6A004  Optics.

License Requirements

     Reason for Control:   NS, AT

Control(s)                              Country Chart
     
NS applies to entire entry           NS Column 2

AT applies to entire entry          AT Column 1

     License Requirement Notes:  See §743.1 of
the EAR for reporting requirements for exports
under License Exceptions.

License Exceptions

     LVS:     $3000  
     GBS: Yes for 6A004.a.1, a.2, a.4, b, d.2,
          and d.4 
     CIV: Yes for 6A004.a.1, a.2, a.4, b, d.2,
          and d.4 
               
List of Items Controlled

     Unit: Equipment in number; cable in
     meters/feet; components in $ value
     Related Controls: "Space qualified"
     components for optical systems defined in
     6A004.c and optical control equipment
     defined in 6A004.d.1 are subject to the export
     licensing authority of the Department of State,
     Directorate of Defense Trade Controls (22
     CFR part 121). See also 6A994
     Related Definitions:  N/A
     Items:

a.  Optical mirrors (reflectors), as follows:

     a.1. "Deformable mirrors" having either continuous or multi-element surfaces, and 
          specially designed components therefor, capable of dynamically repositioning portions of the
          surface of the mirror at rates exceeding 100 Hz;

     a.2.  Lightweight monolithic mirrors having an average "equivalent density" of less than 30 kg/m2 
           and a total mass exceeding 10 kg;

     a.3.  Lightweight "composite" or foam mirror structures having an average "equivalent density"
           of less than 30 kg/m2 and a total mass exceeding 2 kg;

     a.4.  Beam steering mirrors more than 100 mm in diameter or length of major axis, that maintain a flatness 
           of lambda/2 or better (lambda is equal to 633 nm) having a control bandwidth exceeding 100 Hz.

b.  Optical components made from zinc selenide (ZnSe) or zinc sulphide (ZnS) with transmission in the wavelength 
    range exceeding 3,000 nm but not exceeding 25,000 nm and having any of the following:

     b.1.  Exceeding 100 cm3 in volume; or

     b.2.  Exceeding 80 mm in diameter or length of major axis and 20 mm in thickness (depth).

c.  "Space-qualified" components for optical systems, as follows:

     c.1. Lightweighted to less than 20% "equivalent density" compared with a solid blank of the same aperture and thickness; 

     c.2.  Substrates, substrates having surface coatings (single-layer or multi-layer, metallic or dielectric, 
           conducting, semiconducting or insulating) or having protective films;

     c.3.  Segments or assemblies of mirrors designed to be assembled in space into an optical system with a collecting 
           aperture equivalent to or larger than a single optic 1 m in diameter;

     c.4. Manufactured from "composite" materials having a coefficient of linear thermal expansion equal to or 
          less than 5 x 10-6 in any coordinate direction.

d.  Optical control equipment, as follows:

     d.1.  Specially designed to maintain the surface figure or orientation of the "space-qualified" components 
           controlled by 6A004.c.1 or 6A004.c.3;

     d.2.  Having steering, tracking, stabilization or resonator alignment bandwidths equal to or \
           more than 100 Hz and an accuracy of 10 ærad (microradians) or less;

     d.3.  Gimbals having all of the following: 

          d.3.a.  A maximum slew exceeding 5ø;

          d.3.b.  A bandwidth of 100 Hz or more;

          d.3.c.  Angular pointing errors of 200 ærad (microradians) or less; and

          d.3.d.  Having any of the following:

               d.3.d.1.  Exceeding 0.15 m but not exceeding 1 m in diameter or major axis length and capable of angular 
                         accelerations exceeding 2 rad (radians)/s2; or

               d.3.d.2.  Exceeding 1 m in diameter or major axis length and capable of angular accelerations exceeding 
                         0.5 rad (radians)/s2;

     d.4.  Specially designed to maintain the alignment of phased array or phased segment mirror systems consisting of 
           mirrors with a segment diameter or major axis length of 1 m or more.

e.  Aspheric optical elements having all of the following characteristics:

     e.1. The largest dimension of the optical- aperture is greater than 400 mm;

     e.2.  The surface roughness is less than 1 nm (rms) for sampling lengths equal to or greater than 1 mm; and

     e.3.  The coefficient of linear thermal expansion's absolute magnitude is less than  3 x 10-6/K at 25ø  C;

     Technical Notes:

          1.  An 'aspheric optical element' is any element used in an optical system whose imaging
              surface or surfaces are designed to depart from the shape of an ideal sphere.

          2.  Manufacturers are not required to measure the surface roughness listed in 6A004.e.2 unless the optical 
              element was designed or manufactured with the intent to meet, or exceed, the control parameter.

     Note:  6A004.e does not control aspheric optical elements having any of the following:

     a.  A largest optical-aperture dimension less than 1 m and a focal length to aperture ratio equal to or greater than 4.5:1;
     
     b.  A largest optical-aperture dimension equal to or greater than 1 m and a focal length to aperture ratio equal 
         to or greater than 7:1;

     c.  Being designed as Fresnel, flyeye, stripe, prism or diffractive optical elements;

     d.  Being fabricated from borosilicate glass having a coefficient of linear thermal expansion 
         greater than 2.5 x 10-6/K at 25ø C;or

     e.  Being an x-ray optical element having inner mirror capabilities (e.g., tube-type mirrors).

     N.B.:   For aspheric optical elements specially designed for lithographic equipment, see 3B001.