing sets, detonators and igniters);
N.B.:See also 1A007, 1A008, 3A229 and 3A232 in Annex I to “the dual-use Regulation”.
Note:PL8001.a.3. does not control:
a.Equipment and devices specially designed for a specific commercial use consisting of the actuation or operation by explosive means of other equipment or devices the function of which is not the initiation or creation of explosions;
b.Pressure controlled equipment specially designed for down-hole oilfield equipment applications and which are incapable of use at atmospheric pressure; F16...
[F17c. Detonating cord; and
d.Equipment and devices specially designed for use with pyrotechnics.]
4.Equipment and devices, including, but not limited to: shields and helmets, specially designed for the disposal of “improvised explosive devices”;
N.B.:See also 1A005, 1A006 and 5A001.h. in Annex I to “the dual-use Regulation”.
Note:PL8001.a.4. does not control bomb blankets, mechanical handling equipment for manoeuvring or exposing “improvised explosive devices”, containers designed for holding “improvised explosive devices” or objects suspected of being such devices or other equipment specially designed to temporarily protect against “improvised explosive devices” or objects suspected of being such devices.
b.Linear cutting explosive charges other than those listed at entry 1A008 of Annex I to “the dual-use Regulation”;
c.“Technology” “required” for the “use” of goods in PL8001.a. and PL8001.b.”
N.B.See article 18 of this Order for exceptions from the controls on “technology”.

Textual Amendments

Materials, chemicals, micro-organisms and toxins

PL9002The export of the following goods is prohibited to any destination:
“Energetic materials”, as follows, and mixtures containing one or more thereof:
a.Nitrocellulose (containing more than 12.5% nitrogen);
b.Nitroglycerol;
c.Pentaerythritol tetranitrate (PETN);
d.Picryl chloride;
e.Trinitrophenylmethylnitramine (tetryl);
f.2,4,6-Trinitrotoluene (TNT).
Note:PL9002 does not control single, double and triple base “propellants”.
PL9003The export of the following goods is prohibited to any destination:
“Vaccines” for protection against:
a.bacillus anthracis;
b.botulinum toxin.
PL9004The export of the following goods is prohibited to any destination:
“Previously separated” americium-241, -242m or -243 in any form.
Note:PL9004 does not control goods with an americium content of 10 grams or less.

Telecommunications and related technology

PL9005The export or “transfer by electronic means” of the following goods, or “technology” is prohibited to any destination in Iran:
a.Tropospheric scatter communication equipment using analogue or digital modulation techniques and specially designed components therefor;
b.“Technology” for the “development”, “production” or “use” of goods specified in PL9005.a.
N.B.See article 18 of this Order for exceptions from the controls on “technology”.

Detection equipment

PL9006The export of ‘electro-statically powered’ equipment for detecting “explosives”, other than detection equipment specified in Schedule 2, PL8001.a.1. or in 1A004.d. in Annex I to “the dual-use Regulation”, is prohibited to any destination in Afghanistan or Iraq.

Technical note

‘Electro-statically powered’ means using electro-statically generated charge.

Vessels and related software and technology

PL9008The export or “transfer by electronic means” of the following goods, “software” or “technology” is prohibited to any destination in Iran:
a.“Vessels”, inflatable craft and ‘submersible vehicles’, and related equipment and components, as follows, other than those specified in Schedule 2 to this Order or Annex I to “the dual-use Regulation”:
1.Marine “vessels” (surface or underwater), inflatable craft and ‘submersible vehicles’;
2.Equipment and components, designed for “vessels”, inflatable craft and ‘submersible vehicles’, as follows:
a.Hull and keel structures and components;
b.Propulsive engines designed or modified for marine use and specially designed components therefor;
c.Marine radar, sonar and speed log equipment, and specially designed components therefor;
b.“Software” designed for the “development”, “production” or “use” of goods specified in PL9008.a..
c.“Technology” for the “development”, “production”, or “use” of goods or “software” specified in PL9008.a. or PL9008.b.
N.B.See article 18 of this Order for exceptions from the controls on “technology”.

Technical note:

‘Submersible vehicles’ include manned, unmanned, tethered or untethered vehicles.

Aircraft and related technology

PL9009The export or “transfer by electronic means” of the following goods or “technology” is prohibited to any destination in Iran:
a.“Aircraft”, “lighter-than-air vehicles” and steerable parachutes, and related equipment and components, as follows, other than those specified in Schedule 2 to this Order or Annex I to “the dual-use Regulation”:
[F18Note: For the purpose of PL9009.a. “aircraft” includes “UAVs”.]
1.“Aircraft”, “lighter-than-air vehicles” and steerable parachutes;
2.Equipment and components, designed for “aircraft” and “lighter-than-air vehicles”, as follows:
a.Airframe structures and components;
b.Aero-engines and auxiliary power units (APU)s and specially designed components therefor;
c.Avionics and navigation equipment and specially designed components therefor;
d.Landing gear and specially designed components therefor, and aircraft tyres;
e.Propellers and rotors;
f.Transmissions and gearboxes, and specially designed components therefor;
g. [F19“UAV”] recovery systems;
b. [F20This entry is not used];
c.“Technology” for the “development”, “production” or “use” of goods specified in PL9009.a.
N.B.See article 18 of this Order for exceptions from the controls on “technology”.
Note: PL9009.c. does not control technical data, drawings or documentation for maintenance activities directly associated with calibration, removal or replacement of damaged or unserviceable goods that are necessary for the continuing airworthiness and safe operation of civil “aircraft”

Textual Amendments

[F21Firearms

N.B. Military firearms and ammunition are controlled in ML1, ML2 and ML3 in Schedule 2.

PL9010

Where the “Firearm Regulation” does not apply, the export of “firearms”, their “parts” and “essential components” and “ammunition”, as follows, is prohibited to any destination outside the European Union:

N.B.: See also the “Firearm Regulation” for the export of “firearms” to non-EU Member States.

a.“Firearms” other than those specified in ML1 or ML2 of Schedule 2;
Note: PL9010.a. includes pre-1938 “firearms”, post 1937 smooth-bore “firearms” that are not fully automatic or specially designed for military use and post 1937 “firearms” using non-centre fire (e.g. rimfire) cased “ammunition” and which are not of the fully automatic firing type.
b.“Parts” (including sound suppressors or moderators) or “essential components” specially designed for “firearms” specified in PL9010.a. above;
c.“Ammunition” specially designed for “firearms” specified in PL9010.a. above;
d.“Software” designed for “development” or “production” of semi-automatic or pump action type smooth-bore “firearms” manufactured in 1938 or later;
e.

“Technology” for the “development” or “production” of semi-automatic or pump action type smooth-bore “firearms” manufactured in 1938 or later.

N.B.: See article 18 of this Order for exceptions from the controls on “technology”.

Note: PL9010 does not control:

1.“Firearms” manufactured earlier than 1890 and reproductions thereof;

2.“Parts” (including sound suppressors or moderators), “essential components” or “ammunition”, specially designed for “firearms” specified in Note 1 above;

3.“Firearms” to which the “Deactivation Regulation” applies which have been deactivated and marked in accordance with the technical specifications set out in Annex I and II to the Deactivation Regulation;

4.“Firearms” to which the “Deactivation Regulation” does not apply which bear a mark and are certified as having been rendered incapable of discharging any shot, bullet or other missile in accordance with section 8 of the Firearms (Amendment) Act 1988

PL9011

Where the “Firearm Regulation” does not apply, the export of “firearms”, devices, “essential components”, sound suppressors or moderators and “ammunition”, as follows, is prohibited to any destination inside the European Union:

N.B.: See also the Firearm Regulation and PL9010 for exports of “firearms” to non-EU Member States.

a.“Firearms” other than those specified in ML1 or ML2 of Schedule 2;
Note: PL9011.a. includes pre-1938 “firearms”, post 1937 smooth-bore “firearms” that are not fully automatic or specially designed for military use and post 1937 “firearms” using non-centre fire (e.g. rimfire) cased “ammunition” and which are not of the fully automatic firing type.
b.“Parts” (including sound suppressors or moderators) or “essential components” specially designed for “firearms” specified in PL9011.a. above;
c.“Ammunition” specially designed for “firearms” specified in PL9011.a. above;
d.“Software” designed for the “development” or “production” of semi-automatic or pump action type smooth-bore “firearms” manufactured in 1938 or later;
e.

“Technology” for the “development” or “production” of semi-automatic or pump action type smooth-bore “firearms” manufactured in 1938 or later;

N.B.: See article 18 of this Order for exceptions from the controls on “technology”.

f.Devices for firing blanks, irritants, other active substances or pyrotechnic rounds that are capable of being converted to a “firearm”;
g.Devices for salute or acoustic applications that are capable of being converted to a “firearm”.

Note: PL9011 does not control:

1. “Firearms” manufactured earlier than 1890;

2. “Parts” (including sound suppressors or moderators), “essential components” or “ammunition”, specially designed for “firearms” specified in Note 1 above;

3. “Firearms” to which the “Deactivation Regulation” applies which have been deactivated and marked in accordance with the technical specifications set out in Annexes I and II to the Deactivation Regulation]

Textual Amendments

[F22Submersible [F23Vehicles] and related goods, software and technology

PL9012The export or “transfer by electronic means” of the following goods, “software” or “technology” is prohibited to any destination in Russia:
a.‘submersible vehicles’, and related systems, equipment and components, as follows, other than those specified in Schedule 2 to this Order or Annex I to “the dual-use Regulation”:
1.‘submersible vehicles’ and specially designed components therefor;
2.Subsea ploughs and specially designed components therefor;
3.Systems, equipment and components for use with ‘submersible vehicles’ and subsea ploughs, as follows:
a.Marine acoustic systems and equipment, as follows:
i. sonar equipment;
ii. velocity log equipment;
iii. underwater altimeters;
b.Navigation equipment specially designed for ‘submersible vehicles’;
c.Acoustic systems and equipment designed to determine the position of ‘submersible vehicles’ including via surface vessels;
d.Propulsion motors or thrusters for ‘submersible vehicles’;
e.Umbilical cables and connectors therefor, specially designed or modified for ‘submersible vehicles’;
f.Umbilical winches, tow winches and lifting winches;
g.Tethers and tether systems, for ‘submersible vehicles’;
h.Lighting systems specially designed or modified for underwater use;
i.Underwater vision systems;
j.Underwater communication systems;
k.Pressure sensors specially designed for underwater use;
l.Launch and recovery systems and equipment for deploying ‘submersible vehicles’ and specially designed components therefor;
m.Trenching tools and jetting tools, specially designed or modified for use with ‘submersible vehicles’;
n.Control systems and equipment specially designed or modified for the remote operation of ‘submersible vehicles’;
o.Remotely controlled articulated manipulators specially designed or modified for use with ‘submersible vehicles’;
p.Subsea cable detection systems;
q.Cable cutting, clamping and handling equipment, specially designed or modified for use with ‘submersible vehicles’;
r.Subsea telecoms handling systems and equipment;
s.Tools specially designed or modified to be operated by ‘submersible vehicles’ or articulated manipulators;
t.Syntactic foam;
u.Pressure housings specially designed or modified for use on ‘submersible vehicles’;
v.Biological, chemical or physical environmental sensors designed or modified to be used underwater;
b.Azimuth adjustable propulsion systems for use in surface vessels with a propeller diameter of greater than 2m;
c.“Software” designed for the “development”, “production” or “use” of goods specified in PL9012.a. and PL9012.b.
d.

“Technology” for the “development”, “production” or “use” of goods or “software” specified in PL9012.a., PL9012.b. or PL9012.c.

N.B.:Seearticle 18 of this Order for exceptions from the controls on “technology”.

Technical Note:

‘Submersible vehicles’ include manned, unmanned, tethered or untethered vehicles.]

[F24———————————————————————————————————————
Electronics and related equipment, materials, software and technology
———————————————————————————————————————
PL9013The export or “transfer by electronic means” of the following goods, “software” or “technology”, is prohibited to any destination:
a.Systems, equipment and components, as follows:
1.Complementary Metal Oxide Semiconductor (CMOS) integrated circuits, not controlled in 3A001.a.2. in Annex I to “the dual-use Regulation”, designed to operate at an ambient temperature equal to or less (better) than 4.5 K (-268.65°C).
Note:The status of wafers (finished or unfinished), in which the function has been determined, are to be evaluated against the parameters of PL9013.a.1.
Technical note:
For the purposes of PL9013.a.1., CMOS integrated circuits are also referred to as cryogenic CMOS or cryoCMOS integrated circuits.
2.Equipment designed for dry etching, having any of the following:
a.Equipment designed or modified for isotropic dry etching, having a largest ‘silicon germanium-to-silicon (SiGe:Si) etch selectivity’ of greater than or equal to 100:1; or
b.Equipment designed or modified for anisotropic dry etching, having all of the following:
1.Radio Frequency (RF) power source(s) with at least one pulsed RF output;
2.One or more fast gas switching valve(s) with switching time less than 300 ms; and
3.Electrostatic chuck with 20 or more individually controllable variable temperature elements.
Note 1:PL9013.a.2. includes etching by ‘radicals’, ions, sequential reactions or non-sequential reactions.
Note 2:PL9013.a.2.b. includes etching using RF pulse excited plasma, pulsed duty cycle excited plasma, pulsed voltage on electrodes modified plasma, cyclic injection and purging of gases combined with a plasma, plasma atomic layer etching or plasma quasi-atomic layer etching.
Technical Notes:
1.For the purposes of PL9013.a.2.a., ‘silicon germanium-to-silicon (SiGe:Si) etch selectivity’ is measured for a Ge concentration of greater than or equal to 30% (Si0.70Ge0.30).
2.For the purposes of PL9013.a.2. Note 1., ‘radical’ is defined as an atom, molecule or ion that has an unpaired electron in an open electron shell configuration.
3.Scanning Electron Microscope (SEM) equipment designed for imaging semiconductor devices or integrated circuits, having all of the following:
a.Stage placement accuracy less (better) than 30 nm,
b.Stage positioning measurement performed using laser interferometry,
c.Position calibration within a Field-Of-View (FOV) based on laser interferometer length-scale measurement,
d.Collection and storage of images having more than 2 x 108 pixels,
e.FOV overlap of less than 5% in vertical and horizontal directions,
f.Stitching overlap of FOV less than 50 nm, and
g.Accelerating voltage more than 21 kV.
Note 1:PL9013.a.3. includes SEM equipment designed for chip design recovery.
Note 2:PL9013.a.3. does not control SEM equipment designed to accept a Semiconductor Equipment and Materials International (SEMI) standard wafer carrier, such as a 200 mm or larger Front Opening Unified Pod (FOUP).
4.Integrated circuits having an aggregate bidirectional transfer rate of 600 Gbyte/s or more over all inputs and outputs and to or from other integrated circuits, not including volatile memories, and having or being programmable to have any of the following:
a.One or more digital processor units executing machine instructions having a ‘total processing performance’ of 6000 or more,
b.One or more digital ‘primitive computational units’, excluding those units contributing to the execution of machine instructions specified in PL9013.a.4.a., having a ‘total processing performance’ of 6000 or more,
c.One or more analogue ‘primitive computational units’ having a ‘total processing performance’ of 6000 or more, or
d.Any combination of digital processor units and ‘primitive computational units’ on an integrated circuit whose ‘total processing performance’ across PL9013.a.4.a., PL9013.a.4.b. and PL9013.a.4.c. add up to 6000 or more.
Note:Integrated circuits specified in PL9013.a.4. include Graphical Processor Units (GPUs), Tensor Processing Units (TPUs), neural processors, in-memory processors, vision processors, text processors, co-processors/accelerators, adaptive processors, Field Programmable Logic Devices (FPLDs) and Application-Specific Integrated Circuits (ASICs).
Technical Notes:
For the purposes of PL9013.a.4.,
1.‘Total Processing Performance’ (‘TPP’) is the bit length per operation multiplied by the processing performance measured in Tera Operations Per Second (TOPS) over all processor units on the integrated circuit. For example, the ‘TPP’ for an integrated circuit having two digital processor units that are each capable of 200 TOPS at 16 bits is 6400 (2 processors × 200 TOPS × 16 bits = 6400). In PL9013.a.4.c., the ‘TPP’ of each analogue ‘primitive computational unit’ is the processing performance expressed in TOPS multiplied by 8.
2.A ‘primitive computational unit’ is defined as containing zero or more modifiable weights, receiving one or more inputs, and producing one or more outputs. A computational unit is said to perform 2N-1 operations whenever an output is updated based on N inputs, where each modifiable weight contained in the processing element counts as an input. Each input, weight, and output might be an analogue signal level or a scalar digital value represented using one or more bits. Such units include:
-Artificial neurons
-Multiply accumulate (MAC) units
-Floating-Point Units (FPUs)
-Analogue multiplier units
-Processing units using memristors, spintronics, or magnonics
-Processing units using photonics or non-linear optics
-Processing units using analogue or multi-level non-volatile weights
-Multi-value or multi-level units
-Spiking units
3. Operations relevant to the calculation of TOPS include both scalar operations and the scalar constituents of composite operations such as vector operations, matrix operations, and tensor operations. Scalar operations include integer operations, floating-point operations (often measured by FLOPS), fixed-point operations, bit-manipulation operations and/or bitwise operations.
4.The rate of TOPS is the maximum value theoretically possible when all processing units are operating simultaneously. The rate of TOPS and aggregate bidirectional transfer rate is assumed to be the highest value the manufacturer claims in a manual or brochure for the chip.
5.The bit length of an operation is equal to the highest bit length of any input or output of that operation. Additionally, if the processor unit is designed for operations that achieve different bits × TOPS values, the highest bits × TOPS value should be used.
6.For processing units that provide processing of both sparse and dense matrices, the TOPS values are the values for processing of dense matrices (e.g., without sparsity).
N.B.:For “digital computers” and “electronic assemblies” containing integrated circuits specified in PL9013.a.4., see PL9014.a.2
5.Parametric signal amplifiers having all of the following:
a.Designed for operation at an ambient temperature below 1 K (-272.15ºC),
b.Designed for operation at any frequency from 2 GHz up to and including 15 GHz, and
c.A noise figure less (better) than 0.015 dB at any frequency from 2 GHz up to and including 15 GHz at 1 K (-272.15ºC).
Note:Parametric signal amplifiers include Travelling Wave Parametric Amplifiers (TWPAs).
Technical Note:
For the purposes of PL9013.a.5., parametric signal amplifiers may also be referred to as Quantum-Limited Amplifiers (QLAs).
6.Cryogenic cooling systems and components, as follows:
a.Systems rated to provide a cooling power greater than or equal to 600 µW at or below a temperature of 0.1 K (-273.05°C) for a period of greater than 48 hours;
b.Two-stage pulse tube cryocoolers rated to maintain a temperature below 4 K (-269.15°C) and provide a cooling power greater than or equal to 1.5 W at or below a temperature of 4.2 K (-268.95°C).
7.‘Extreme Ultraviolet’ (‘EUV’) masks and ‘EUV’ reticles, designed for integrated circuits, other than those specified in 3B001.g. in Annex I to “the dual-use Regulation”, and having a mask ‘substrate blank’ specified in 3B001.j. in Annex I to “the dual-use Regulation”;
Technical Notes:
For the purposes of PL9013.a.7.,
1.Masks or reticles with a mounted pellicle are considered masks and reticles. A pellicle is a membrane integrated with a frame, designed to protect a mask or reticle from particle contamination.
2.‘Extreme Ultraviolet’ (‘EUV’) refers to electromagnetic spectrum wavelengths greater than 5 nm and less than 124 nm.
3.‘Substrate blanks’ are monolithic compounds with dimensions suitable for the production of optical elements such as mirrors or optical windows.
8.Cryogenic wafer probing equipment having all of the following:
a.Designed to test devices at temperatures less than or equal to 4.5 K (-268.65°C); and
b.Designed to accommodate wafer diameters greater than or equal to 100 mm.
b.Materials as follows:
1.Epitaxial materials consisting of a ‘substrate’ having at least one epitaxially grown layer of any of the following:
a.Silicon having an isotopic impurity less than 0.08% of silicon isotopes other than silicon-28 or silicon-30; or
b.Germanium having an isotopic impurity less than 0.08% of germanium isotopes other than germanium-70, germanium-72, germanium-74, or germanium-76.
2.Fluorides, hydrides, or chlorides of silicon or germanium, containing any of the following:
a.Silicon having an isotopic impurity less than 0.08% of silicon isotopes other than silicon-28 or silicon-30; or
b.Germanium having an isotopic impurity less than 0.08% of germanium isotopes other than germanium-70, germanium-72, germanium-74, or germanium-76.
3.Silicon, silicon oxides, germanium or germanium oxides, containing any of the following:
a.Silicon having an isotopic impurity less than 0.08% of silicon isotopes other than silicon-28 or silicon-30; or
b.Germanium having an isotopic impurity less than 0.08% of germanium isotopes other than germanium-70, germanium-72, germanium-74, or germanium-76.
Note:
PL9013.b.3. includes ‘substrates’, lumps, ingots, boules and preforms.
Technical Note:
For the purposes of PL9013.b., ‘substrate’ is a sheet of base material with or without an interconnection pattern and on which or within which “discrete components” or integrated circuits or both can be located.
c.“Software” as follows:
1.“Software” specially designed for the “development” or “production” of equipment specified in PL9013.a.2., PL9013.a.3., PL9013.a.5., PL9013.a.7. or PL9013.a.8.
2.“Software” specially designed for the “use” of equipment specified in PL9013.a.2.
3.“Software” designed to extract ‘Geometrical Database Standard II’ (‘GDSII’) or equivalent standard layout data and perform layer-to-layer alignment from Scanning Electron Microscope (SEM) images, and generate multi-layer ‘GDSII’ data or the circuit netlist.
Technical Note:
For the purposes of PL9013.c.3., ‘Geometrical Database Standard II’ (‘GDSII’) is a database file format for data exchange of integrated circuit or integrated circuit layout artwork.
d.“Technology” as follows:
1.“Technology” according to the General Technology Note in Annex I to “the dual-use Regulation” for the “development” or “production” of equipment or materials specified in PL9013.a.1., PL9013.a.2., PL9013.a.3., PL9013.a.4., PL9013.a.5., PL9013.a.6., PL9013.a.7., PL9013.a.8. or PL9013.b.
Note: PL9013.d.1. does not control “Process Design Kits” (“PDKs”).
2.“Technology” according to the General Technology Note in Annex I to “the dual-use Regulation” for the “development” or “production” of integrated circuits or devices, using ‘Gate all-around Field-Effect Transistor’ (‘GAAFET’) structures.
Note 1:PL9013.d.2. includes ‘process recipes’.
Technical Note:
For the purposes of PL9013.d.2. Note 1., a ‘process recipe’ is a set of conditions and parameters for a particular process step.
Note 2:PL9013.d.2. does not control tool qualification or maintenance “technology”.
Note 3:PL9013.d.2. does not control “Process Design Kits” (“PDKs”).
Technical Note:
For the purposes of PL9013.d.2., ‘Gate all-around Field-Effect Transistor’ (‘GAAFET’) means a device having a single or multiple semiconductor conduction channel element(s) with a common gate structure that surrounds and controls current in all of the semiconductor conduction channel elements.
Note:This definition includes nanosheet or nanowire field-effect and surrounding gate transistors and other ‘GAAFET’ semiconductor channel element structures.
———————————————————————————————————————
Computers and related equipment, materials, software and technology
———————————————————————————————————————
PL9014The export or “transfer by electronic means” of the following goods, “software” or “technology”, is prohibited to any destination:
a.Systems, equipment and components, as follows:
1.Quantum computers and related “electronic assemblies” and components therefor, as follows:
a.Quantum computers as follows:
1.Quantum computers supporting 34 or more, but fewer than 100, ‘fully controlled’, ‘connected’ and ‘working’ ‘physical qubits’, and having a ‘C-NOT error’ of less than or equal to 10 -4;
2.Quantum computers supporting 100 or more, but fewer than 200, ‘fully controlled’, ‘ connected’ and ‘working’ ‘physical qubits’, and having a ‘C-NOT error’ of less than or equal to 10 -3;
3.Quantum computers supporting 200 or more, but fewer than 350, ‘fully controlled’, ‘connected’ and ‘working’ ‘physical qubits’, and having a ‘C-NOT error’ of less than or equal to 2 x 10 -3;
4.Quantum computers supporting 350 or more, but fewer than 500, ‘fully controlled’, ‘connected’ and ‘working’ ‘physical qubits’, and having a ‘C-NOT error’ of less than or equal to 3 x 10 -3;
5.Quantum computers supporting 500 or more, but fewer than 700, ‘fully controlled’, ‘connected’ and ‘working’ ‘physical qubits’, and having a ‘C-NOT error’ of less than or equal to 4 x 10 -3;
6.Quantum computers supporting 700 or more, but fewer than 1,100, ‘fully controlled’, ‘connected’ and ‘working’ ‘physical qubits’, and having a ‘C-NOT error’ of less than or equal to 5 x 10 -3;
7.Quantum computers supporting 1,100 or more, but fewer than 2,000, ‘fully controlled’, ‘connected’ and ‘working’ ‘physical qubits’, and having a ‘C-NOT error’ of less than or equal to 6 x 10 -3;
8.Quantum computers supporting 2,000 or more ‘fully controlled’, ‘connected’ and ‘working’ ‘physical qubits’;
b.Qubit devices and qubit circuits, containing or supporting arrays of ‘physical qubits’, and specially designed for items specified in PL9014.a.1.a.;
c.Quantum control components and quantum measurement devices, specially designed for items specified in PL9014.a.1.a.
Note 1:PL9014.a.1. includes circuit model (or gate-based) and one-way (or measurement-based) quantum computers.
Note 2:PL9014.a.1. does not control adiabatic (or annealing) quantum computers.
Note 3:Items specified in PL9014.a.1. may not necessarily physically contain any qubits. For example, quantum computers based on photonic schemes do not permanently contain a physical item that can be identified as a qubit. Instead, the photonic qubits are generated while the computer is operating and then later discarded.
Note 4:PL9014.a.1.b. includes the following:
-semiconductor, superconducting, and photonic qubit chips and chip arrays;
-surface ion trap arrays;
-other qubit confinement technologies; and
-coherent interconnects between such items.
Note 5:PL9014.a.1.c. includes items designed for calibrating, initialising, manipulating or measuring the resident qubits of a quantum computer.
Technical Notes:
For the purposes of PL9014.a.1.:
1.A ‘physical qubit’ is a two-level quantum system used to represent the elementary unit of quantum logic by means of manipulations and measurements that are not error corrected. ‘Physical qubits’ are distinguished from logical qubits, in that logical qubits are error-corrected qubits comprised of many ‘physical qubits’.
2.‘Fully controlled’ means the ‘physical qubit’ can be calibrated, initialised, gated, and read out, as necessary.
3.‘Connected’ means that two-qubit gate operations can be performed between any arbitrary pair of the available ‘working’ ‘physical qubits’. This does not necessarily entail all-to-all connectivity.
4.‘Working’ means that the ‘physical qubit’ performs universal quantum computational work according to the system specifications for qubit operational fidelity.
5.Supporting 34 or more ‘fully controlled’, ‘connected’, ‘working’ ‘physical qubits’ refers to the capability of a quantum computer to confine, control, measure and process the quantum information embodied in 34 or more ‘physical qubits’.
6.‘C-NOT error’ is the average physical gate error for the nearest-neighbour two-‘physical qubit’ Controlled-NOT (C-NOT) gates.
2.Computers, “electronic assemblies” and components containing one or more integrated circuits specified in PL9013.a.4.
Note:Computers include “digital computers”, hybrid computers, and analogue computers.
b.Materials as follows:
This entry is not used.
c.“Software” as follows:
1.“Software” specially designed or modified for the “development” or “production” of equipment specified in PL9014.a.1.b., PL9014.a.1.c. or PL9014.a.2.
d.“Technology” as follows:
1.“Technology” according to the General Technology Note in Annex I to “the dual-use Regulation” for the “development” or “production” of equipment specified in PL9014.a.1.b., PL9014.a.1.c. or PL9014.a.2, or software specified in PL9014.c.1.
2.“Technology” according to the General Technology Note in Annex I to “the dual-use Regulation” for the “use” of equipment specified in PL9014.a.2.
———————————————————————————————————————
Materials processing and related equipment, materials, software and technology
———————————————————————————————————————
PL9015The export or “transfer by electronic means” of the following goods, “software” or “technology”, is prohibited to any destination:
a.Systems, equipment and components, as follows:
1.Additive manufacturing equipment, designed to produce metal or metal alloy components, having all of the following, and specially designed components therefor:
a.having at least one of the following consolidation sources:
1.‘Lasers’;
2.Electron beam; or
3.Electric arc;
b.having a controlled process atmosphere of any of the following:
1.Inert gas; or
2.Vacuum (equal to or less than 100 Pa);
c.having any of the following 'in-process monitoring' equipment in a 'co-axial configuration' or 'paraxial configuration':
1.Imaging camera with a peak response in the wavelength range exceeding 380 nm but not exceeding 14,000 nm;
2.Pyrometer designed to measure temperatures greater than 1,273.15 K (1,000°C); or
3.Radiometer or spectrometer with a peak response in the wavelength range exceeding 380 nm but not exceeding 3,000 nm; and
d.A closed loop control system designed to modify the consolidation source parameters, build path, or equipment settings during the build cycle in response to feedback from 'in-process monitoring' equipment specified in PL9015.a.1.c.
Technical Notes
For the purposes of PL9015.a.1.,
1.‘Laser’ is an item that produces spatially and temporally coherent light through amplification by stimulated emission of radiation.
2.‘In-process monitoring’, also known as in-situ process monitoring, pertains to the observation and measurement of the additive manufacturing process including electromagnetic or thermal emissions from the melt pool.
3.‘Co-axial configuration’, also known as on-axis or inline configuration, pertains to one or more sensors that are mounted in an optical path shared by the ‘laser’ consolidation source.
4.‘Paraxial configuration’ pertains to one or more sensors that are physically mounted onto or integrated into the ‘laser’, electron beam or electric arc consolidation source component.
5.For both ‘co-axial configuration’ and ‘paraxial configuration’, the field of view of the sensor(s) is fixed to the moving reference frame of the consolidation source and moves in the same scan trajectories of the consolidation source throughout the build process.
b.Materials as follows:
This entry is not used.
c.“Software” as follows:
1.“Software” specially designed or modified for the “development” or “production” of equipment specified in PL9015.a.1.
d.“Technology” as follows:
1.“Technology” according to the General Technology Note in Annex I to “the dual-use Regulation” for the “development” or “production” of equipment specified in PL9015.a.1. or software specified in PL9015.c.1.
2.“Technology”, not specified in Annex I to “the dual-use Regulation”, for the “development” or “production” of ‘coating systems’ having all of the following:
a.Designed to protect ceramic ‘matrix’ ‘composite’ materials specified in 1C007 in Annex I to “the dual-use Regulation” from corrosion; and
b.Designed to operate at temperatures exceeding 1,373.15 K (1,100℃).
Technical Notes:
For the purposes of PL9015.d.2.:
1.‘Coating systems’ consist of one or more layers (e.g., bond, interlayer, top coat) of material deposited on the substrate.
2.‘Matrix’ means a substantially continuous phase that fills the space between particles, whiskers or fibres.
3.‘Composite’ means a ‘matrix’ and an additional phase or additional phases consisting of particles, whiskers, fibres or any combination thereof, present for a specific purpose or purposes.]]

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