4 July 1998: Revise links to AU export control sites (thanks to Greg Taylor)

29 May 1997: Add link to U.S. version of Category 5.

7 April 1997
Source: http://iic.spirit.net.au/imat/publications/excontrl/cat_5.doc (URL revised 4 July 1998)
Thanks to Greg Rose.

Part 3, Category 5 of the Defence and Strategic Goods List. The broad heading of this category is `Telecommunications and Information Security'. Items listed in this category include telecommunications and related equipment as well as hardware and software that use encryption, and is based on dual-use lists for The Wassenaar Arrangement (WA) and the Missile Technology Control Regime (MTCR). [From source: Australian Controls on the Export of Defence and Strategic Goods (URL revised 4 July 1998)]

## PART 3, CATEGORY 5 -

## TELECOMMUNICATIONS
AND
"INFORMATION SECURITY"

### Part 1 - 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.

5A1 Systems, Equipment and Components

5A001
[W]

a. Any type of telecommunications equipment having any of the following characteristics, functions or features:

> 1. Specially designed to withstand transitory electronic effects or electromagnetic pulse effects, both arising from a nuclear explosion;

> 2. Specially hardened to withstand gamma, neutron or ion radiation; or

> 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.

> 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. Categorised 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 programme 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 fibre cable;

> > 4. Electromagnetic radiation; or

> > 5. Underwater acoustic wave propagation.

5A001 b.

> 1. Employing digital techniques, including digital processing of analogue 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.

> 2. Being underwater communications systems having any of the following characteristics:

> > a. An acoustic carrier frequency outside the range from 20 kHz to 60 kHz;

> > b. Using an electromagnetic carrier frequency below 30 kHz; or

> > c. Using electronic beam steering techniques;

> 3. Being equipment containing any of the following:

> > a. "Network access controllers" and their related common medium having a "digital transfer rate" exceeding 156 Mbit/s; or

> > 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 specified in 5A001.b.3.

> 4. Employing a "laser" and having any of the following characteristics:

> > a. A transmission wavelength exceeding 1,000Ênm; or

> > b. Employing analogue techniques and having a bandwidth exceeding 45ÊMHz.

> > Note: 5A001.b.4.b. does not control commercial TV systems.

> > c. Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques);

> > d. Employing wavelength division multiplexing techniques; or

> > e. Performing "optical amplification";

> 5. Being radio equipment operating at input or output frequencies exceeding 31 GHz;

> Note: 5A001.b.5. does not specify equipment designed or modified for operation in any ITU allocated band.

> 6. Being radio equipment employing any of the following:

> > 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.

> > > 2. 5A001.b.6. does not control radio relay equipment for operation in an ITU allocated band:

> > > a. 1. Not exceeding 960 MHz; or

> > > 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.

5A001 b.

> 7. Being radio equipment operating in the 1.5 MHz to 87.5 MHz band and having any of the following characteristics:

> > a. Incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal; or

> > b. Having all of the following:

> > > 1. Automatically predicting and selecting frequencies and "total digital transfer rates" per channel to optimise the transmission; and

> > > 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;

> 8. Being radio equipment employing "spread spectrum" or "frequency agility" (frequency hopping) techniques having any of the following characteristics:

> > a. User programmable spreading codes; or

> > 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.

> 9. Being digitally controlled radio receivers having all of the following:

> > a. More than 1,000 channels;

> > b. A "frequency switching time" of less than 1 ms;

> > c. Automatic searching or scanning of a part of the electromagnetic spectrum; and

> > 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.

> 10. Employing functions of digital "signal processing" to provide voice coding at rates of less than 2,400 bit/s.

c. "Stored programme 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 programme controlled" switches.

> 1. "Common channel signalling" operating in either non-associated or quasi- associated mode of operation;

> 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.

> 3. Being packet switches, circuit switches and routers with ports or lines exceeding any of the following:

> > 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.

> > b. A "digital transfer rate" of 156 Mbit/s for a "network access controller" and related common medium;

> 4. "Optical switching";

> 5. Employing "Asynchronous Transfer Mode" ("ATM") techniques.

5A001 d. Optical fibre communication cables, optical fibres and accessories, as follows:

> 1. Optical fibres and optical fibre cables of more than 50 m in length having any of the following characteristics:

> > a. Designed for single mode operation; or

> > b. For optical fibres, specified by the manufacturer as being capable of withstanding a proof test tensile stress of 2 x 109 N/m2 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 fibre 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°C) and relative humidity 40%.

> > N.B.: Equivalent national standards may be used for executing the proof test.

> 2. Optical fibre cables and accessories designed for underwater use.

> Note: 5A001.d.2. does not control standard civil telecommunication cables and accessories.

> N.B. For fibre-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".
[M12d]

Note: 5A101 does not control equipment specially designed to be used for remote control of model planes, boats or vehicles and having an electric field strength of not more than 200 microvolts per metre at a distance of 500 metres.

#### 5B1 Test, Inspection and Production Equipment

5B001 a. Equipment and specially designed components or accessories therefor, specially designed for the "development", "production" or "use" of equipment, materials, functions or features specified in 5A001, 5B001, 5C001, 5D001 or 5E001.

Note: 5B001.a. does not control optical fibres and "optical fibre preform" characterization equipment not using semiconductor "lasers".

#### 5C1 Materials

5C001 Preforms of glass or of any other material optimised for the manufacture of optical fibres specified in 5A001.d.

#### 5D1 Software

5D001

a. "Software" specially designed or modified for the "development", "production" or "use" of equipment, functions or features specified in 5A001, 5B001 or 5C001.

b. "Software" specially designed or modified to support "technology" specified in 5E001.

c. Specific "software" as follows:

> 1. "Software", other than in machine-executable form, specially designed or modified for the "use" of digital cellular radio equipment or systems;

> 2. "Software" specially designed or modified to provide characteristics, functions or features of equipment specified in 5A001 or 5B001;

> 3. "Software" which provides the capability of recovering "source code" of telecommunications "software" specified in 5A001 or 5B001;

> 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.

#### 5E1 Technology

5E001

a. "Technology" according to the General Technology Note for the "development", "production" or "use" (excluding operation) of equipment, functions or features, materials or "software" specified in 5A001, 5B001, 5C001 or 5D001.

b. Specific "technologies", as follows:

> 1. "Required" "technology" for the "development" or "production" of telecommunications equipment specially designed to be used on board satellites;

> 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;

> 3. "Technology" for the processing and application of coatings to optical fibre specially designed to make it suitable for underwater use;

> 4. "Technology" for the "development" of equipment employing "Synchronous Digital Hierarchy" ("SDH") or "Synchronous Optical Network" ("SONET") techniques;

> 5. "Technology" for the "development" of "switch fabric" exceeding 64,000Êbit/s per information channel other than for digital cross connect integrated in the switch;

> 6. "Technology" for the "development" of centralized network control or "dynamic adaptive routing";

> 7. "Technology" for the "development" of digital cellular radio systems;

> 8. "Technology" for the "development" of broadband "Integrated Services Digital Network" ("ISDN");

> 9. "Technology" for the "development" of QAM techniques, for radio equipment, above level 4;

> 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 specified in 5A101.

### Part 2 - "INFORMATION SECURITY"

Note: The control status of "information security" equipment, "software", systems, application specific "electronic assemblies", modules, integrated circuits, components or functions is determined in Category 5, Part 2 even if they are components or "electronic assemblies" of other equipment.

Note: The Minister for Defence Industry, Science and Personnel permits the temporary export by Australian citizens or lawful permanent residents of cryptographic hardware or software products,as listed in Category 5, Part 2 on condition that:

> a. no transfer of hardware, software or technology takes place as a result of the exportation of the cryptographic products;

> b. the cryptographic products remain under the control of and in the possession of the exporter;

> c. the cryptographic products are not to be reproduced or copied;

> d. the cryptographic products must be returned to Australia when the exporter returns to Australia; and

> e. the cryptographic products shall not be used for demonstration, marketing or sales of controlled cryptographic products.

> The quantity of cryptographic hardware or software products which may be exported under the authority of this permit is limited to one each of any hardware product, and one copy of each software product per exporter, per trip outside of Australia. Records of temporary exports and re-imports under this permit should be maintained by the exporter for a period of 3 years from the date of each temporary export.

> If the cryptographic products are lost or stolen while outside of Australia, the exporter shall advise the Strategic Trade Policy and Operation Section of the Department of Defence, in writing, of the incident within 14 calendar days of returning to Australia.

#### 5A2 Systems, Equipment and Components

5A002

a. Systems, equipment, application specific "electronic assemblies", modules and integrated circuits for "information security", as follows, and other specially designed components therefor:

> N.B: For the control of global navigation satellite systems receiving equipment containing or employing decryption (i.e. GPS or GLONASS), see 7A005.

> 1. Designed or modified to use "cryptography" employing digital techniques to ensure "information security";

> 2. Designed or modified to perform cryptanalytic functions;

> 3. Designed or modified to use "cryptography" employing analogue techniques to ensure "information security";

> Note: 5A002.a.3. does not control the following:

> > 1. Equipment using "fixed" band scrambling not exceeding 8 bands and in which the transpositions change not more frequently than once every second;

> > 2. Equipment using "fixed" band scrambling exceeding 8 bands and in which the transpositions change not more frequently than once every ten seconds;

> > 3. Equipment using "fixed" frequency inversion and in which the transpositions change not more frequently than once every second;

> > 4. Facsimile equipment;

> > 5. Restricted audience broadcast equipment;

> > 6. Civil television equipment.

> 4. Designed or modified to suppress the compromising emanations of information-bearing signals;

> Note: 5A002.a.4. does not control equipment specially designed to suppress emanations for reasons of health and safety.

> 5. Designed or modified to use cryptographic techniques to generate the spreading code for "spread spectrum" or the hopping code for "frequency agility" systems;

> 6. Designed or modified to provide certified or certifiable "multilevel security" or user isolation at a level exceeding Class B2 of the Trusted Computer System Evaluation Criteria (TCSEC) or equivalent;

> 7. Communications cable systems designed or modified using mechanical, electrical or electronic means to detect surreptitious intrusion.

> Note: 5A002 does not control:

> > a. "Personalized smart cards" or specially designed components therefor, with any of the following characteristics:

> > > 1. Not capable of message traffic encryption or encryption of user-supplied data or related key management functions therefor; or

> > > 2. When restricted for use in equipment or systems excluded from control under entries 1. to 6. of the Note to 5A002.a.3. or under entries b. to h. of this Note;

> > b. Equipment containing "fixed" data compression or coding techniques;

> > c. Receiving equipment for radio broadcast, pay television or similar restricted audience television of the consumer type, without digital encryption and where digital decryption is limited to the video, audio or management functions;

> > d. Portable or mobile radiotelephones for civil use (e.g., for use with commercial civil cellular radiocommunications systems) that are not capable of end-to-end encryption;

> > e. Decryption functions specially designed to allow the execution of copy-protected "software", provided the decryption functions are not user-accessible;

> > f. Access control equipment, such as automatic teller machines, self-service statement printers or point of sale terminals, which protects password or personal identification numbers (PIN) or similar data to prevent unauthorized access to facilities but does not allow for encryption of files or text, except as directly related to the password or PIN protection;

> > g. Data authentication equipment which calculates a Message Authentication Code (MAC) or similar result to ensure no alteration of text has taken place, or to authenticate users, but does not allow for encryption of data, text or other media other than that needed for the authentication;

> > h. Cryptographic equipment specially designed and limited for use in machines for banking or money transactions, such as automatic teller machines, self-service statement printers or point of sale terminals.

#### 5B2 Test, Inspection and Production Equipment

5B002

a. Equipment specially designed for:

> 1. The "development" of equipment or functions specified in 5A002, 5B002, 5D002 or 5E002, including measuring or test equipment;

> 2. The "production" of equipment or functions specified in 5A002, 5B002, 5D002 or 5E002, including measuring, test, repair or production equipment;

b. Measuring equipment specially designed to evaluate and validate the "information security" functions specified in 5A002 or 5D002.

#### 5C2 Materials

None.

#### 5D2 Software

5D002

a. "Software" specially designed or modified for the "development", "production" or "use" of equipment or "software" specified in 5A002, 5B002, or 5D002;

b. "Software" specially designed or modified to support "technology" specified in 5E002;

c. Specific "software", as follows:

> 1. "Software" having the characteristics, or performing or simulating the functions of the equipment specified in 5A002 or 5B002;

> 2. "Software" to certify "software" specified in 5D002.c.1.

Note: 5D002 does not control:

> a. "Software" required for the "use" of equipment excluded from control under the Note to 5A002;

> b. "Software" providing any of the functions of equipment excluded from control under the Note to 5A002.

#### 5E2 Technology

5E002 [W] "Technology" according to the General Technology Note for the "development", "production" or "use" of equipment or "software" specified in 5A002, 5B002 or 5D002.

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