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Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL setting up a Union regime for the control of exports, transfer, brokering, technical assistance and transit of dual-use items (recast)

COM/2016/0616 final - 2016/0295 (COD)
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Brussels, 28.9.2016

COM(2016) 616 final

2016/0295(COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

setting up a Union regime for the control of exports, transfer, brokering, technical assistance and transit of dual-use items (recast)

{SWD(2016) 314 final}
{SWD(2016) 315 final}


EXPLANATORY MEMORANDUM

1.CONTEXT OF THE PROPOSAL

Reasons for and objectives of the proposal

In May 2009, the Council of the European Union adopted Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items 1 (hereunder "the Regulation"). In line with Article 25(2) of the Regulation, the Commission presented in October 2013 a comprehensive report to the European Parliament and the Council 2 on the implementation of the Regulation. The report concluded that the EU export control system provides solid legal and institutional foundations but cannot remain static and must be upgraded in order to face new challenges. In April 2014, the Commission adopted a Communication 3  setting out concrete policy options for the review of the EU export control regime and its adaptation to rapidly changing technological, economic and political circumstances. In 2015, the Commission conducted an impact assessment of the review options outlined in that Communication to identify the most suitable regulatory and non-regulatory actions to bring them into effect. This proposal has been prepared in light of the conclusions of the impact assessment.

The export control policy review has been identified as an initiative under the Regulatory Fitness and Performance Programme (REFIT) in consideration of its potential regulatory simplification and burden reduction.

Council Regulation (EC) No 428/2009 has been amended on several occasions. Since further amendments are to be made, it should be recast in the interests of clarity and readability.

Consistency with existing policy provisions in the policy area

The proposal aims at supporting the overall policy objectives of the Union, as laid out in Article 3 of the Treaty on European Union, i.e. "contribute to peace and security, as well as free and fair trade and the protection of human rights". The proposal will contribute to the European Security Strategy 4 , and in particular responds to the 2013 Council Conclusions on the new challenges presented by the proliferation of weapons of mass destruction (WMD) 5 . The proposal will also ensure that the EU and its Member States effectively comply with their international obligations, in particular with respect to WMD non-proliferation. Moreover, the proposal will enhance the EU's efforts to prevent non-state actors from gaining access to sensitive items and will thus contribute to the fight against terrorism 6 . Lastly, in light of the increasing blurring between the civilian and defence sectors, the proposal forms part of the EU's efforts to counter hybrid threats 7 .

The proposal is fully in line with EU trade policy's aim to foster competitiveness and reduce distortions to trade, and with the 2015 "Trade for All" Communication' 8 which announced "an ambitious modernisation of the EU´s policy of export controls of dual-use goods, including the prevention of the misuse of digital surveillance and intrusion systems that results in human rights violations”.

Consistency with other Union policies

The proposal – and in particular provisions relating to the control of cyber-surveillance technologies – will contribute to the protection of human rights globally, in line with the 2015 Human Rights Action Plan 9 and the EU Guidelines for Freedom of Expression 10 , which explicitly call for tightening controls on the export of such technologies. 

The proposal will also support the digital single market strategy, as the introduction of controls on cyber-surveillance technology aims at addressing risks associated with digital trade. Since the proposal aims, in particular, to reduce administrative burden by making EU law simpler and less costly, it also serves the objectives of the REFIT programme.

2.LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

Legal basis

Dual-use export controls form an integral part of the Common Commercial Policy under Article 207 TFEU.

Subsidiarity

Trade in dual use items must be based on common principles in compliance with Article 207 of the Treaty on the Functioning of the European Union (TFEU), while respecting Member States' prerogatives in the area of security. Moreover, EU intervention is necessary as the security objectives pursued can only be achieved collectively, if competent authorities act in close collaboration and in accordance with the same principles. Action at EU level is also necessary to address distortions of competition within the Single Market and to promote the convergence of controls with third countries and a more level playing field globally.

EU intervention is justified in light of the Charter of Fundamental Rights, since a number of human rights have been identified as potentially affected by exports of certain dual-use items, in particular in relation to exports of cyber-surveillance technology.

Proportionality

The provisions in this proposal are limited to what is necessary in order to attain the objectives of the Regulation and therefore comply with the principles of proportionality.

The proposal consists mostly of amendments to existing provisions of Regulation (EC) No 428/2009, where they are duly justified to enhance the effectiveness or the consistency of controls throughout the EU. Amendments are also proposed that aim at simplifying the administration of controls and reducing the burden for operators across the Single Market.

The proposal however also introduces new provisions to control the export of certain specific cyber-surveillance technology, in order to fill a regulatory gap identified during the export control policy review, i.e. the insufficient legal basis for control in this area.

As illustrated by the impact assessment, other instruments such as guidelines could usefully complement and support the implementation of legislative changes, but would not address the lack of legal clarity of some provisions of the Regulation or the lack of sufficient control of cyber-surveillance technology. Amendments to the Regulation are therefore necessary.

3.RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS

Results of ex-post evaluation

In 2011, the Commission issued a Green Paper 11 , inviting stakeholders to express their views about the EU export-control regime. The Commission reported on the outcome of this process in the Staff Working Document "Strategic export controls: ensuring security and competitiveness in a changing world" 12 . The Staff Working Document concluded that stakeholders called for various adjustments to the EU export control system in order to adapt it to rapidly changing technological, economic and political circumstances. The Staff Working Document formed the basis for the presentation of a Report from the Commission to the Council and the European Parliament on the implementation of the Regulation 13 which opened the way to the review of EU export control policy.

Stakeholder consultations

The Commission conducted wide-ranging stakeholder consultations to support the preparation of this proposal. The consultation strategy included regular dedicated conferences and outreach to key stakeholders in order to develop a dialogue with dual use industry, civil society and Member States.

The Impact Assessment also involved dedicated stakeholder consultations. A 'data collection study' was commissioned in 2014-2015, which included targeted surveys of industry associations and companies, national administrations, academia and non-governmental organizations. Also as part of the impact assessment, the Commission conducted a public consultation in 2015 regarding review options and their impact 14 . Stakeholders generally agreed that a review of current rules would improve the export control system, in particular with regards to its capacity to address evolving security risks such as WMD proliferation and terrorism and to respond to rapid scientific and technological developments, and could also enhance the efficiency of export control administration and companies' competitiveness. On the other end, many stakeholders raised concerns regarding the potential economic impact of options to control exports that could be misused for human rights violation in third countries.

Collection and use of expertise

In the absence of official statistics on dual-use production or trade, the Commission has developed, since 2013, a statistical methodology to assess dual-use trade flows, and also makes use of licensing data shared by Member States. The data collection study commissioned as part of the impact assessment validated that methodology and provided further details e.g. on dual-use related trade flows and on specific sectors.

Data obtained from the private sector through interviews and surveys, as well as open sources and specialised research, provided additional insights on dual-use trade.

Impact assessment

The impact assessment report was presented to the Regulatory Scrutiny Board (RSB) in March 2016 and received a positive opinion with comments. The RSB opinion is available on the Europa website at http://ec.europa.eu/smart-regulation/impact/iab/iab_en.htm.

Besides the baseline scenario (no policy change), the impacts of four other scenarios were assessed, including Option 2 "Implementation and Enforcement Support" (consisting in soft law and guidance), Option 3 "EU System Upgrade" (adjustments to the regulatory framework), Option 4 "EU System Modernisation" (focusing on cyber-surveillance technologies and human rights) and Option 5 "EU System Overhaul" (implying full centralisation of controls at EU level).

As a result, a combination of Option 3 and 4 was selected as the 'preferred option'. Option 3 "EU System Upgrade" appears as the most efficient and effective option to address problems identified and in light of economic and social (security and human rights) impact criteria. Option 4 "EU System Modernisation" was also retained in spite of concerns expressed by some stakeholders. It is recognised that option 4 could result in a higher administrative burden for operators and authorities, since a new category of goods and technology would be subject to control. It also involves a risk that distortions of competition be introduced at global level, as it cannot be assured that other key technology suppliers will introduce similar controls. However, option 4 is expected to have a significant positive impact on security and human rights: it appears as an indispensable condition to prevent human rights violations resulting from the export of EU items to third countries and to address security risks, to the EU and its citizens, associated with new cyber-surveillance technologies. In light of this assessment, the proposal sets out a two-fold approach, combining detailed controls of a few specific listed items with a "targeted catch-all clause" to act as an "emergency brake" in case where there is evidence of a risk of misuse. The precise design of those new controls would ensure that negative economic impact will be strictly limited and will only affect a very small trade volume.

In spite of its positive long term impact, Option 2 appeared relatively costly in the short to medium term and could only be achieved with additional resources both at national and EU level. Therefore, Option 2 was not retained, although a gradual implementation of some actions could be envisaged (e.g. development of electronic licensing systems, technical consultations with industry) on the basis of a clear prioritisation of tasks and provided the necessary resources can be allocated, including through joint commitments by relevant stakeholders such as Member States and industry.

Option 5 would have implied radically changing the EU approach to export controls, including the centralisation of the implementation of controls and the establishment of a central licensing agency at EU level. Considerable the costs – administrative, financial as well as in terms of legal transition – and the lack of stakeholder support, this option was not retained.

Regulatory fitness and simplification

As a REFIT initiative, the proposal is expected to bring benefits in terms of reduction of administrative burden both for operators and public administrations, in particular due to positive impact on staff resources and processing times. Thus, thanks to the introduction of new EU General Export Authorisations (EUGEAs), controls would become four times less costly for companies, and up to 11 times less costly for licensing authorities. The proposal is also expected to enable a reduction of administrative burden within the Single Market, in particular as the number of products subject to control on transfers within the EU would be reduced by approximately 40%.

The proposal also contains amendments to certain key control provisions whose implementation experience has demonstrated to be unclear. The proposal is thus expected to enhance legal clarity and, thus, reduce compliance costs due to complex and unclear control provisions.

The proposal does not provide for exemptions in favour of Small and Medium Enterprises (SMEs): due to overriding security reasons, it is imperative that SMEs comply with controls. However, the scope of certain provisions which may be particularly demanding in terms of human and IT resources has been limited to avoid excessive regulatory burden on SMEs. Thus, the requirement for companies to implement an effective Internal Compliance Programme (ICP) – a set of formal measures and procedures ensuring compliance with export controls – mainly applies in relation to global licences, while small companies that cannot afford to develop a formal ICP can export under most general authorisations and/or individual licences. Moreover, the proposal's simplification of licensing procedures and enhanced legal clarity will bring important benefits to SMEs.

Lastly, the proposal is expected to improve the international competitiveness of EU operators as certain provisions – e.g. on technology transfers, on the export of encryption – will facilitate controls in areas where third countries have already introduced more flexible control modalities. The proposal's new chapter on cooperation with third countries is also expected to promote the convergence of controls with key trade partners and a global level-playing field, and thus to have a positive impact on international trade.

Fundamental rights

Surveillance activities for the purposes of the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties must be laid down by law and constitute a necessary and proportionate measure in a democratic society with due regard for the legitimate interests of the individuals concerned. In recent years however, there have been numerous reports of cyber-surveillance technologies being exported to repressive regimes and/or into conflict areas and misused in violation of human rights. Cyber-surveillance technologies, which have legitimate and regulated law enforcement applications, have thus been misused for internal repression by authoritarian or repressive governments to infiltrate computer systems of dissidents and human rights activists, at times resulting in their imprisonment or even death. As evidenced by those reports, the export of cyber-surveillance technology under such conditions poses a risk to the security of those persons and to the protection of fundamental human rights, such as the right to privacy and the protection of personal data, freedom of expression, freedom of association, as well as, indirectly, freedom from arbitrary arrest and detention, or the right to life.

By subjecting exports of specific cyber-surveillance technologies to authorisation, the proposal provides for an effective response to threats for human rights resulting from their uncontrolled export, which was identified as a key issue in the impact assessment. While the measures will have some effects on the freedom to conduct a business for exporters, these measures will be appropriate to the overall objective of an effective response to threats to human rights resulting from the export of these technologies. The proposal is thus expected to have an overall significant positive impacts for the protection of fundamental rights. The Commission, in close consultations with the Member States and stakeholders, will develop guidelines to support the practical applications of the targeted catch-all controls. The Commission will endeavour to finalise the adoption of these guidelines in a synchronised manner with the entry into force of the Regulation.

4.BUDGETARY IMPLICATIONS

Some specific provisions in the proposal are expected to have implications on the resources of relevant services at EU or national levels. The implementation of the extended competence for the Commission to amend lists of dual-use items and general export authorisations by delegated acts is expected to require about 50% of a Full Time Expert (FTE), depending on the number of modifications to EUGEAs that could be expected each year. In addition, cyber-surveillance controls are expected to require some additional administrative costs (staff) for administrations, both at national and EU level (1 FTE).

The proposal also provides a legal basis to enable the realisation of certain actions – such as the development of electronic licensing systems – while the financing and budgetary implications remain to be assessed in detail before any decision is taken regarding their implementation.

5.OTHER ELEMENTS

Implementation plans and monitoring, evaluation and reporting arrangements

Monitoring of implementation will be carried out in cooperation with Member States in order to ensure that competent authorities and exporters implement effectively and consistently the requirements of the proposed regulation. Periodic (annual) reporting will allow for appropriate monitoring of the implementation of the proposed Regulation and to inform the European Parliament and the Council regularly.

In addition, as indicated in the impact assessment report, the Commission will undertake an evaluation of its new initiative five years after its entry into force in order to assess the actual economic, social, and environmental impacts and evaluate its efficiency and effectiveness and the extent to which its results are consistent with the objectives. The Commission will communicate the results of the evaluation to the European Parliament and the Council.

6.DETAILED EXPLANATION OF THE SPECIFIC PROVISIONS OF THE PROPOSAL

Modernisation of existing control provisions

The proposal provides for amendments to various control provisions in order to clarify, simplify and improve the regulatory framework in light of "lessons learnt" and to tackle new developments:

The proposal contains amendments to key export control notions in order to reflect new realities. The definition of dual-use items is thus revised to reflect the emergence of new types of dual-use items, such as cyber-surveillance technologies. The proposal also amends the definition of "export" and "exporter", as well as provisions relating to the determination of the competent authority, in order to clarify the application of controls to natural persons, who may be "exporters", especially when it comes to technology transfers (e.g. service providers, researchers, consultants and even a person downloading "controlled technology").

Intangible technology transfers (ITT): The proposal clarifies ITT controls and facilitates low-risk technology transfers, as they only become subject to control when the dual-use technology is made available to a person in a third country, which is in particular expected to facilitate the use of cloud services;

Technical assistance: With the entry into force of the Lisbon Treaty, the provision of technical assistance involving a cross-border movement has become EU competence and is subject to controls. The proposal therefore clarifies applicable controls and defines technical assistance.

Strengthening of brokering controls: the proposal reduces the risk that controls are circumvented by extending the definition of the broker to subsidiaries of EU companies outside of the EU, as well as to brokering services supplied by third country nationals from within the EU territory. Moreover, in order to ensure their consistency and effectiveness, the proposal harmonises their application to non-listed items and military end-uses and extends their application to terrorism and human rights violations.

Strengthening of transit controls: in order to ensure the consistency of control, and avoid distortions of competition and the risk of weak links in the chain of controls, the proposal harmonises the application of transit controls to non-listed items and military end-uses, and extends controls to the risk of misuse for terrorist acts and human rights violations.

Tackling illicit trade: in order to counter illicit trafficking, and in line with other trade security instruments (restrictive measures), the proposal provides for certain controls – e.g. on brokering, technical assistance - to apply throughout the EU jurisdiction – including controls on the activities of EU persons located in third countries, and introduces an anti-circumvention clause, thus establishing an EU-wide legal basis for the prosecution of export control violations.

Optimisation of EU licensing architecture

The proposal further harmonises licensing processes with a view to reducing the administrative burden associated with licences:

Harmonisation of licensing processes: the proposal provides for a definition of authorisations and for common licensing parameters (e.g. validity period) and conditions for use of the EUGEAs (registration, reporting requirements...) and for global licences (requirement for an Internal Compliance Programme). A standard requirement for transparency on licensing timelines is proposed with a view to reducing divergences within the Single Market.

A new authorisation for 'large-projects' is proposed for certain large multiannual projects e.g. construction of a nuclear power plant, providing the benefit of one single licence covering all related export operations, for the duration of the project and subject to certain conditions (e.g. reporting, auditing).

Introduction of new EUGEAs: the proposal introduces new general authorisations to facilitate trade while ensuring a sufficient level of security through robust control modalities e.g. registration, notification and reporting, auditing:

Encryption: this EUGEA could be especially useful given the commercial importance and wide circulation of these items and to ensure a level-playing field in light of license exceptions existing in certain non-EU countries;

Low Value Shipments: this EUGEA aims at facilitating controls for shipments under a certain value provided the items and destinations are eligible and certain conditions are met;

Intra-company transmission of software and technology: this EUGEA aims at facilitating transfers of dual-use technology within a company and its affiliates in non-sensitive countries, in particular for research and development purposes, as long as the technology remains under the ownership or control of the parent company;

"Other dual-use items": in light of the experience of certain Member States, the proposal aims at equipping the EU with a capacity to facilitate controls of certain "other dual-use items" (e.g. frequency changers) when it is considered appropriate for certain items and destinations.

Delegation of competence: the proposal expands the delegation of competence for the Commission to modify destinations or items on EUGEAs, with a view to ensuring that the EU export control regime becomes more flexible and capable of reacting to technological or economic developments.

Convergence of catch-all controls

The proposal provides for a clarification and harmonisation of the definition and scope of catch-all controls to ensure their uniform application across the EU. The proposal also provides for a mandatory consultation procedure between competent authorities to ensure the EU-wide application and validity of catch-all decisions. It introduces regular exchange of information between the Commission and Member States to be supported by a "catch-all database" recording catch-all licensing requirements, end-users and items of concern.

Re-evaluation of intra-EU transfers

The proposal revises the list of items subject to control within the EU in order to focus controls on an updated list of most sensitive items (in Section B of Annex IV), taking account of technological and commercial developments. It also introduces a general transfer authorisation in Section A of Annex IV for the updated list of sensitive items. It thus minimises administrative burden and disruptions to trade within the EU while ensuring the security of transfers of most sensitive items through robust control modalities (e.g. registration, notification, reporting, auditing, post-shipment verification).

An initiative to control exports of cyber-surveillance technologies

The proposal responds to the need to protect national security and public morals, in consideration of the proliferation of cyber-surveillance technologies whose misuse poses a risk to international security as well as the security of the EU, its governments, companies and citizens, and to the protection of human rights and digital freedoms in a globally connected world,

The proposal sets out new provisions for an effective control focusing on specific and relevant cyber-surveillance technologies. It introduces an EU autonomous list of specific cyber-surveillance technologies of concern to be subject to controls (monitoring centres and data retention systems), with detailed technical parameters. This systematic control is complemented by a targeted catch-all control, which allows controlling the export of non-listed cyber-surveillance technologies in certain situations where there is evidence that they may be misused. The targeted catch-all control applies where there is evidence that the items may be misused by the proposed end-user for directing or implementing serious violations of human rights or international humanitarian law in situations of armed conflict or internal repression in the country of final destination.

Controls of cyber-surveillance technology are supported by a revised definition of "dual-use items", reflecting the evolution towards a wider approach to security also taking into consideration the security of the EU, its citizens and companies. The revised definition of "dual-use items" is combined with a definition of "cyber-surveillance technology" and revised control criteria, explicitly providing for controls to prevent exports where there is a clear risk of human rights violations and terrorism.

Enhanced cooperation on implementation and enforcement

The proposal provides for enhanced information exchange between competent authorities and the Commission with a view to support effective and consistent application of controls. It introduces a legal basis regarding the introduction of electronic licensing systems and their interconnection with the Dual-Use Electronic System (DUeS) with a view to supporting more effective licensing procedures for all competent authorities, and for the setting up of 'technical expert groups' bringing together key industry and Government experts into a dialogue on the technical parameters for controls.

With due respect to the competences of the Member States, the proposal introduces provisions to support information-exchange and cooperation on enforcement, in particular with the setting up of an enforcement coordination mechanism under the Dual-Use Coordination Group.

Transparency and outreach – private sector partnership

The proposal sets out transparency measures and expands outreach and information-sharing with operators in order to develop a "partnership with the private sector", as the "first line of defence" against evolving security risks, and in light of stakeholders' observation that regulatory compliance and competitiveness are mutually reinforcing,. The proposal also provides a legal basis for the development of tools for operators as a key element of that partnership and e.g. supports the introduction of electronic licensing systems in all Member States, which will allow for more timely and efficient management of licensing processes and relations with economic operators.

In response to industry's call for a common interpretation and application of the Regulation, the proposal provides for the publication of guidance for exporters on topical issues. Transparency, e.g. with the publication of annual reports, will also enable civil society organisations to fully contribute to the formulation and implementation of export control policy.

Export control dialogue with third countries

In order to enhance regulatory convergence and a global level-playing field, the proposal provides a basis for the development of regular dialogues between the EU and key trade partners, and for the negotiation of mutually beneficial measures such as end-user verification programmes (whereby selected third-country companies could be granted special status of "Verified end-user" and obtain EU-wide recognition and facilitation of controls). The EU is also implementing an "EU P2P Export Control Programme" in order to assist third countries to establish well-functioning export control systems, which offers a basis for updating third countries on developments with respect to EU legislation.

ê 428/2009 (adapted)

2016/0295 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

setting up aCommunity Ö Union Õ regime for the control of exports, transfer, brokeringÖ , technical assistance Õ and transit of dual-use items (recast)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community Ö on the Functioning of the European Union Õ , and in particular Article 133 Ö 207(2) Õ thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Acting in accordance with the ordinary legislative procedure,

Whereas:

ê 428/2009 recital 1 (adapted)

(1)Council Regulation (EC) No 1334/2000 of 22 June 2000 setting up a Community regime for the control of exports of dual-use items and technology 15  Ö 428/2009 16  Õ has been significantly Ö substantially Õ amended on several occasions Ö times Õ. Since further amendments are to be made, it Ö that Regulation Õ should be recast in the interests of clarity.

ê 428/2009 recital 2

Dual-use items (including software and technology) should be subject to effective control when they are exported from the European Community.

ê 428/2009 recital 15 (adapted)

ð new

(2)United Nations Security Council Resolution 1540, adopted on 28 April 2004, decides Ö decided Õ that all States shall take and enforce effective measures to establish domestic controls to prevent the proliferation of nuclear, chemical or biological weapons and their means of delivery, including by establishing appropriate controls over related materials and to this end shall, among others, establish transit and brokering controls. Related materials are materials, equipment and technology covered by relevant multilateral treaties and arrangements, or included on national control lists, which could be used for the design, development, production or use of nuclear, chemical and biological weapons and their means of delivery. ð Controls are also required under relevant international agreements, such as the Chemical Weapons Convention and the Biological and Toxin Weapons Convention, and in line with commitments agreed upon in multilateral export control regimes. ï

ê 428/2009 recital 3 (adapted)

(3)An effective common system of export controls on dual-use items is Ö therefore Õ necessary to ensure that the international commitments and responsibilities of the Member States Ö and of the Union Õ , especially regarding non-proliferation, and of the European Union (EU), are complied with.

ê 428/2009 recital 14 (adapted)

(4)The Heads of State or Government of the EU adopted in June 2003 an Action Plan on Non-Proliferation of Weapons of Mass Destruction (Thessaloniki Action Plan). This Action Plan was complemented by tThe EU Strategy against proliferation of Weapons of Mass Destruction adopted by the European Council on Ö of Õ 12 December 2003 (EU WMD Strategy). According to Chapter III of this Strategy, the European Union must make use of all its instruments to prevent, deter, halt, and if possible eliminate proliferation programmes that cause concern at global level. Subparagraph 30.A(4) of that Chapter specifically refers to Ö , as updated by the Council Conclusions of 21 October 2013 on "ensuring the continued pursuit of an effective EU policy on the new challenges presented by the proliferation of weapons of mass destruction", calls for the Õ strengthening Ö of the Õ export control policies and practices Ö of the Union Õ .

ò new

(5)Considering the emergence of new categories of dual-use items, and in response to calls from the European Parliament and indications that certain cyber-surveillance technologies exported from the Union have been misused by persons complicit in or responsible for directing or committing serious violations of human rights or international humanitarian law in situations of armed conflict or internal repression, it is appropriate to control the export of those technologies in order to protect public security as well as public morals. These measures should not go beyond what is proportionate. They should, in particular, not prevent the export of information and communication technology used for legitimate purposes, including law enforcement and internet security research. The Commission, in close consultations with the Member States and stakeholders, will develop guidelines to support the practical applications of those controls.

(6)As a result, it is also appropriate to revise the definition of dual-use items, and to introduce a definition of cyber-surveillance technology. It should also be clarified that assessment criteria for the control of exports of dual-use items include considerations regarding their possible misuse in connection with acts of terrorism or human rights violations.

ê 428/2009 recital 8 (adapted)

ð new

(7)Transmission of Ö dual-use Õ software and technology by means of electronic media, fax or telephone to destinations outside the Community Ö Union Õ should also be controlled. ð In order to limit the administrative burden for exporters and the competent authorities of the Member States, the definition of export should however be revised to exclude transmissions which do not pose a grave risk of proliferation or other misuse covered by this Regulation. ï

ò new

(8)Considering that various categories of persons may be involved in the export of dual-use items, including natural persons such as service providers, researchers, consultants and persons transmitting dual-use items electronically, the definition of exporter, and its application to natural persons, should be clarified.

(9)The scope of "catch-all controls", that apply to non-listed dual use items in specific circumstances, should be clarified and harmonised, and should address the risk of terrorism and human rights violations. Appropriate exchange of information and consultations on "catch all controls" should ensure the effective and consistent application of controls throughout the Union. Targeted catch-all controls should also apply, under certain conditions, to the export of cyber-surveillance technology.

(10)The definition of broker should be revised to avoid the circumvention of controls on the provision of brokering services by persons falling within the jurisdiction of the Union. Controls on the provision of brokering services should be harmonised to ensure their effective and consistent application throughout the Union and should also apply in order to prevent acts of terrorism and human rights violations.

(11)With the entry into force of the Lisbon Treaty, it has been clarified that the supply of technical assistance services involving a cross-border movement falls under Union competence. It is therefore appropriate to clarify the controls applicable to technical assistance services, and to introduce a definition of those services. For reasons of effectiveness and consistency, controls on the supply of technical assistance services should be harmonised and apply also in order to prevent acts of terrorism and human rights violations.

ê 428/2009 recital 16 (adapted)

ð new

(12)This Regulation Ö (EC) No 428/2009 provides for Õ includes items which only pass through the territory of the Community, that is, those items which are not assigned a customs-approved treatment or use other than the external transit procedure or which are merely placed in a free zone or free warehouse and where no record of them has to be kept in an approved stock record. Accordingly, a possibility for Member States’ authorities to prohibit on a case-by-case basis the transit of non-Community Ö non-Union Õdual-use items should be established, where they have reasonable grounds for suspecting from intelligence or other sources that the items are or may be intended in their entirety or in part for proliferation of weapons of mass destruction or of their means of delivery. ð For reasons of effectiveness and consistency, transit controls should be harmonised and apply also in order to prevent acts of terrorism and human rights violations. ï

ê 428/2009 recital 5 (adapted)

ð new

(13)ð Licensing conditions and requirements, including the period of validity and licensing timelines for individual and global authorisations, should be harmonised in order to avoid distortions of competition and ensure the consistent and effective application of controls throughout the Union. To this effect, it is also necessary to ensure a clear determination of the competent authority in all control situations ï The responsibility for deciding on individual, global or national general export authorisations, on authorisations for brokering services ð and technical assistance ï , Ö as well as Õ on transits of non-Community Ö non-Union Õ dual-use items, or on authorisations for the transfer within the Community of the dual-use items listed in Annex IV lies with national authorities.

ò new

(14)A standard requirement for compliance in the form of "internal compliance programmes" should be introduced in order to contribute to the level-playing field between exporters and to enhance the effective application of controls. For reasons of proportionality, this requirement should apply to specific control modalities in the form of global authorisations and certain general export authorisations.

(15)Additional Union general export authorisations should be introduced in order to reduce administrative burden on companies and authorities while ensuring an appropriate level of control of the relevant items to the relevant destinations. A global authorisation for large projects should also be introduced to adapt licensing conditions to the peculiar needs of industry.

ê 428/2009 recital 7

(16)Common lists of dual-use items, destinations and guidelines are essential elements for an effective export control regime.

ê 428/2009 recital 6 (adapted)

ð new

(17)Decisions to update the common list of dual-use items subject to export controls Ö in Section A of Annex I should Õ must be in conformity with the obligations and commitments that Member States Ö and the Union Õ have accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties. ð Decisions to update the common list of dual-use items subject to export controls in Section B of Annex I, such as cyber-surveillance technology, should be made in consideration of the risks that the export of such items may pose as regards the commission of serious violations of human rights or international humanitarian law or the essential security interests of the Union and its Member States. Decisions to update the common list of dual-use items subject to export controls in Section B of Annex IV should be made in consideration of the public policy and public security interests of the Member States under Article 36 of the Treaty on the Functioning of the European Union. Decisions to update the common lists of items and destinations set out in Sections A to J of Annex II should be made in consideration of the assessment criteria set out in this Regulation. ï

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(18)In order to allow for a swift Union response to changing circumstances as regards the assessment of the sensitivity of exports under Union General Export Authorisations as well as technological and commercial developments, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending Section A of Annex I, Annex II and Section B of Annex IV to this Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement on Better Law-Making of 13 April 2016. In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council should receive all documents at the same time as Member States' experts, and their experts systematically should have access to meetings of Commission expert groups dealing with the preparation of delegated acts.

ê 428/2009 recital 5 (adapted)

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(19)National provisions and decisions affecting exports of dual-use items must Ö should Õ be taken in the framework of the common commercial policy, and in particular Council Regulation (EEC) No 2603/69 of 20 December 1969 establishing common rules for exports 17  Regulation (EU) 2015/479 of the European Parliament and of the Council 18 . ð Appropriate exchange of information and consultations on national provisions and decisions should ensure the effective and consistent application of controls throughout the Union. ï

ê 428/2009 recital 4 (adapted)

(20)The existence of a common control system and harmonised policies for enforcement and monitoring in all Member States is a prerequisite for establishing the free movement of dual-use items inside the Community Ö Union Õ .

ê 428/2009 recital 9

Particular attention needs to be paid to issues of re-export and end-use.

ê 428/2009 recital 12 (adapted)

ð new

(21)Pursuant to and within the limits of Article 30 Ö 36 Õ of the Treaty Ö on the Functioning of the European Union Õ and pending a greater degree of harmonisation, Member States retain the right to carry out controls on transfers of certain dual-use items within the Community Ö Union Õ in order to safeguard public policy or public security. ð For reasons of proportionality, controls on the transfer of dual-use items within the Union should be revised in order to minimise the burden for companies and authorities. ï Where these controls are linked to the effectiveness of controls on exports from the Community, they ð Moreover, the list of items subject to intra-Union transfer controls in Section B of Annex IV ï should be periodically reviewed by the Council ð in light of technological and commercial developments and as regards the assessment of the sensitivity of transfers ï .

ê 428/2009 recital 10 (adapted)

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(22)On 22 September 1998 representatives of the Member States and the European Commission signed Protocols additional to the respective safeguards agreements between the Member States, the European Atomic Energy Community and the International Atomic Energy Agency, which, among other measures, oblige the Member States to provide information on transfers of specified equipment and non-nuclear material. ð Intra-Union transfer controls should allow the Member States and the Union to fulfil their obligations under these agreements. ï

ê 428/2009 recital 18 (adapted)

ð new

(23)It is desirable to achieve a uniform and consistent application of controls throughout the EU Ö Union Õ in order to promote EU Ö Union Õ and international security and to provide a level playing field for EU exporters. It is therefore appropriate, in accordance with the recommendations of the Thessaloniki Action Plan and the calls of the EU WMD Strategy, to broaden the scope of consultation ð and information exchange ï between Ö the Õ Member States prior to granting an export authorisation ð and the Commission, and to introduce tools to support the development of a common export control network throughout the Union, such as electronic licensing procedures, technical expert groups and the setting up of an enforcement coordination mechanism. While customs authorities share certain information with other customs authorities using risk management system in accordance with Union customs rules, it is also appropriate to ensure close cooperation between licensing and customs authoritiesï . Among the benefits of this approach would be, for example, an assurance that a Member State's essential security interests would not be threatened by an export from another Member State. Greater convergence of conditions implementing national controls on dual-use items not listed in this Regulation, and harmonisation of the conditions of use of the different types of authorisations that may be granted under this Regulation would bring about more uniform and consistent application of controls. Improving the definition of intangible transfers of technology, to include making available controlled technology to persons located outside the EU, would assist the effort to promote security as would further alignment of the modalities for exchanging sensitive information among Member States with those of the international export control regimes, in particular by providing for the possibility of establishing a secure electronic system for sharing information among Member States.

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(24)It is appropriate to clarify that, to the extent that it concerns personal data, processing and exchange of information should comply with the applicable rules on processing and exchange of personal data in accordance with the rules laid down in Directive 95/46/EC of the European Parliament and of the Council 19 and Regulation (EC) No 45/2001 of the European Parliament and of the Council 20 .

(25)Outreach to the private sector and transparency are essential elements for an effective export control regime. It is therefore appropriate to provide for the continued development of guidance to support the application of this Regulation and for the publication of an annual report on the implementation of controls, in line with current practice.

ê 428/2009 recital 13

(26)In order to ensure that this Regulation is properly applied, each Member State should take measures giving the competent authorities appropriate powers.

ê 428/2009 recital 19

ð new

(27)Each Member State should determine effective, proportionate and dissuasive penalties applicable in the event of breach of the provisions of this Regulation,. ð It is also appropriate to introduce provisions to tackle specifically instances of illicit trafficking of dual-use items in order to support effective enforcement of controls. ï

ê 428/2009 recital 11 (adapted)

(28)The Community Ö Union Õ has adopted a body of customs rules, contained in Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code 21  Council Regulation (EU) No 952/2013 of the European Parliament and of the Council 22 (hereinafter the Community Ö Union Õ Customs Code) and Commission Regulation (EEC) No 2454/93 23 implementing Regulation (EEC) No 2913/92 Wwhich lay Ö lays Õ down, among other things, provisions relating to the export and re-export of goods. Nothing in this Regulation constrains any powers under and pursuant to the Community Ö Union Õ Customs Code and its implementing provisions.

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(29)Export controls have an impact on international security and trade with third countries and it is therefore appropriate to develop dialogue and cooperation with third countries in order to support a global level-playing field and enhance international security.

(30)It is appropriate to clarify that this Regulation is without prejudice to the Commission Delegated Decision of 15 September 2015 24 supplementing Decision No 1104/2011/EU of the European Parliament and of the Council, which establishes specific rules for the control of the export of items for the Public Regulated Service (PRS) under the Galileo Programme.

(31)This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union, notably the freedom to conduct business,

ê 428/2009 recital 17

Controls should also be introduced on the provision of brokering services when the broker has been informed by competent national authorities or is aware that such provision might lead to production or delivery of weapons of mass destruction in a third country.

ê 428/2009 (adapted)

ð new

HAVE ADOPTED THIS REGULATION:

CHAPTER I

SUBJECT AND DEFINITIONS

Article 1

This Regulation sets up a Community Ö Union Õ regime for the control of exports, transfer, brokering ð , technical assistance, ï and transit Ö and transfer Õ of dual-use items.

Article 2

For the purposes of this Regulation:

1.‘dual-use items’ shall mean items, including software and technology, which can be used for both civil and military purposes, and shall include:

ð (a) items which can be used for the design, development, production or use of nuclear, chemical and biological weapons and their means of delivery, including ï all goods which can be used for both non-explosive uses and assisting in any way in the manufacture of nuclear weapons or other nuclear explosive devices;

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(b) cyber-surveillance technology which can be used for the commission of serious violations of human rights or international humanitarian law, or can pose a threat to international security or the essential security interests of the Union and its Member States.

ê 428/2009 (adapted)

2.‘export’ shall mean:

(ia) an export procedure within the meaning of Article 161 269 of Regulation (EEC) No 2913/92 (the Community Ö Union Õ Customs Code);

(iib) a re-export within the meaning of Article 182 270(1) of that Ö the Union Customs Õ Code but not including items in transit; and

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(c) outward processing procedure within the meaning of Article 259 of the Union Customs Code; and

ê 428/2009 (adapted)

ð new

(iiid) transmission of software or technology by electronic media, including by fax, telephone, electronic mail or any other electronic means to a destination outside the European Community; it includes making available in an electronic form such software and technology to legal and natural persons and partnerships outside the Ö Union Õ Community. Export also applies to oral transmission of technology when the technology is described over the telephone;

3.‘exporter’ shall mean any natural or legal person or partnership:

(ia) on whose behalf an export ð or re-export ï declaration is made, that is to say the person who, at the time when the declaration is accepted, holds the contract with the consignee in the third country and has the power for determining the sending of the item out of the customs territory of the Ö Union Õ Community. If no export contract has been concluded or if the holder of the contract does not act on its own behalf, the exporter shall mean the person who has the power for determining the sending of the item out of the customs territory of the Ö Union Õ Community;

(iib) which decides to transmit or make available software or technology by electronic media including by fax, telephone, electronic mail or by any other electronic means to a destination ð legal and natural persons and partnerships ï outside the Ö Union Õ Community.

Where the benefit of a right to dispose of the dual-use item belongs to a person ð resident or ï established outside the Ö Union Õ Community pursuant to the contract on which the export is based, the exporter shall be considered to be the contracting party ð resident or ï established in the Community; Ö Union. Õ

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25 'Exporter' shall also mean any natural person carrying the goods to be exported where these goods are contained in the person's personal baggage within the meaning of Article 1(19)(b) of Regulation (EU) 2015/2446 of 28 July 2015.

ê 428/2009 (adapted)

4.‘export declaration’ shall mean the act whereby a person indicates in the prescribed form and manner the wish to place Ö export Õ dual-use items Ö specified in point 1 Õ under an export procedure;

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5. ‘re-export declaration’ shall mean the act within the meaning of Article 5(13) of the Union Customs Code;

ê 428/2009 (adapted)

ð new

56. ‘brokering services’ shall mean:

(a) the negotiation or arrangement of transactions for the purchase, sale or supply of dual-use items from a third country to any other third country, or

(b) the selling or buying of dual-use items that are located in third countries for their transfer to another third country.

For the purposes of this Regulation the sole provision of ancillary services is excluded from this definition. Ancillary services are transportation, financial services, insurance or re-insurance, or general advertising or promotion;

67. ‘broker’ shall mean any natural or legal person or partnership resident or established in a Member State of the Community Ö Union Õ ð , or a legal person or partnership owned or controlled by such person, or another person ï that carries out Ö brokering Õ services defined under point 5 from the Community Ö Union Õ into the territory of a third country;

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8. 'technical assistance' shall mean any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services, including verbal forms of assistance;

9. ‘supplier of technical assistance’ means any natural or legal person or partnership resident or established in a Member State of the Union, or a legal person or partnership owned or controlled by such person, or another person which supplies technical assistance from the Union into the territory of a third country;

ê 428/2009 (adapted)

ð new

   710.‘transit’ shall mean a transport of non-Community Ö non-Union Õ dual-use items entering and passing through the customs territory of the Community Ö Union Õ with a destination outside the Ö Union Õ Community; ð including items: ï

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(a)which are placed under the external transit procedure and only pass through the customs territory of the Union;

(b)which are trans-shipped within, or directly re-exported from, a free zone;

(c)which are in temporary storage and are directly re-exported from a temporary storage facility;

(d)which were brought into the customs territory of the Union on the same vessel or aircraft that will take them out of that territory without unloading;

ê 428/2009

811.‘individual export authorisation’ shall mean an authorisation granted to one specific exporter for one end user or consignee in a third country and covering one or more dual-use items;

ê 428/2009 (adapted)

1012.‘global export authorisation’ shall mean an authorisation granted to one specific exporter in respect of a type or category of dual-use item which may be valid for exports to one or more specified end users and/or in one or more specified third countries;

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13. 'large project authorisation' shall mean a global export authorisation granted to one specific exporter, in respect of a type or category of dual-use item which may be valid for exports to one or more specified end users in one or more specified third countries for the duration of a specified project the realisation of which exceeds one year;

ê 1232/2011 Art. 1.1

ð new

914.‘uUnion general export authorisation’ shall mean an export authorisation for exports to certain countries of destination available to all exporters who respect its conditions and requirements for use as listed in Sections Annexes IIa A to IIf ð J ï of Annex II;

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15. ‘Union general transfer authorisation’ shall mean an authorisation granted for transfers of certain dual-use items between Member States available to all operators who respect its conditions and requirements for use as listed in Section A of Annex IV;

ê 428/2009 (adapted)

è1 1232/2011 Art. 1.2

1116.‘national general export authorisation’ shall mean an export authorisation granted in accordance with Article 9(2) and defined by national legislation in conformity with Article 9 10(6) and Section C of Annex IIIc;

1217.‘customs territory of the European Union’ shall mean the territory within the meaning of Article 3 4 of the Community Ö Union Õ Customs Code;

1318.‘non-Community Ö non-Union Õ dual-use items’ shall mean items that have the status of non-Community Ö non-Union Õ goods within the meaning of Article 4(8) 5(24) of the Community Ö Union Õ Customs Code.;

219. An authorisation shall also be required for the export of dual-use items not listed in Annex I if the purchasing country or country of destination is subject to Ö 'arms embargo' shall mean Õ an arms embargo è1 imposed by a decision or a common position ç adopted by the Council or a decision of the Organisation for Security and Cooperation in Europe (OSCE) or an arms embargo imposed by a binding resolution of the Security Council of the United Nations and if the exporter has been informed by the authorities referred to in paragraph 1 that the items in question are or may be intended, in their entirety or in part, for a military end-use.; 

20. For the purposes of this paragraph, ‘military end-use’ shall mean:

(a) incorporation into military items listed in the military list of Member States;

(b) use of production, test or analytical equipment and components therefor, for the development, production or maintenance of military items listed in the abovementioned list;

(c) use of any unfinished products in a plant for the production of military items listed in the abovementioned list.;

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21. 'cyber-surveillance technology' shall mean items specially designed to enable the covert intrusion into information and telecommunication systems with a view to monitoring, extracting, collecting and analysing data and/or incapacitating or damaging the targeted system. This includes items related to the following technology and equipment:

(a) mobile telecommunication interception equipment;

(b) intrusion software;

(c) monitoring centers;

(d) lawful interception systems and data retention systems;

(e) digital forensics;

22. 'internal compliance programme' shall mean effective, appropriate and proportionate means and procedures, including the development, implementation, and adherence to standardised operational compliance policies, procedures, standards of conduct, and safeguards, developed by exporters to ensure compliance with the provisions and with the terms and conditions of authorisations set out in this Regulation;

23. ‘terrorist act’ shall mean a terrorist act within the meaning of Article 1(3) of Common Position 2001/931/CFSP.

ê 428/2009 (adapted)

CHAPTER II

SCOPE

Article 3

1. An authorisation shall be required for the export of the dual-use items listed in Annex I.

2. Pursuant to Article 4 or Article 8, an authorisation may also be required for the export to all or certain destinations of certain dual-use items not listed in Annex I.

Article 4

1. An authorisation shall be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the competent authorities Ö authority Õ of the Member State in which he is established that the items in question are or may be intended, in their entirety or in part,:

(a) for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices or the development, production, maintenance or storage of missiles capable of delivering such weapons.;

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(b) for a military end-use if the purchasing country or country of destination is subject to an arms embargo;

ê 428/2009 (adapted)

3. (c) An authorisation shall also be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the authorities referred to in paragraph 1 that the items in question are or may be intended, in their entirety or in part for use as parts or components of military items listed in the national military list that have been exported from the territory of that Ö a Õ Member State without authorisation or in violation of an authorisation prescribed by national legislation of that Member State.;

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(d) for use by persons complicit in or responsible for directing or committing serious violations of human rights or international humanitarian law in situations of armed conflict or internal repression in the country of final destination, as identified by relevant public international institutions, or European or national competent authorities, and where there is evidence of the use of this or similar items for directing or implementing such serious violations by the proposed end-user;

(e) for use in connection with acts of terrorism.

ê 428/2009 (adapted)

ð new

42. If an exporterð, under his obligation to exercise due diligence,ï is aware that dual-use items which he proposes to export, not listed in Annex I, are intended, in their entirety or in part, for any of the uses referred to in paragraphs 1, 2 and 3, he must notify the Ö competent authority Õ authorities referred to in paragraph 1, which will decide whether or not it is expedient to make the export concerned subject to authorisation.

5. A Member State may adopt or maintain national legislation imposing an authorisation requirement on the export of dual-use items not listed in Annex I if the exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in paragraph 1.

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3. Authorisations for the export of non-listed items shall be granted for specific items and end-users. The authorisations shall be granted by the competent authority of the Member State where the exporter is resident or established or, in case when the exporter is a person resident or established outside the Union, by the competent authority of the Member State where the items are located. The authorisations shall be valid throughout the Union. The authorisations shall be valid for one year, and may be renewed by the competent authority.

ê 428/2009 (adapted)

ð new

64. A Member State which imposes an authorisation requirement, in application of paragraphs 1 to 5, 2 ð and 3 ï on the export of a dual-use item not listed in Annex I, shall, where appropriate, ð immediately ï inform the other Member States and the Commission ð and provide them with the relevant information, in particular concerning the items and end-users concerned ï . The other Member States shall give all due consideration to this information and shall ð make known within 10 working days any objections they may have to the imposition of such an authorisation requirement. In exceptional cases, any Member State consulted may request an extension of the 10-day period. However, the extension may not exceed 30 working days. ï

ð If no objections are received, the Member States consulted shall be considered to have no objection and shall impose authorisations requirements for all "essentially similar transactions". ï Ö They shall Õ inform their customs administration and other relevant national authorities ð about the authorisations requirements ï .

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If objections are received from any consulted Member State, the requirement for authorisation shall be revoked unless the Member State which imposes the authorisation requirement considers that an export might prejudice its essential security interests. In that case, that Member State may decide to maintain the authorisation requirement. This should be notified to the Commission and the other Member States without delay.

The Commission and the Member States will maintain an updated register of authorisation requirements in place.

ê 428/2009 (adapted)

ð new

75. The provisions of Article 13 15(1), (2) and (5) to (7) shall apply to cases concerning dual-use items not listed in Annex I.

86. This Regulation is without prejudice to the right of Member States to take national measures under Article 11 10 of Regulation (EU) 2015/479 (EEC) No 2603/69.

Article 5

1. An authorisation shall be required for brokering services of dual-use items listed in Annex I if the broker has been informed by the competent authorities Ö authority Õ of the Member State in which he is resident or established that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

2. If a broker is aware that the dual-use items listed in Annex I for which he proposes brokering services are intended, in their entirety or in part, for any of the uses referred to in Article 4(1), he must notify the competent authorities Ö authority Õ which will decide whether or not it is expedient to make such brokering services subject to authorisation.

2. A Member State may extend the application of paragraph 1 to non-listed dual-use items for uses referred to in Article 4(1) and to dual-use items for military end use and destinations referred to in Article 4(2).

3. A Member State may adopt or maintain national legislation imposing an authorisation requirement on the brokering of dual-use items, if the broker has grounds for suspecting that these items are or may be intended for any of the uses referred to in Article 4(1).

4. The provisions of Article 8(2), (3) and (4) shall apply to the national measures referred to in paragraphs 2 and 3 of this Article.

Article 6

1. The transit of non-Community Ö non-Union Õ dual-use items listed in Annex I may be prohibited ð at any time ï by the competent authorities Ö authority Õ of the Member State where the transit occurs ð the items are situated ï if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1). When deciding on such a prohibition the Member States shall take into account their obligations and commitments they have agreed to as parties to international treaties or as members of international non-proliferation regimes.

2. Before deciding whether or not to prohibit a transit a Member State may provide that its Ö the Õ competent authorities Ö authority Õ may impose in individual cases an authorisation requirement for the specific transit of dual-use items listed in Annex I if the items are or may be intended, in their entirety or in part, for uses referred to in Article 4(1).

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The competent authority may impose the authorisation requirement on any of the following:

(a)the declarant within the meaning of Article 5(15) of the Union Customs Code;

(b)the carrier within the meaning of Article 5(40) of the Union Customs Code;

(c)the natural person carrying the goods to be exported where these goods are contained in the person's personal baggage within the meaning of Article 1(19)(b) of Regulation (EU) 2015/2446.

Article 7

1. An authorisation shall be required for the provision, directly or indirectly, of technical assistance related to dual-use items, or related to the provision, manufacture, maintenance and use of dual-use items, if the supplier of technical assistance has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4.

2. If a supplier of technical assistance is aware that the dual-use items for which he proposes to supply technical assistance are intended, in their entirety or in part, for any of the uses referred to in Article 4, he must notify the competent authority which will decide whether or not it is expedient to make such technical assistance subject to authorisation.

ê 428/2009 (adapted)

ð new

3. A Member State may extend the application of paragraph 1 to non-listed dual-use items for uses referred to in Article 4(1) and to dual-use items for military end use and destinations referred to in Article 4(2).

4. The provisions of Article 8(2), (3) and (4) shall apply to the national measures referred to in paragraphs 2 and 3 of this Article.

Article 7

This Regulation does not apply to the supply of services or the transmission of technology if that supply or transmission involves cross-border movement of persons.

Article 8

1. A Member State may prohibit or impose an authorisation requirement on the export of dual-use items not listed in Annex I for reasons of public security or Ö for Õ human rights considerations.

2. Member States shall notify the Commission ð and the other Member States ï of any measures adopted pursuant to paragraph 1 immediately after their adoption and indicate the precise reasons for the measures.

3. Member States shall also immediately notify the Commission ð and the other Member States ï of any modifications to measures adopted pursuant to paragraph 1.

4. The Commission shall publish the measures notified to it pursuant to paragraphs 2 and 3 in the C series of the Official Journal of the European Union.

Article 22 9

1. An authorisation shall be required for intra-Community Ö intra-Union Õ transfers of dual-use items listed in Section B of Annex IV. Items listed in Part 2 of Annex IV shall not be covered by a general authorisation.

2. A Member State may impose an authorisation requirement for the transfer of other dual-use items from its territory to another Member State in cases where at the time of transfer:

the operator ð or the Member State ï knows that the final destination of the items concerned is outside the Ö Union Õ Community, Ö and Õ

export of those items to that final destination is subject to an authorisation requirement pursuant to Articles 3, 4 or 8 in the Member State from which the items are to be transferred, and such export directly from its territory is not authorised by a general authorisation or a global authorisation, Ö and Õ

no processing or working as defined in Article Ö 60(2) Õ 24 of the Community Ö Union Õ Customs Code is to be performed on the items in the Member State to which they are to be transferred.

3. The transfer authorisation must be applied for in the Member State from which the dual-use items are to be transferred.

4. In cases where the subsequent export of the dual-use items has already been accepted, in the consultation procedures set out in Article 11, by the Member State from which the items are to be transferred, the transfer authorisation shall be issued to the operator immediately, unless the circumstances have substantially changed.

53. A Member State which adopts legislation imposing such a requirement shall inform the Commission and the other Member States of the measures it has taken ð without delay ï . The Commission shall publish this information in the C series of the Official Journal of the European Union.

64. The measures pursuant to paragraphs 1 and 2 shall not involve the application of internal frontier controls within the Ö Union Õ Community, but solely controls which are performed as part of the normal control procedures applied in a non-discriminatory fashion throughout the territory of the Ö Union Õ Community.

75. Application of the measures pursuant to paragraphs 1 and 2 may in no case result in transfers from one Member State to another being subject to more restrictive conditions than those imposed for exports of the same items to third countries.

96. A Member State may, by national legislation, require that, for any intra-Community Ö intra-Union Õ transfers from that Member State of items listed in Category 5, Part 2 of Section A of Annex I which are not listed in Section B of Annex IV, additional information concerning those items shall be provided to the competent authorities of that Member State.

107. The relevant commercial documents relating to intra-Community Ö intra-Union Õ transfers of dual-use items listed in Annex I shall indicate clearly that those items are subject to controls if exported from the Ö Union Õ Community. Relevant commercial documents include, in particular, any sales contract, order confirmation, invoice or dispatch note.

CHAPTER III

EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES Ö , TECHNICAL ASSISTANCE AND TRANSFER Õ

Article 9 10

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1. The following authorisations for export are established under this Regulation:

(a) individual export authorisation;

(b) global export authorisation, including global export authorisation for large projects;

(c) national general export authorisation;

ê 1232/2011 Art. 1.3(a) (adapted)

ð new

1. (d) Union General Export Authorisations for certain exports as set out in Sections Annexes IIa A to IIf ð J ï of Annex II are established by this Regulation.

All the authorisations shall be valid throughout the Ö Union Õ Community.

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2. The competent authority of the Member State where the exporter is resident or established shall be responsible for granting individual and global authorisations, for issuing national general export authorisations, as well as for all other decisions regarding the application of this Regulation to exporters resident or established on its territory.

When the exporter is resident or established outside the territory of the Union, the competent authority of the Member State where the items are located shall be responsible for granting individual and global authorisations, as well as for all other decisions regarding the application of this Regulation.

ê 428/2009 (adapted)

ð new

Article 14

1. All individual and global export authorisations and authorisations for brokering services shall be issued ð , whenever possible, ï in writing or by electronic means on forms containing at least all the elements and in the order set out in the models which appear in Section A of Annexes IIIa and IIIb.

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3. Individual export authorisations and global export authorisations shall be valid for one year, and may be renewed by the competent authority. Global export authorisations for large projects shall be valid for a duration to be determined by the competent authority.

ê 428/2009 (adapted)

2. For all other exports for which an authorisation is required under this Regulation, such authorisation shall be granted by the competent authorities of the Member State where the exporter is established. Subject to the restrictions specified in paragraph 4, this authorisation may be an individual, global or general authorisation.

4. Exporters shall supply the competent authorities Ö authority Õ with all relevant information required for their applications for individual and global export authorisation so as to provide complete information to the national competent authorities in particular on the end user, the country of destination and the end use of the item exported.

The authorisation Ö Authorisations Õ may be subject, if appropriate, to an end-use statement.

ò new

Global export authorisations shall be subject to the implementation, by the exporter, of an effective internal compliance programme. The exporter shall also report to the competent authority, at least once a year, on the use of this authorisation; the report shall include at least the following information:

(a) the description of the dual-use items, including the relevant control entry from Section A of Annex I;

(b) the quantity and the value of the dual-use items;

(c) the name and address of the consignee;

(d) where known, the end-use and end-user of the dual-use items.

ê 428/2009 (adapted)

ð new

2. At the request of exporters, global export authorisations that contain quantitative limitations shall be split.

35. Ö The competent authorities of the Õ Member States shall process requests for individual or global authorisations within a period of time to be determined by national law or practice. ð The competent authorities shall provide to the Commission all information on the average times for processing applications for authorisations relevant for the preparation of the annual report referred to in Article 24(2). ï

46. National general export authorisations shall:

ê 1232/2011 Art. 1.3(b)

(a) exclude from their scope items listed in Section K of Annex IIg;

ê 428/2009 (adapted)

è1 1232/2011 Art. 1.3(c)

(b) be defined by national law or practice. They may be used by all exporters, established or resident in the Member State issuing these authorisations, if they meet the requirements set in this Regulation and in the complementary national legislation. They shall be issued in accordance with the indications set out in Section C of Annex IIIc. They shall be issued according to national law or practice;

Member States shall notify the Commission immediately of any national general export authorisations issued or modified. The Commission shall publish these notifications in the C series of the Official Journal of the European Union;

(c) not be used if the exporter has been informed by his authorities Ö the competent authority Õ that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in paragraphs 1 and 3 of Article 4 or in paragraph 2 of Article 4 in a country subject to an arms embargo è1 imposed by a decision or a common position ç adopted by the Council or a decision of the OSCE or an arms embargo imposed by a binding resolution of the Security Council of the United Nations, or if the exporter is aware that the items are intended for the abovementioned uses.

5. Member States shall maintain or introduce in their respective national legislation the possibility of granting a global export authorisation.

ê 1232/2011 Art. 1.3(a)

7. The competent authorities of the Member State where the exporter is established can prohibit the exporter from using these authorisations if there is reasonable suspicion about his ability to comply with such authorisation or with a provision of the export control legislation.

The competent authorities of the Member States shall exchange information on exporters deprived of the right to use a Union General Export Authorisation, unless they determine that the exporter will not attempt to export dual-use items through another Member State. The system referred to in Article 19(4) 20(3) shall be used for this purpose.

ê 428/2009 (adapted)

ð new

Article 10 11

1. Authorisations for brokering services ð and technical assistance ï under this Regulation shall be granted by the competent authorities Ö authority Õ of the Member State where the broker ð or the supplier of technical assistance ï is resident or established.

ò new

Where the broker or the supplier of technical assistance is not resident or established on the territory of the Union, authorisations for brokering services and technical assistance under this Regulation shall be granted, alternatively, by the competent authority of the Member State where the parent company of the broker or supplier of technical assistance is established, or from where the brokering services or technical assistance will be supplied.

ê 428/2009 (adapted)

ð new

2. These aAuthorisations Ö for brokering services Õ ð and technical assistance ï shall be granted for a set quantity of specific items moving between two or more third countries. The location of the items in the originating third country, the end-user and its exact location must be clearly identified. The authorisations shall be valid throughout the Ö Union Õ Community.

23. Brokers ð and suppliers of technical assistance ï shall supply the competent authorities Ö authority Õ with all relevant information required for their application for authorisation under this Regulation for brokering services, in particular details of the location of the dual-use items in the originating third country, a clear description of the items and the quantity involved, third parties involved in the transaction, the third country of destination, the end-user in that country and its exact location.

34. Ö The competent authorities of the Õ Member States shall process requests for authorisations for brokering services ð and technical assistance ï within a period of time to be determined by national law or practice ð and under the conditions as set out in Article 10(5) ï .

ò new

5. All authorisations for brokering services and technical assistance shall be issued, whenever possible, by electronic means on forms containing at least all the elements and in the order set out in the models which appear in Section B of Annex III.

Article 12

A Union general transfer authorisation as set out in Section A of Annex IV is established by this Regulation for transfers between Member States of dual-use items listed in Section B of Annex IV.

ê 428/2009 (adapted)

è1 1232/2011 Art. 1.4

è2 1232/2011 Art. 1.5

ð new

Article 11 13

1. If the dual-use items in respect of which an application has been made for an individual export authorisation to a destination not listed in Section A of è1 Annex IIa ç or to any destination in the case of dual-use items listed in Section B of Annex IV are or will be located in one or more Member States other than the one where the application has been made, that fact shall be indicated in the application. The competent authorities Ö authority Õ of the Member State to which the application for authorisation has been made shall immediately consult the competent authorities of the Member State or States in question and provide the relevant information. The Member State or States consulted shall make known within 10 working days any objections it or they may have to the granting of such an authorisation, which shall bind the Member State in which the application has been made.

If no objections are received within 10 working days, the Member State or States consulted shall be regarded as having no objection.

In exceptional cases, any Member State consulted may request the extension of the 10-day period. However, the extension may not exceed 30 working days.

2. If an export might prejudice its essential security interests, a Member State may request another Member State not to grant an export authorisation or, if such authorisation has been granted, request its annulment, suspension, modification or revocation. The Member State receiving such a request shall immediately engage in consultations of a non-binding nature with the requesting Member State, to be terminated within 10 working days. In case the requested Member State decides to grant the authorisation, this should be notified to the Commission and other Member States using the electronic system mentioned in Article 13(6) 20(3).

Article 12 14

1. In deciding whether or not to grant an individual or global export authorisation or to grant an authorisation for brokering services ð or technical assistance ï under this Regulation, ð or to prohibit a transit, ï Ö the competent authorities of Õ the Member States shall take into account all relevant considerations including ð the following criteria ï :

(a) ð Union and Member States’ international obligations and commitments, in particular ï the obligations and commitments they have each accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties;, Ö and Õ (b) their obligations under sanctions imposed by è2 a decision or a common position ç adopted by the Council or by a decision of the OSCE or by a binding resolution of the Security Council of the United Nations;

ò new

(b) respect for human rights in the country of final destination as well as respect by that country of international humanitarian law;

(c) the internal situation in the country of final destination – competent authorities will not authorise exports that would provoke or prolong armed conflicts or aggravate existing tensions or conflicts in the country of final destination;

(d) preservation of regional peace, security and stability;

ê 428/2009

ð new

(ce) considerations of national foreign and security policy, including ð security of Member States and of territories whose external relations are the responsibility of a Member State, as well as that of friendly and allied countries ï those covered by Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment 26 ;

(df) considerations about intended end use and the risk of diversion ð , including existence of a risk that the dual-use items will be diverted or re-exported under undesirable conditions ï .

2. In addition to the criteria set in paragraph 1, when assessing an application for a global export authorisation Member States shall take into consideration the application by the exporter of proportionate and adequate means and procedures to ensure compliance with the provisions and objectives of this Regulation and with the terms and conditions of the authorisation.

ò new

2. The Commission and the Council shall make available guidance and/or recommendations to ensure common risk assessments by the competent authorities of the Member States for the implementation of those criteria.

ê 428/2009 (adapted)

ð new

Article 13 15

1. The competent authorities of the Member States, acting in accordance with this Regulation, may refuse to grant an export authorisation and may annul, suspend, modify or revoke an export authorisation which they have already granted. Where they refuse, annul, suspend, substantially limit or revoke an export authorisation or when they have determined that the intended export is not to be authorised, they shall notify the competent authorities of the other Member States and the Commission thereof and share the relevant information with them. In case the competent authorities Ö authority Õ of a Member State have Ö has Õ suspended an export authorisation, the final assessment shall be communicated to the Ö competent authorities of the other Õ Member States and the Commission at the end of the period of suspension.

2. The competent authorities of Member States shall review denials of authorisations notified under paragraph 1 within three years of their notification and revoke them, amend them or renew them. The competent authorities of the Member States will notify the results of the review to the competent authorities of the other Member States and the Commission as soon as possible. Denials which are not revoked shall remain valid ð and shall be reviewed within three years of their renewal ï .

3. The competent authorities of the Member States shall notify the Member States and the Commission of their decisions to prohibit a transit of dual-use items listed in Annex I taken under Article 6 without delay. These notifications will contain all relevant information including the classification of the item, its technical parameters, the country of destination and the end user.

4. Paragraphs 1 and 2 shall also apply to authorisations for brokering services ð and technical assistance ï .

5. Before the competent authorities Ö authority Õ of a Member State, acting under this Regulation, grant Ö grants Õ an authorisation for export or brokering services ð or technical assistance, ï or decide Ö decides Õ on a transit, they Ö it Õ shall examine all valid denials or decisions to prohibit a transit of dual-use items listed in Annex I taken under this Regulation to ascertain whether an authorisation or a transit has been denied by the competent authorities of another Member State or States for an essentially identical transaction (meaning an item with essentially identical parameters or technical characteristics to the same end user or consignee). It They shall first consult the competent authorities of the Member State or States which issued such denial(s) or decisions to prohibit the transit as provided for in paragraphs 1 and 3. If following such consultation the competent authorities Ö authority Õ of the Member State decide Ö decides Õ to grant an authorisation or allow the transit, they Ö it Õ shall notify the competent authorities of the other Member States and the Commission, providing all relevant information to explain the decision.

ê 1232/2011 Art. 1.6

6. All notifications required pursuant to this Article shall be made via secure electronic means including the system referred to in Article 19(4) 20(3).

ê 428/2009 (adapted)

7. All information shared in accordance with the provisions of this Article shall be in compliance with the provisions of Article 19 20(3), (4) and (64) concerning the confidentiality of such information.

CHAPTER IV

UPDATING Ö AMENDMENT Õ OF LIST Ö LISTS Õ OF DUAL-USE ITEMS Ö AND DESTINATIONS Õ

Article 15 16

ê 599/2014 Art. 1.3

1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

ò new

2. The Commission shall be empowered to adopt delegated acts in order to amend the lists of dual-use items set out in Annex I and Section B of Annex IV, as follows:

ê 428/2009 (adapted)

ð new

1. (a) Tthe list of dual-use items set out in Section A of Annex I shall be updated Ö amended Õ in conformity with the relevant obligations and commitments, and any modification thereof, that Member States ð and the Union ï have accepted as members of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties. Ö Where the amendment of Section A of Annex I concerns dual-use items which are also listed in Annexes II Õ ð and IV, Section B, ï Ö those Annexes shall be amended accordingly. Õ

ò new

(b) The list of dual-use items set out in Section B of Annex I may be amended if this is necessary due to risks that the export of such items may pose as regards the commission of serious violations of human rights or international humanitarian law or the essential security interests of the Union and its Member States.

ê 428/2009 (adapted)

2. (c) Ö The list of dual-use items set out in Section B of Õ Annex IV, which is a subset of Section A of Annex I, shall be updated Ö amended Õ with regard to Article 30 Ö 36 Õ of the Treaty Ö on the Functioning of the European Union Õ establishing the European Community, namely the public policy and public security interests of the Member States.

ê 599/2014 Art. 1.2 (adapted)

3. The Commission shall be empowered to adopt delegated acts in accordance with Article 23a concerning updating the list of dual-use items set out in Annex I. The updating of Annex I shall be performed within the scope set out in paragraph 1 of this Article. Where the updating of Annex I concerns dual-use items which are also listed in Annexes IIa to IIg or IV, those Annexes shall be amended accordingly.

ê 599/2014 Art. 1.1 (adapted)

ð new

3. In order to ensure that only low-risk transactions are covered by the Union General Export Authorisations included in Annexes IIa to IIf, tThe Commission shall be empowered to adopt delegated acts in accordance with Article 23a to Ö amend Annex II Õ ð by adding or ï remove Ö removing Õ ð items or ï destinations from the scope of those Union Ggeneral Eexport Aauthorisations Ö set out in Annex II Õ ð in consideration of the criteria set out in Article 14 ï , if such destinations become subject to an arms embargo as referred to in Article 4(2). Where, in cases of such arms embargoes, imperative grounds of urgency require a removal of particular destinations from the scope of a Union Ggeneral Eexport Aauthorisation, the procedure provided for in Article 23b 17 shall apply to delegated acts adopted pursuant to this paragraph.

ê 599/2014 Art. 1.3 (adapted)

ð new

Article 23a

24. The power to adopt delegated acts referred to in this Article 9(1) and Article 15(3) shall be conferred on the Commission for a period of five years from 2 July 2014 ð the entry into force of this Regulation ï . The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.

35. The delegation of power referred to in this Article 9(1) and Article 15(3) may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

Ö 6. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Inter-Institutional Agreement on Better Law-Making of 13 April 2016. Õ

47. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

58. A delegated act adopted pursuant to this Article 9(1) and Article 15(3) shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.

Article 23b 17

1. Delegated acts adopted under this Article shall enter into force without delay and shall apply as long as no objection is expressed in accordance with paragraph 2. The notification of a delegated act to the European Parliament and to the Council shall state the reasons for the use of the urgency procedure.

2. Either the European Parliament or the Council may object to a delegated act in accordance with the procedure referred to in this Article 23a(5). In such a case, the Commission shall repeal the act without delay following the notification of the decision to object by the European Parliament or by the Council.

ê 428/2009 (adapted)

ð new

CHAPTER V

CUSTOMS PROCEDURES

Article 16 18

1. When completing the formalities for the export of dual-use items at the customs office responsible for handling the export declaration, the exporter shall furnish proof that any necessary export authorisation has been obtained.

2. A translation of any documents furnished as proof into an official language of the Member State where the export declaration is presented may be required of the exporter.

3. Without prejudice to any powers conferred on it under, and pursuant to, the Community Ö Union Õ Customs Code, a Member State may also, for a period not exceeding the periods referred to in paragraph 4, suspend the process of export from its territory, or, if necessary, otherwise prevent the dual-use items listed in Annex I which are covered by a valid export authorisation from leaving the Community Ö Union Õ via its territory, where it has grounds for suspicion that:

(a) relevant information was not taken into account when the authorisation was granted, or

(b) circumstances have materially changed since the grant of the authorisation.

4. In the case referred to in paragraph 3, the competent authorities Ö authority Õ of the Member State which granted the export authorisation shall be consulted forthwith in order that they may take action pursuant to Article 13 15(1). If such competent authorities decide Ö authority decides Õ to maintain the authorisation, they Ö it Õ shall reply within 10 working days, which, at their Ö its Õ request, may be extended to 30 working days in exceptional circumstances. In such case, or if no reply is received within 10 or 30 days, as the case may be, the dual-use items shall be released immediately. The Ö competent authority of the Õ Member State which granted the authorisation shall inform Ö the competent authorities of Õ the other Member States and the Commission.

ð 5. The Commission, in cooperation with the Member States, shall develop a guidance to support interagency cooperation between licensing and customs authorities. ï

Article 17 19

1. Member States may provide that customs formalities for the export of dual-use items may be completed only at customs offices empowered to that end.

2. Member States availing themselves of the option set out in paragraph 1 shall inform the Commission of the duly empowered customs offices. The Commission shall publish the information in the C series of the Official Journal of the European Union.

Article 18

The provisions of Articles 843 and 912a to 912g of Regulation (EEC) No 2454/93 shall apply to the restrictions relating to the export, re-export and exit from the customs territory of dual-use items for the export of which an authorisation is required under this Regulation.

CHAPTER VI

ADMINISTRATIVE COOPERATION Ö , IMPLEMENTATION AND ENFORCEMENT Õ

Article 19 20

ê 1232/2011 Art. 1.9 (adapted)

ð new

1. Each Member State Ö States Õ shall inform the Commission ð without delay ï of the laws, regulations and administrative provisions adopted in implementation of this Regulation, including: the measures referred to in Article 24. The Commission shall forward the information to the other Member States.

ê 428/2009 (adapted)

ð new

6. (a) Member States shall supply the Commission with a list of the authorities empowered to:

(a) grant export authorisations for dual-use items;

4. Member States shall supply the Commission with a list of the authorities empowered to grant authorisations under this Regulation for the provision of brokering services ð and technical assistance ï .; The Commission shall publish the list of these authorities in the C series of the Official Journal of the European Union.

(b) decide to prohibit the transit of non-Community Ö non-Union Õ dual-use items under this Regulation.;

Ö (b) the measures referred to in Article 22. Õ

The Commission Ö shall forward the information to the other Member States and Õ shall publish the list of these authorities Ö information Õ in the C series of the Official Journal of the European Union.

12. Member States, in cooperation with the Commission, shall take all appropriate measures to establish direct cooperation and exchange of information between Ö the Õ competent authorities, in particular to eliminate the risk that possible disparities in the application of export controls to dual-use items may lead to a deflection of trade, which could create difficulties for one or more Member States.

2. Member States shall take all appropriate measures to establish direct cooperation and exchange of information between competent authorities with a view to enhance the efficiency of the Community Ö Union Õ export control regime ð and to ensure the consistent and effective implementation and enforcement of control throughout the EU ï . Such information may ð shall ï include:

ò new

(a) information regarding the application of controls, including licensing data (number, value and types of licences and related destinations, number of users of general and global authorisations, number of operators with ICPs, processing times, volume and value of trade subject to intra-EU transfers etc), and, where available, data on exports of dual-use items carried out in other Member States;

ê 428/2009 (adapted)

è1 1232/2011 Art. 1.7(a)

ð new

(ab) ð information regarding the enforcement of controls, including ï details of exporters deprived, by national sanctions, of the right to use the national Ö or Union Õ general export authorisations or è1 Union General Export Authorisations ç ð , reports of violations, seizures and the application of other penalties ï ;

(bc) data on sensitive end users, actors involved in suspicious procurement activities, and, where available, routes taken.

ê 428/2009

3. Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters 27 , and in particular the provisions on the confidentiality of information, shall apply mutatis mutandis, without prejudice to Article 23 of this Regulation.

ê 1232/2011 Art. 1.7(b) (adapted)

ð new

43. A secure and encrypted system for the exchange of information between Member States and, where appropriate, the Commission shall ð be developed ï set up by the Commission, in consultation with the Dual-Use Coordination Group set up pursuant to Article 23 21, ð to support direct cooperation and exchange of information between the competent authorities of the Member States and the Commissionï. ð The system shall be connected, where appropriate, to the electronic licensing systems of the competent authorities of the Member States. ï The European Parliament shall be informed about the system’s budget, development, provisional and final set-up and functioning, and network costs.

ê 428/2009

ð new

64. The processing of personal data shall be in accordance with the rules laid down in Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data 28 and Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data 29 . ð Personal data shall be used by the competent authorities of the Member States and the Commission only for the purpose of implementation and enforcement of this Regulation and in light of its objectives. These data shall be retained for the duration of the measures adopted by the competent authorities of the Member States pursuant to this Regulation and their renewal or amendment. ï

Article 23 21

1. A Dual-Use Coordination Group chaired by a representative of the Commission shall be set up. Each Member State shall appoint a representative to this Group. It shall examine any question concerning the application of this Regulation which may be raised either by the chair or by a representative of a Member State.

2. The Chair of the Dual-Use Coordination Group or the Coordination Group shall, whenever it considers it to be necessary, consult exporters, brokers and other relevant stakeholders concerned by this Regulation.

ò new

3. The Dual-Use Coordination Group shall, where appropriate, set up technical expert groups composed of experts from Member States to examine specific issues relating to the implementation of controls, including issues relating to the updating of the Union control lists in Annex I. Technical expert groups shall, where appropriate, consult exporters, brokers and other relevant stakeholders concerned by this Regulation.

ê 428/2009

Article 24 22

1. Each Member State shall take appropriate measures to ensure proper enforcement of all the provisions of this Regulation. In particular, it shall lay down the penalties applicable to infringements of the provisions of this Regulation or of those adopted for its implementation. Those penalties must be effective, proportionate and dissuasive.

ò new

2. The Dual-Use Coordination Group shall set up an Enforcement Coordination Mechanism with a view to establish direct cooperation and exchange of information between competent authorities and enforcement agencies.

Article 23

It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the measures referred to in Article 3, 4, 5, 6, and 7.

ê 428/2009 (adapted)

ð new

CHAPTER VII

Ö TRANSPARENCY, OUTREACH, MONITORING, EVALUATION Õ

Article 24

51. The provision of guidance to exporters and brokers will be the responsibility of the Member States where they are resident or established. The Commission and the Council may ð shall, where appropriate, ï also make available guidance and/or recommendations for best practices for the subjects referred to in this Regulation ð to ensure the efficiency of the Union export control regime and the consistency of its implementation ï . ð The competent authorities of the Member States shall also, where appropriate, provide complementary guidance for exporters, brokers and transit operators resident or established in that Member State. ï

ê 1232/2011 Art. 1.8 (adapted)

ð new

32. The Commission shall submit an annual report to the European Parliament ð and the Council on the implementation and enforcement of controls in the Union and ï on the activities, examinations and consultations of the Dual-Use Coordination Group, which shall be subject to Article 4 of Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents 30 .

ê 1232/2011 Art. 1.9

ð new

2. Every 3 years the Commission shall review the implementation of this Regulation and present a comprehensive implementation and impact assessment report to the European Parliament and the Council, which may include proposals for its amendment. Member States shall provide to the Commission all appropriate information for the preparation of the report. ð This annual report shall be public. ï

ò new

3. Between five and seven years after the date of application of this Regulation, the Commission shall carry out an evaluation of this Regulation and report on the main findings to the European Parliament, the Council and the European Economic and Social Committee.

Member States shall be involved in this exercise and shall provide the Commission with necessary information for the preparation of that report.

ê 428/2009 (adapted)

ð new

CHAPTER VII VIII

CONTROL MEASURES

Article 20 25

1. Exporters of dual-use items shall keep detailed registers or records of their exports, in accordance with the national law or practice in force in the respective Member States. Such registers or records shall include in particular commercial documents such as invoices, manifests and transport and other dispatch documents containing sufficient information to allow the following to be identified:

(a) the description of the dual-use items;

(b) the quantity of the dual-use items;

(c) the name and address of the exporter and of the consignee;

(d) where known, the end-use and end-user of the dual-use items.

2. In accordance with national law or practice in force in the respective Member States, brokers ð and suppliers of technical assistance ï shall keep registers or records for brokering ð or technical assistance ï services which fall under the scope of Article 5 so as to be able to prove, on request, the description of the dual-use items that were the subject of brokering ð or technical assistance ï services, the period during which the items were the subject of such services and their destination, and the countries concerned by those brokering services.

3. The registers or records and the documents referred to in paragraphs 1 and 2 shall be kept for at least three years from the end of the calendar year in which the export took place or the brokering ð or technical assistance ï services were provided. They shall be produced, on request, to the competent authorities Ö authority Õ of the Member State in which the exporter is established or the broker is established or resident.

84. Documents and records of intra-Community Ö intra-Union Õ transfers of dual-use items listed in Annex I shall be kept for at least three years from the end of the calendar year in which a transfer took place and shall be produced to the competent authorities Ö authority Õ of the Member State from which these items were transferred on request.

Article 21 26

In order to ensure that this Regulation is properly applied, each Member State shall take whatever measures are needed to permit its competent authorities:

(a) to gather information on any order or transaction involving dual-use items;

(b) to establish that the export control measures are being properly applied, which may include in particular the power to enter the premises of persons with an interest in an export transaction or brokers involved in the supply of brokering services under circumstances set out in Article 5 ð , or suppliers of technical assistance under the circumstances set out in Article 7 ï .

ê 1232/2011 Art. 1.10 (adapted)

CHAPTER IX

Ö COOPERATION WITH THIRD COUNTRIES Õ

Article 25a 27

ò new

1. The Commission and the competent authorities of the Member States shall, where appropriate, maintain regular and reciprocal exchange of information with third countries.

ê 1232/2011 Art. 1.10

2. Without prejudice to the provisions on mutual administrative assistance agreements or protocols in customs matters concluded between the Union and third countries, the Council may authorise the Commission to negotiate with third countries agreements providing for the mutual recognition of export controls of dual-use items covered by this Regulation and in particular:

(a) to eliminate authorisation requirements for re-exports within the territory of the Union.;

ò new

(b) to enable the post-shipment verification of exports in third countries;

(c) to develop end-user verification programmes for trusted end-users in third countries.

ê 1232/2011 Art. 1.10

These negotiations shall be conducted in accordance with the procedures established in Article 207(3) of the Treaty on the Functioning of the European Union and the Treaty establishing the European Atomic Energy Community, as appropriate.

ê 428/2009

CHAPTER VIII X

OTHER PROVISIONS

ê 1232/2011 Art. 1.9

Article 25

3. Special sections of the report shall deal with:

(a) the Dual-Use Coordination Group and its activities. Information that the Commission provides on the Dual-Use Coordination Group’s examinations and consultations shall be treated as confidential pursuant to Article 4 of Regulation (EC) No 1049/2001. Information shall in any case be considered to be confidential if its disclosure is likely to have a significantly adverse effect upon the supplier or the source of such information;

(b) the implementation of Article 19(4), and shall report on the stage reached in the set-up of the secure and encrypted system for the exchange of information between Member States and the Commission;

(c) the implementation of Article 15(1);

(d) the implementation of Article 15(2);

(e) comprehensive information provided on the measures taken by the Member States pursuant to Article 24 and notified to the Commission under paragraph 1 of this Article.

4. No later than 31 December 2013, the Commission shall submit to the European Parliament and to the Council a report evaluating the implementation of this Regulation with a specific focus on the implementation of Annex IIb, Union General Export Authorisation No EU002, accompanied by, if appropriate, a legislative proposal to amend this Regulation, in particular as regards the issue of low-value shipments.

ê 428/2009 (adapted)

ð new

Article 26 28

This Regulation does not affect: ð is without prejudice to the Commission Delegated Decision of 15 September 2015 supplementing Decision No 1104/2011/EU of the European Parliament and of the Council. ï

the application of Article 296 of the Treaty establishing the European Community,

the application of the Treaty establishing the European Atomic Energy Community.

Article 27 29

Regulation (EC) No 1334/2000 Ö 428/2009 Õ is repealed with effect from 27 August 2009 Ö […] Õ .

However, for export authorisation applications made before 27 August 2009 Ö […] Õ , the relevant provisions of Regulation (EC) No 1334/2000 Ö 428/2009 Õ shall continue to apply.

References to the repealed Regulation shall be construed as references to this Regulation and shall be read in accordance with the correlation table in Annex VI.

Article 28 30

This Regulation shall enter into force 90 days after the date Ö on the ninetieth day following that Õ of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels,

For the European Parliament    For the Council

The President    The President

(1) OJ L134, 29.5.2009, p.1
(2) COM(2013) 710 final, 16.10.2013.
(3) COM(2014) 244 final, 24.4.2014.
(4) The European Security Strategy was adopted by the European Council on 12 December 2003.
(5) Council Conclusions on ensuring the continued pursuit of an effective EU policy on the new challenges presented by the proliferation of weapons of mass destruction (WMD), 21 October 2013.
(6) OJ L 164, 22.06.2002, p. 3.
(7) JOIN(2016)18 of 6 April 2016.
(8) COM(2015) 497 of 14 October 2015.
(9) JOIN(2015)16 of 28 April 2015.
(10) Foreign Affairs Council, 12 May 2014.
(11) COM(2011)393, 30.6.2011.
(12) SWD(2013)7, 17.1.2013.
(13) COM(2013)710 final, 16.10.2013.
(14) http://trade.ec.europa.eu/consultations/index.cfm?consul_id=190 .
(15) OJ L 159, 30.6.2000, p. 1.
(16) Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (OJ L 134, 29.5.2009, p. 1).
(17) OJ L 324, 27.12.1969, p. 25.
(18) Regulation (EU) 2015/479 of the European Parliament and of the Council on common rules for exports (OJ L83, 27.03.2015, p. 34).
(19) Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (OJ L 281, 23.11.1995, p. 31).
(20) Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1).
(21) OJ L 302, 19.10.1992, p. 1.
(22) Council Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code (OJ L 269, 10.10.2013, p. 1).
(23) OJ L 253, 11.10.1993, p. 1.
(24) C(2015)6123 final.
(25) OJ L 343, 29.12.2015, p. 1
(26) OJ L 335, 13.12.2008, p. 99.
(27) OJ L 82, 22.3.1997, p. 1.
(28) OJ L 281, 23.11.1995, p. 31.
(29) OJ L 8, 12.1.2001, p. 1.
(30) OJ L 145, 31.5.2001, p. 43.
Top

Brussels, 28.9.2016

COM(2016) 616 final

ANNEXES

to the

Proposal for a Regulation of the European Parliament and of the Council

setting up a Union regime for the control of exports, transfer, brokering, technical assistance and transit of dual-use items (recast)

{SWD(2016) 314 final}
{SWD(2016) 315 final}


ê 2420/2015 Art. 1.1 and Annex I

è1 2420/2015 Art. 1.1 and Annex I amended by Corrigendum, OJ L 060, 5.3.2016, p. 93

ANNEX I

A. LIST OF DUAL-USE ITEMS (List referred to in Article 3 of this Regulation)

This list implements internationally agreed dual-use controls including the Wassenaar Arrangement, the Missile Technology Control Regime (MTCR), the Nuclear Suppliers' Group (NSG), the Australia Group and the Chemical Weapons Convention (CWC).

CONTENTS

Notes

Acronyms and abbreviations

Definitions

Category 0 Nuclear materials, facilities and equipment

Category 1 Special materials and related equipment

Category 2 Materials processing

Category 3 Electronics

Category 4 Computers

Category 5 Telecommunications and "information security"

Category 6 Sensors and lasers

Category 7 Navigation and avionics

Category 8 Marine

Category 9 Aerospace and propulsion

GENERAL NOTES TO ANNEX I

1.For control of goods which are designed or modified for military use, see the relevant list(s) of controls on military goods maintained by individual Member States. References in this Annex that state "SEE ALSO MILITARY GOODS CONTROLS" refer to the same lists.

2.The object of the controls contained in this Annex should not be defeated by the export of any non-controlled goods (including plant) containing one or more controlled components when the controlled component or components are the principal element of the goods and can feasibly be removed or used for other purposes.

N.B.:In judging whether the controlled component or components are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the controlled component or components as the principal element of the goods being procured.

3.Goods specified in this Annex include both new and used goods.

4.In some instances chemicals are listed by name and CAS number. The list applies to chemicals of the same structural formula (including hydrates) regardless of name or CAS number. CAS numbers are shown to assist in identifying a particular chemical or mixture, irrespective of nomenclature. CAS numbers cannot be used as unique identifiers because some forms of the listed chemical have different CAS numbers, and mixtures containing a listed chemical may also have different CAS numbers.

NUCLEAR TECHNOLOGY NOTE (NTN)

(To be read in conjunction with section E of Category 0.)

The "technology" directly associated with any goods controlled in Category 0 is controlled according to the provisions of Category 0.

"Technology" for the "development", "production" or "use" of goods under control remains under control even when applicable to non-controlled goods.

The approval of goods for export also authorizes the export to the same end-user of the minimum "technology" required for the installation, operation, maintenance and repair of the goods.

Controls on "technology" transfer do not apply to information "in the public domain" or to "basic scientific research".

GENERAL TECHNOLOGY NOTE (GTN)

(To be read in conjunction with section E of Categories 1 to 9.)

The export of "technology" which is "required" for the "development", "production" or "use" of goods controlled in Categories 1 to 9, is controlled according to the provisions of Categories 1 to 9.

"Technology" "required" for the "development", "production" or "use" of goods under control remains under control even when applicable to non-controlled goods.

Controls do not apply to that "technology" which is the minimum necessary for the installation, operation, maintenance (checking) or repair of those goods which are not controlled or whose export has been authorised.

N.B.:This does not release such "technology" specified in 1E002.e., 1E002.f., 8E002.a. and 8E002.b.

Controls on "technology" transfer do not apply to information "in the public domain", to "basic scientific research" or to the minimum necessary information for patent applications.

GENERAL SOFTWARE NOTE (GSN)

(This note overrides any control within section D of Categories 0 to 9.)

Categories 0 to 9 of this list do not control "software" which is any of the following:

a.Generally available to the public by being:

1.Sold from stock at retail selling points, without restriction, by means of:

a.Over-the-counter transactions;

b.Mail order transactions;

c.Electronic transactions; or

d.Telephone call transactions; and

2.Designed for installation by the user without further substantial support by the supplier;

N.B.:Entry a. of the General Software Note does not release "software" specified in Category 5 - Part 2 ("Information Security").

b."In the public domain"; or

c.The minimum necessary "object code" for the installation, operation, maintenance (checking) or repair of those items whose export has been authorised.

N.B.:Entry c. of the General Software Note does not release "software" specified in Category 5 - Part 2 ("Information Security").

EDITORIAL PRACTICES IN THE OFFICIAL JOURNAL OF THE EUROPEAN UNION

In accordance with the rules set out in paragraph 6.5 on page 108 of the Interinstitutional style guide (2015 edition), for texts in English published in the Official Journal of the European Union:

a comma is used to separate the whole number from decimals,

whole numbers are presented in series of three, each series being separated by a thin space. The text reproduced in this annex follows the above-described practice.

ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX

An acronym or abbreviation, when used as a defined term, will be found in 'Definitions of Terms used in this Annex'.

Acronym or meaning abbreviation

ABEC

Annular Bearing Engineers Committee

AGMA

American Gear Manufacturers' Association

AHRS

attitude and heading reference systems

AISI

American Iron and Steel Institute

ALU

arithmetic logic unit

ANSI

American National Standards Institute

ASTM

the American Society for Testing and Materials

ATC

air traffic control

AVLIS

atomic vapour laser isotope separation

CAD

computer-aided-design

CAS

Chemical Abstracts Service

CDU

control and display unit

CEP

circular error probable

CNTD

controlled nucleation thermal deposition

CPU

Central processing unit

CVD

chemical vapour deposition

CW

chemical warfare

CW (for lasers)

continuous wave

DME

distance measuring equipment

DS

directionally solidified

EB-PVD

electron beam physical vapour deposition

EBU

European Broadcasting Union

ECM

electro-chemical machining

ECR

electron cyclotron resonance

EDM

electrical discharge machines

EEPROMS

electrically erasable programmable read only memory

EIA

Electronic Industries Association

EMC

electromagnetic compatibility

ETSI

European Telecommunications Standards Institute

FFT

Fast Fourier Transform

GLONASS

global navigation satellite system

GPS

global positioning system

HBT

hetero-bipolar transistors

HDDR

high density digital recording

HEMT

high electron mobility transistors

ICAO

International Civil Aviation Organisation

IEC

International Electro-technical Commission

IEEE

Institute of Electrical and Electronic Engineers

IFOV

instantaneous-field-of-view

ILS

instrument landing system

IRIG

inter-range instrumentation group

ISA

international standard atmosphere

ISAR

inverse synthetic aperture radar

ISO

International Organization for Standardization

ITU

International Telecommunication Union

JIS

Japanese Industrial Standard

JT

Joule-Thomson

LIDAR

light detection and ranging

LRU

line replaceable unit

MAC

message authentication code

Mach

ratio of speed of an object to speed of sound (after Ernst Mach)

MLIS

molecular laser isotopic separation

MLS

microwave landing systems

MOCVD

metal organic chemical vapour deposition

MRI

magnetic resonance imaging

MTBF

mean-time-between-failures

Mtops

million theoretical operations per second

MTTF

mean-time-to-failure

NBC

Nuclear, Biological and Chemical

NDT

non-destructive test

PAR

precision approach radar

PIN

personal identification number

ppm

parts per million

PSD

power spectral density

QAM

quadrature-amplitude-modulation

RF

radio frequency

SACMA

Suppliers of Advanced Composite Materials Association

SAR

synthetic aperture radar

SC

single crystal

SLAR

sidelooking airborne radar

SMPTE

Society of Motion Picture and Television Engineers

SRA

shop replaceable assembly

SRAM

static random access memory

SRM

SACMA Recommended Methods

SSB

single sideband

SSR

secondary surveillance radar

TCSEC

trusted computer system evaluation criteria

TIR

total indicated reading

UV

Ultraviolet

UTS

ultimate tensile strength

VOR

very high frequency omni-directional range

YAG

yttrium/aluminium garnet

DEFINITIONS OF TERMS USED IN THIS ANNEX

Definitions of terms between 'single quotation marks' are given in a Technical Note to the relevant item.

Definitions of terms between "double quotation marks" are as follows:

N.B.:Category references are given in brackets after the defined term.

"Accuracy" (2 6), usually measured in terms of inaccuracy, means the maximum deviation, positive or negative, of an indicated value from an accepted standard or true value.

"Active flight control systems" (7) are systems that function to prevent undesirable "aircraft" and missile motions or structural loads by autonomously processing outputs from multiple sensors and then providing necessary preventive commands to effect automatic control.

"Active pixel" (6 8) is a minimum (single) element of the solid state array which has a photoelectric transfer function when exposed to light (electromagnetic) radiation.

"Adapted for use in war" (1) means any modification or selection (such as altering purity, shelf life, virulence, dissemination characteristics, or resistance to UV radiation) designed to increase the effectiveness in producing casualties in humans or animals, degrading equipment or damaging crops or the environment.

"Adjusted Peak Performance" (4) is an adjusted peak rate at which "digital computers" perform 64-bit or larger floating point additions and multiplications, and is expressed in Weighted TeraFLOPS (WT) with units of 1012 adjusted floating point operations per second.

N.B.:See Category 4, Technical Note.

"Aircraft" (1 7 9) means a fixed wing, swivel wing, rotary wing (helicopter), tilt rotor or tilt-wing airborne vehicle.

N.B.:See also "civil aircraft".

"Airship" (9) means a power-driven airborne vehicle that is kept buoyant by a body of gas (usually helium, formerly hydrogen) which is lighter than air.

"All compensations available" (2) means after all feasible measures available to the manufacturer to minimise all systematic positioning errors for the particular machine-tool model or measuring errors for the particular coordinate measuring machine are considered.

"Allocated by the ITU" (3 5) means the allocation of frequency bands according to the current edition of the ITU Radio Regulations for primary, permitted and secondary services.

N.B.:Additional and alternative allocations are not included.

"Angular position deviation" (2) means the maximum difference between angular position and the actual, very accurately measured angular position after the workpiece mount of the table has been turned out of its initial position

"Angle random walk" (7) means the angular error build up with time that is due to white noise in angular rate. (IEEE STD 528-2001)

"APP" (4) is equivalent to "Adjusted Peak Performance".

"Asymmetric algorithm" (5) means a cryptographic algorithm using different, mathematically-related keys for encryption and decryption.

N.B.:A common use of "asymmetric algorithms" is key management.

"Automatic target tracking" (6) means a processing technique that automatically determines and provides as output an extrapolated value of the most probable position of the target in real time.

"Average output power" (6) means the total "laser" output energy, in joules, divided by the period over which a series of consecutive pulses is emitted, in seconds. For a series of uniformly spaced pulses it is equal to the total "laser" output energy in a single pulse, in joules, multiplied by the pulse frequency of the "laser", in Hertz.

"Basic gate propagation delay time" (3) means the propagation delay time value corresponding to the basic gate used in a "monolithic integrated circuit". For a 'family' of "monolithic integrated circuits", this may be specified either as the propagation delay time per typical gate within the given 'family' or as the typical propagation delay time per gate within the given 'family'.

N.B. 1:"Basic gate propagation delay time" is not to be confused with the input/output delay time of a complex "monolithic integrated circuit".

N.B. 2:'Family' consists of all integrated circuits to which all of the following are applied as their manufacturing methodology and specifications except their respective functions:

a.The common hardware and software architecture;

b.The common design and process technology; and

c.The common basic characteristics.

"Basic scientific research" (GTN NTN) means experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena or observable facts, not primarily directed towards a specific practical aim or objective.

"Bias" (accelerometer) (7) means the average over a specified time of accelerometer output, measured at specified operating conditions, that has no correlation with input acceleration or rotation. "Bias" is expressed in g or in metres per second squared (g or m/s2). (IEEE Std 528-2001) (Micro g equals 1 × 10-6 g).

"Bias" (gyro) (7) means the average over a specified time of gyro output measured at specified operating conditions that has no correlation with input rotation or acceleration. "Bias" is typically expressed in degrees per hour (deg/hr). (IEEE Std 528-2001).

"Camming" (2) means axial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle faceplate, at a point next to the circumference of the spindle faceplate (Reference: ISO 230/1 1986, paragraph 5.63).

"Carbon fibre preforms" (1) means an ordered arrangement of uncoated or coated fibres intended to constitute a framework of a part before the "matrix" is introduced to form a "composite".

"CEP" (circle of equal probability) (7) is a measure of accuracy; the radius of the circle centred at the target, at a specific range, in which 50 % of the payloads impact.

"Chemical laser" (6) means a "laser" in which the excited species is produced by the output energy from a chemical reaction.

"Chemical mixture" (1) means a solid, liquid or gaseous product made up of two or more components which do not react together under the conditions under which the mixture is stored.

"Circulation-controlled anti-torque or circulation controlled direction control systems" (7) are systems that use air blown over aerodynamic surfaces to increase or control the forces generated by the surfaces.

"Civil aircraft" (1 3 4 7) means those "aircraft" listed by designation in published airworthiness certification lists by the civil aviation authorities of one or more EU Member States or Wassenaar Arrangement Participating States to fly commercial civil internal and external routes or for legitimate civil, private or business use.

N.B.:See also "aircraft".

"Commingled" (1) means filament to filament blending of thermoplastic fibres and reinforcement fibres in order to produce a fibre reinforcement "matrix" mix in total fibre form.

"Comminution" (1) means a process to reduce a material to particles by crushing or grinding.

"Communications channel controller" (4) means the physical interface which 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.

"Compensation systems" (6) consist of the primary scalar sensor, one or more reference sensors (e.g., vector magnetometers) together with software that permit reduction of rigid body rotation noise of the platform.

"Composite" (1 2 6 8 9) 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.

"Compound rotary table" (2) means a table allowing the workpiece to rotate and tilt about two non-parallel axes, which can be coordinated simultaneously for "contouring control".

"III/V compounds" (3 6) means polycrystalline or binary or complex monocrystalline products consisting of elements of groups IIIA and VA of Mendeleyev's periodic classification table (e.g., gallium arsenide, gallium-aluminium arsenide, indium phosphide).

"Contouring control" (2) means two or more "numerically controlled" motions operating in accordance with instructions that specify the next required position and the required feed rates to that position. These feed rates are varied in relation to each other so that a desired contour is generated (ref. ISO/DIS 2806 - 1980).

"Critical temperature" (1 3 5) (sometimes referred to as the transition temperature) of a specific "superconductive" material means the temperature at which the material loses all resistance to the flow of direct electrical current.

"Cryptographic activation" (5) means any technique that activates or enables cryptographic capability of an item, by means of a secure mechanism implemented by the manufacturer of the item, where this mechanism is uniquely bound to any of the following:

1.A single instance of the item; or

2.One customer, for multiple instances of the item.

Technical Notes

1."Cryptographic activation" techniques and mechanisms may be implemented as hardware, "software" or "technology".

2.Mechanisms for "cryptographic activation" can, for example, be serial number-based licence keys or authentication instruments such as digitally signed certificates.

"Cryptography" (5) means the discipline which embodies principles, means and methods for the transformation of data in order to hide its information content, prevent its undetected modification or prevent its unauthorized use. "Cryptography" is limited to the transformation of information using one or more 'secret parameters' (e.g., crypto variables) or associated key management.

Note:"Cryptography" does not include "fixed" data compression or coding techniques.

Technical Note:

'Secret parameter': a constant or key kept from the knowledge of others or shared only within a group.

"CW laser" (6) means a "laser" that produces a nominally constant output energy for greater than 0,25 seconds.

"Data-Based Referenced Navigation" ("DBRN") (7) Systems means systems which use various sources of previously measured geo-mapping data integrated to provide accurate navigation information under dynamic conditions. Data sources include bathymetric maps, stellar maps, gravity maps, magnetic maps or 3-D digital terrain maps.

"Deformable mirrors" (6) (also known as adaptive optic mirrors) means mirrors having:

a.A single continuous optical reflecting surface which is dynamically deformed by the application of individual torques or forces to compensate for distortions in the optical waveform incident upon the mirror; or

b.Multiple optical reflecting elements that can be individually and dynamically repositioned by the application of torques or forces to compensate for distortions in the optical waveform incident upon the mirror.

"Depleted uranium" (0) means uranium depleted in the isotope 235 below that occurring in nature.

"Development" (GTN NTN All) is related to all phases prior to serial production, such as: design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts.

"Diffusion bonding" (1 2 9) means a solid state joining of at least two separate pieces of metals into a single piece with a joint strength equivalent to that of the weakest material, wherein the principal mechanism is interdiffusion of atoms across the interface.

"Digital computer" (4 5) 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 devices;

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

d.Provide output of data.

N.B.:Modifications of a stored sequence of instructions include replacement of fixed storage devices, but not a physical change in wiring or interconnections.

"Digital transfer rate" (def) means the total bit rate of the information that is directly transferred on any type of medium.

N.B.:See also "total digital transfer rate".

"Direct-acting hydraulic pressing" (2) means a deformation process which uses a fluid-filled flexible bladder in direct contact with the workpiece.

"Drift rate" (gyro) (7) means the component of gyro output that is functionally independent of input rotation. It is expressed as an angular rate. (IEEE STD 528-2001).

"Effective gramme" (0 1) of "special fissile material" means:

a.For plutonium isotopes and uranium-233, the isotope weight in grammes;

b.For uranium enriched 1 per cent or greater in the isotope uranium-235, the element weight in grammes multiplied by the square of its enrichment expressed as a decimal weight fraction;

c.For uranium enriched below 1 per cent in the isotope uranium-235, the element weight in grammes multiplied by 0,0001;

"Electronic assembly" (2 3 4 5) 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.

N.B. 1:'Circuit element': a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.

N.B. 2:'Discrete component': a separately packaged 'circuit element' with its own external connections.

"Electronically steerable phased array antenna" (5 6) means an antenna which forms a beam by means of phase coupling, i.e., the beam direction is controlled by the complex excitation coefficients of the radiating elements and the direction of that beam can be varied in azimuth or in elevation, or both, by application, both in transmission and reception, of an electrical signal.

"Energetic materials" (1) means substances or mixtures that react chemically to release energy required for their intended application. "Explosives", "pyrotechnics" and "propellants" are subclasses of energetic materials.

"End-effectors" (2) means grippers, 'active tooling units' and any other tooling that is attached to the baseplate on the end of a "robot" manipulator arm.

N.B.:'Active tooling unit' means a device for applying motive power, process energy or sensing to the workpiece.

"Equivalent Density" (6) means the mass of an optic per unit optical area projected onto the optical surface.

"Explosives" (1) 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.

"FADEC Systems" (7 9) means Full Authority Digital Engine Control Systems – A digital electronic control system for a gas turbine engine that is able to autonomously control the engine throughout its whole operating range from demanded engine start until demanded engine shut-down, in both normal and fault conditions.

"Fibrous or filamentary materials" (0 1 8) include:

a.Continuous "monofilaments";

b.Continuous "yarns" and "rovings";

c."Tapes", fabrics, random mats and braids;

d.Chopped fibres, staple fibres and coherent fibre blankets;

e.Whiskers, either monocrystalline or polycrystalline, of any length;

f.Aromatic polyamide pulp.

"Film type integrated circuit" (3) means an array of 'circuit elements' and metallic interconnections formed by deposition of a thick or thin film on an insulating "substrate".

N.B.:'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.

"Fixed" (5) means that the coding or compression algorithm cannot accept externally supplied parameters (e.g., cryptographic or key variables) and cannot be modified by the user.

"Flight control optical sensor array" (7) is a network of distributed optical sensors, using "laser" beams, to provide real-time flight control data for on-board processing.

"Flight path optimisation" (7) is a procedure that minimizes deviations from a four-dimensional (space and time) desired trajectory based on maximizing performance or effectiveness for mission tasks.

"Fly-by-light system" (7) means a primary digital flight control system employing feedback to control the aircraft during flight, where the commands to the effectors/actuators are optical signals.

"Fly-by-wire system" (7) means a primary digital flight control system employing feedback to control the aircraft during flight, where the commands to the effectors/actuators are electrical signals.

"Focal plane array" (6 8) means a linear or two-dimensional planar layer, or combination of planar layers, of individual detector elements, with or without readout electronics, which work in the focal plane.

N.B.:This is not intended to include a stack of single detector elements or any two, three or four element detectors provided time delay and integration is not performed within the element.

"Fractional bandwidth" (3 5) means the "instantaneous bandwidth" divided by the centre frequency, expressed as a percentage.

"Frequency hopping" (5) means a form of "spread spectrum" in which the transmission frequency of a single communication channel is made to change by a random or pseudo-random sequence of discrete steps.

"Frequency mask trigger" (3) for "signal analysers" is a mechanism where the trigger function is able to select a frequency range to be triggered on as a subset of the acquisition bandwidth while ignoring other signals that may also be present within the same acquisition bandwidth. A "frequency mask trigger" may contain more than one independent set of limits.

"Frequency switching time" (3) means the time (i.e., delay) taken by a signal when switched from an initial specified output frequency, to arrive at or within ± 0,05 % of a final specified output frequency. Items having a specified frequency range of less than ± 0,05 % around their centre frequency are defined to be incapable of frequency switching.

"Frequency synthesiser" (3) means any kind of frequency source, regardless of the actual technique used, providing a multiplicity of simultaneous or alternative output frequencies, from one or more outputs, controlled by, derived from or disciplined by a lesser number of standard (or master) frequencies.

"Fuel cell" (8) is an electrochemical device that converts chemical energy directly into Direct Current (DC) electricity by consuming fuel from an external source.

"Fusible" (1) means capable of being cross-linked or polymerized further (cured) by the use of heat, radiation, catalysts, etc., or that can be melted without pyrolysis (charring).

"Gas Atomisation" (1) means a process to reduce a molten stream of metal alloy to droplets of 500 micrometre diameter or less by a high pressure gas stream.

"Geographically dispersed" (6) is where each location is distant from any other more than 1500 m in any direction. Mobile sensors are always considered "geographically dispersed".

"Guidance set" (7) means systems that integrate the process of measuring and computing a vehicles position and velocity (i.e. navigation) with that of computing and sending commands to the vehicles flight control systems to correct the trajectory.

"Hot isostatic densification" (2) means the process of pressurising a casting at temperatures exceeding 375 K (102 °C) in a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal force in all directions to reduce or eliminate internal voids in the casting.

"Hybrid integrated circuit" (3) means any combination of integrated circuit(s), or integrated circuit with 'circuit elements' or 'discrete components' connected together to perform (a) specific function(s), and having all of the following characteristics:

a.Containing at least one unencapsulated device;

b.Connected together using typical IC production methods;

c.Replaceable as an entity; and

d.Not normally capable of being disassembled.

N.B. 1:'Circuit element': a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.

N.B. 2:'Discrete component': a separately packaged 'circuit element' with its own external connections.

"Image enhancement" (4) means the processing of externally derived information-bearing images by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform). This does not include algorithms using only linear or rotational transformation of a single image, such as translation, feature extraction, registration or false coloration.

"Immunotoxin" (1) is a conjugate of one cell specific monoclonal antibody and a "toxin" or "sub-unit of toxin", that selectively affects diseased cells.

"In the public domain" (GTN NTN GSN), as it applies herein, means "technology" or "software" which has been made available without restrictions upon its further dissemination (copyright restrictions do not remove "technology" or "software" from being "in the public domain").

"Information security" (4 5) is all the means and functions ensuring the accessibility, confidentiality or integrity of information or communications, excluding the means and functions intended to safeguard against malfunctions. This includes "cryptography", "cryptographic activation", 'cryptanalysis', protection against compromising emanations and computer security.

N.B.:'Cryptanalysis': analysis of a cryptographic system or its inputs and outputs to derive confidential variables or sensitive data, including clear text.

"Instantaneous bandwidth" (3 5 7) means the bandwidth over which output power remains constant within 3 dB without adjustment of other operating parameters.

"Instrumented range" (6) means the specified unambiguous display range of a radar.

"Insulation" (9) is applied to the components of a rocket motor, i.e. the case, nozzle, inlets, case closures, and includes cured or semi-cured compounded rubber sheet stock containing an insulating or refractory material. It may also be incorporated as stress relief boots or flaps.

"Interior lining" (9) is suited for the bond interface between the solid propellant and the case or insulating liner. Usually a liquid polymer based dispersion of refractory or insulating materials, e.g. carbon filled hydroxyl terminated polybutadiene (HTPB) or other polymer with added curing agents sprayed or screeded over a case interior.

"Intrinsic Magnetic Gradiometer" (6) is a single magnetic field gradient sensing element and associated electronics the output of which is a measure of magnetic field gradient.

N.B.:See also "magnetic gradiometer".

"Intrusion software" (4) means "software" specially designed or modified to avoid detection by 'monitoring tools', or to defeat 'protective countermeasures', of a computer or network-capable device, and performing any of the following:

a.The extraction of data or information, from a computer or network-capable device, or the modification of system or user data; or

b.The modification of the standard execution path of a program or process in order to allow the execution of externally provided instructions.

Notes:

1."Intrusion software" does not include any of the following:

a.Hypervisors, debuggers or Software Reverse Engineering (SRE) tools;

b.Digital Rights Management (DRM) "software"; or

c."Software" designed to be installed by manufacturers, administrators or users, for the purposes of asset tracking or recovery.

2.Network-capable devices include mobile devices and smart meters.

Technical Notes:

1.'Monitoring tools': "software" or hardware devices, that monitor system behaviours or processes running on a device. This includes antivirus (AV) products, end point security products, Personal Security Products (PSP), Intrusion Detection Systems (IDS), Intrusion Prevention Systems (IPS) or firewalls.

2.'Protective countermeasures': techniques designed to ensure the safe execution of code, such as Data Execution Prevention (DEP), Address Space Layout Randomisation (ASLR) or sandboxing.

"Isolated live cultures" (1) includes live cultures in dormant form and in dried preparations.

"Isostatic presses" (2) mean equipment capable of pressurising a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal pressure in all directions within the cavity upon a workpiece or material.

"Laser" (0 2 3 5 6 7 8 9) is an assembly of components which produce both spatially and temporally coherent light that is amplified by stimulated emission of radiation.

N.B.:See also

"Chemical laser"

"Super High Power Laser";

"Transfer laser".

"Library" (1) (parametric technical database) means a collection of technical information, reference to which may enhance the performance of relevant systems, equipment or components.

"Lighter-than-air vehicles" (9) means balloons and airships that rely on hot air or other lighter-than-air gases such as helium or hydrogen for their lift.

"Linearity" (2) (usually measured in terms of non-linearity) means the maximum deviation of the actual characteristic (average of upscale and downscale readings), positive or negative, from a straight line so positioned as to equalise and minimise the maximum deviations.

"Local area network" (4 5) is a data communication system having all of the following characteristics:

a.Allows an arbitrary number of independent 'data devices' to communicate directly with each other; and

b.Is confined to a geographical area of moderate size (e.g., office building, plant, campus, warehouse).

N.B.:'Data device' means equipment capable of transmitting or receiving sequences of digital information.

"Magnetic Gradiometers" (6) are instruments designed to detect the spatial variation of magnetic fields from sources external to the instrument. They consist of multiple "magnetometers" and associated electronics the output of which is a measure of magnetic field gradient.

N.B.See also "intrinsic magnetic gradiometer".

"Magnetometers" (6) are instruments designed to detect magnetic fields from sources external to the instrument. They consist of a single magnetic field sensing element and associated electronics the output of which is a measure of the magnetic field.

"Main storage" (4) means the primary storage for data or instructions for rapid access by a central processing unit. It consists of the internal storage of a "digital computer" and any hierarchical extension thereto, such as cache storage or non-sequentially accessed extended storage.

"Materials resistant to corrosion by UF6" (0) include copper, copper alloys, stainless steel, aluminium, aluminium oxide, aluminium alloys, nickel or alloys containing 60 % or more nickel by weight and fluorinated hydrocarbon polymers.

"Matrix" (1 2 8 9) means a substantially continuous phase that fills the space between particles, whiskers or fibres.

"Measurement uncertainty" (2) is the characteristic parameter which specifies in what range around the output value the correct value of the measurable variable lies with a confidence level of 95 %. It includes the uncorrected systematic deviations, the uncorrected backlash and the random deviations (ref. ISO 10360-2).

"Mechanical Alloying" (1) means an alloying process resulting from the bonding, fracturing and rebonding of elemental and master alloy powders by mechanical impact. Non-metallic particles may be incorporated in the alloy by addition of the appropriate powders.

"Melt Extraction" (1) means a process to 'solidify rapidly' and extract a ribbon-like alloy product by the insertion of a short segment of a rotating chilled block into a bath of a molten metal alloy.

N.B.:'Solidify rapidly': solidification of molten material at cooling rates exceeding 1000 K/s.

"Melt Spinning" (1) means a process to 'solidify rapidly' a molten metal stream impinging upon a rotating chilled block, forming a flake, ribbon or rod-like product.

N.B.:'Solidify rapidly': solidification of molten material at cooling rates exceeding 1000 K/s.

"Microcomputer microcircuit" (3) means a "monolithic integrated circuit" or "multichip integrated circuit" containing an arithmetic logic unit (ALU) capable of executing general purpose instructions from an internal storage, on data contained in the internal storage.

N.B.:The internal storage may be augmented by an external storage.

"Microprocessor microcircuit" (3) means a "monolithic integrated circuit" or "multichip integrated circuit" containing an arithmetic logic unit (ALU) capable of executing a series of general purpose instructions from an external storage.

N.B. 1:The "microprocessor microcircuit" normally does not contain integral user-accessible storage, although storage present on-the-chip may be used in performing its logic function.

N.B. 2:This includes chip sets which are designed to operate together to provide the function of a "microprocessor microcircuit".

"Microorganisms" (1 2) means bacteria, viruses, mycoplasms, rickettsiae, chlamydiae or fungi, whether natural, enhanced or modified, either in the form of "isolated live cultures" or as material including living material which has been deliberately inoculated or contaminated with such cultures.

"Missiles" (1 3 6 7 9) means complete rocket systems and unmanned aerial vehicle systems, capable of delivering at least 500 kg payload to a range of at least 300 km.

"Monofilament" (1) or filament is the smallest increment of fibre, usually several micrometres in diameter.

"Monolithic integrated circuit" (3) means a combination of passive or active 'circuit elements' or both which:

a.Are formed by means of diffusion processes, implantation processes or deposition processes in or on a single semiconducting piece of material, a so-called 'chip';

b.Can be considered as indivisibly associated; and

c.Perform the function(s) of a circuit.

N.B.:'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.

"Monospectral imaging sensors" (6) are capable of acquisition of imaging data from one discrete spectral band.

"Multichip integrated circuit" (3) means two or more "monolithic integrated circuits" bonded to a common "substrate".

"Multispectral imaging sensors" (6) are capable of simultaneous or serial acquisition of imaging data from two or more discrete spectral bands. Sensors having more than twenty discrete spectral bands are sometimes referred to as hyperspectral imaging sensors.

"Natural uranium" (0) means uranium containing the mixtures of isotopes occurring in nature.

"Network access controller" (4) means a physical interface to a distributed switching network. It uses a common medium which operates throughout at the same "digital transfer rate" using arbitration (e.g., token or carrier sense) for transmission. Independently from any other, it selects data packets or data groups (e.g., IEEE 802) addressed to it. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.

"Neural computer" (4) means a computational device designed or modified to mimic the behaviour of a neuron or a collection of neurons, i.e., a computational device which is distinguished by its hardware capability to modulate the weights and numbers of the interconnections of a multiplicity of computational components based on previous data.

"Nuclear reactor" (0) means a complete reactor capable of operation so as to maintain a controlled self-sustaining fission chain reaction. A "nuclear reactor" includes all the items within or attached directly to the reactor vessel, the equipment which controls the level of power in the core, and the components which normally contain, come into direct contact with or control the primary coolant of the reactor core.

"Numerical control" (2) means the automatic control of a process performed by a device that makes use of numeric data usually introduced as the operation is in progress (ref. ISO 2382).

"Object code" (GSN) means an equipment executable form of a convenient expression of one or more processes ("source code" (source language)) which has been compiled by programming system.

"Operations, Administration or Maintenance" ("OAM") (5) means performing one or more of the following tasks:

a.Establishing or managing any of the following:

1.Accounts or privileges of users or administrators;

2.Settings of an item; or

3.Authentication data in support of the tasks described in paragraphs a.1. or a.2.;

b.Monitoring or managing the operating condition or performance of an item; or

c.Managing logs or audit data in support of any of the tasks described in paragraphs a. or b.

Note:"OAM" does not include any of the following tasks or their associated key management functions:

a.Provisioning or upgrading any cryptographic functionality that is not directly related to establishing or managing authentication data in support of the tasks described in paragraphs a.1. or a.2. above; or

b.Performing any cryptographic functionality on the forwarding or data plane of an item.

"Optical amplification" (5), in optical communications, means an amplification technique that introduces a gain of optical signals that have been generated by a separate optical source, without conversion to electrical signals, i.e., using semiconductor optical amplifiers, optical fibre luminescent amplifiers.

"Optical computer" (4) means a computer designed or modified to use light to represent data and whose computational logic elements are based on directly coupled optical devices.

"Optical integrated circuit" (3) means a "monolithic integrated circuit" or a "hybrid integrated circuit", containing one or more parts designed to function as a photosensor or photoemitter or to perform (an) optical or (an) electro-optical function(s).

"Optical switching" (5) means the routing of or switching of signals in optical form without conversion to electrical signals.

"Overall current density" (3) means the total number of ampere-turns in the coil (i.e., the sum of the number of turns multiplied by the maximum current carried by each turn) divided by the total cross-section of the coil (comprising the superconducting filaments, the metallic matrix in which the superconducting filaments are embedded, the encapsulating material, any cooling channels, etc.).

"Participating state" (7 9) is a state participating in the Wassenaar Arrangement (see www.wassenaar.org

"Peak power" (6) means the highest power attained in the "pulse duration".

"Personal area network" (5) means a data communication system having all of the following characteristics:

a.Allows an arbitrary number of independent or interconnected 'data devices' to communicate directly with each other; and

b.Is confined to the communication between devices within the immediate vicinity of an individual person or device controller (e.g., single room, office, or automobile, and their nearby surrounding spaces).

Technical Note:

'Data device' means equipment capable of transmitting or receiving sequences of digital information.

"Plasma atomisation" (1) means a process to reduce a molten stream or solid metal to droplets of 500 μm diameter or less, using plasma torches in an inert gas environment.

"Power management" (7) means changing the transmitted power of the altimeter signal so that received power at the "aircraft" altitude is always at the minimum necessary to determine the altitude.

"Previously separated" (0 1) means the application of any process intended to increase the concentration of the controlled isotope.

"Primary flight control" (7) means an "aircraft" stability or manoeuvering control using force/moment generators, i.e., aerodynamic control surfaces or propulsive thrust vectoring.

"Principal element" (4), as it applies in Category 4, is a "principal element" when its replacement value is more than 35 % of the total value of the system of which it is an element. Element value is the price paid for the element by the manufacturer of the system, or by the system integrator. Total value is the normal international selling price to unrelated parties at the point of manufacture or consolidation of shipment.

"Production" (GTN NTN All) means all production phases, such as: construction, production engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance.

"Production equipment" (1 7 9) means tooling, templates, jigs, mandrels, moulds, dies, fixtures, alignment mechanisms, test equipment, other machinery and components therefor, limited to those specially designed or modified for "development" or for one or more phases of "production".

"Production facilities" (7 9) means "production equipment" and specially designed software therefor integrated into installations for "development" or for one or more phases of "production".

"Programme" (2 6) means a sequence of instructions to carry out a process in, or convertible into, a form executable by an electronic computer.

"Pulse compression" (6) means the coding and processing of a radar signal pulse of long time duration to one of short time duration, while maintaining the benefits of high pulse energy.

"Pulse duration" (6) is the duration of a "laser" pulse and means the time between the half-power points on the leading edge and trailing edge of an individual pulse.

"Pulsed laser" (6) means a "laser" having a "pulse duration" that is less than or equal to 0,25 seconds.

"Quantum cryptography" (5) means a family of techniques for the establishment of shared key for "cryptography" by measuring the quantum-mechanical properties of a physical system (including those physical properties explicitly governed by quantum optics, quantum field theory or quantum electrodynamics).

"Radar frequency agility" (6) means any technique which changes, in a pseudo-random sequence, the carrier frequency of a pulsed radar transmitter between pulses or between groups of pulses by an amount equal to or larger than the pulse bandwidth.

"Radar spread spectrum" (6) means any modulation technique for spreading energy originating from a signal with a relatively narrow frequency band, over a much wider band of frequencies, by using random or pseudo-random coding.

"Radiant sensitivity" (6) is Radiant sensitivity (mA/W) = 0,807 × (wavelength in nm) × Quantum Efficiency (QE).

Technical Note:

QE is usually expressed as a percentage; however, for the purposes of this formula QE is expressed as a decimal number less than one, e.g., 78 % is 0,78.

"Real-time bandwidth" (3) for "signal analysers" is the widest frequency range for which the analyser can continuously transform time-domain data entirely into frequency-domain results, using a Fourier or other discrete time transformation that processes every incoming time point without gaps or windowing effects that causes a reduction of measured amplitude of more than 3 dB below the actual signal amplitude, while outputting or displaying the transformed data.

"Real time processing" (2 6 7) means the processing of data by a computer system providing a required level of service, as a function of available resources, within a guaranteed response time, regardless of the load of the system, when stimulated by an external event.

"Repeatability" (7) means the closeness of agreement among repeated measurements of the same variable under the same operating conditions when changes in conditions or non-operating periods occur between measurements. (Reference: IEEE STD 528-2001 (one sigma standard deviation))

"Required" (GTN 1-9), as applied to "technology", refers to only that portion of "technology" which is peculiarly responsible for achieving or extending the controlled performance levels, characteristics or functions. Such "required" "technology" may be shared by different goods.

"Resolution" (2) means the least increment of a measuring device; on digital instruments, the least significant bit (ref. ANSI B-89.1.12).

"Riot control agent" (1) means substances which, under the expected conditions of use for riot control purposes, produce rapidly in humans sensory irritation or disabling physical effects which disappear within a short time following termination of exposure.

Technical Note:

Tear gases are a subset of "riot control agents".

"Robot" (2 8) means a manipulation mechanism, which may be of the continuous path or of the point-to-point variety, may use sensors, and has all the following characteristics:

a.Is multifunctional;

b.Is capable of positioning or orienting material, parts, tools or special devices through variable movements in three dimensional space;

c.Incorporates three or more closed or open loop servo-devices which may include stepping motors; and

d.Has "user accessible programmability" by means of teach/playback method or by means of an electronic computer which may be a programmable logic controller, i.e., without mechanical intervention.

N.B.:The above definition does not include the following devices:

1.Manipulation mechanisms which are only manually/ teleoperator controllable;

2.Fixed sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed stops, such as pins or cams. The sequence of motions and the selection of paths or angles are not variable or changeable by mechanical, electronic or electrical means;

3.Mechanically controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed, but adjustable stops, such as pins or cams. The sequence of motions and the selection of paths or angles are variable within the fixed programme pattern. Variations or modifications of the programme pattern (e.g., changes of pins or exchanges of cams) in one or more motion axes are accomplished only through mechanical operations;

4.Non-servo-controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is variable but the sequence proceeds only by the binary signal from mechanically fixed electrical binary devices or adjustable stops;

5.Stacker cranes defined as Cartesian coordinate manipulator systems manufactured as an integral part of a vertical array of storage bins and designed to access the contents of those bins for storage or retrieval.

"Rotary atomisation" (1) means a process to reduce a stream or pool of molten metal to droplets to a diameter of 500 micrometre or less by centrifugal force.

"Roving" (1) is a bundle (typically 12-120) of approximately parallel 'strands'.

N.B.:'Strand' is a bundle of "monofilaments" (typically over 200) arranged approximately parallel.

"Run-out" (2) (out-of-true running) means radial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle axis at a point on the external or internal revolving surface to be tested (Reference: ISO 230/1 1986, paragraph 5.61).

"Scale factor" (gyro or accelerometer) (7) means the ratio of change in output to a change in the input intended to be measured. Scale factor is generally evaluated as the slope of the straight line that can be fitted by the method of least squares to input-output data obtained by varying the input cyclically over the input range.

"Settling time" (3) means the time required for the output to come within one-half bit of the final value when switching between any two levels of the converter.

"SHPL" is equivalent to "super high power laser".

"Signal analysers" (3) means apparatus capable of measuring and displaying basic properties of the single-frequency components of multi-frequency signals.

"Signal processing" (3 4 5 6) means the processing of externally derived information-bearing signals by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform).

"Software" (GSN All) means a collection of one or more "programmes" or 'microprogrammes' fixed in any tangible medium of expression.

N.B.:'Microprogramme' means a sequence of elementary instructions, maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction into an instruction register.

"Source code" (or source language) (6 7 9) is a convenient expression of one or more processes which may be turned by a programming system into equipment executable form ("object code" (or object language)).

"Spacecraft" (7 9) means active and passive satellites and space probes.

"Spacecraft bus" (9) means equipment that provides the support infrastructure of the "spacecraft" and location for the "spacecraft payload".

"Spacecraft payload" (9) means equipment, attached to the "spacecraft bus", designed to perform a mission in space (e.g., communications, observation, science).

"Space-qualified" (3 6 7) means designed, manufactured or qualified through successful testing, for operation at altitudes greater than 100 km above the surface of the Earth.

N.B.:A determination that a specific item is "Space-qualified" by virtue of testing does not mean that other items in the same production run or model series are "Space-qualified" if not individually tested.

"Special fissile material" (0) means plutonium-239, uranium-233, "uranium enriched in the isotopes 235 or 233", and any material containing the foregoing.

"Specific modulus" (0 1 9) is Young's modulus in pascals, equivalent to N/m2 divided by specific weight in N/m3, measured at a temperature of (296 ± 2) K ((23 ± 2) °C) and a relative humidity of (50 ± 5) %.

"Specific tensile strength" (0 1 9) is ultimate tensile strength in pascals, equivalent to N/m2 divided by specific weight in N/m3, measured at a temperature of (296 ± 2) K ((23 ± 2) °C) and a relative humidity of (50 ± 5) %.

"Spinning mass gyros" (7) means gyros which use a continually rotating mass to sense angular motion.

"Splat Quenching" (1) means a process to 'solidify rapidly' a molten metal stream impinging upon a chilled block, forming a flake-like product.

N.B.:'Solidify rapidly' solidification of molten material at cooling rates exceeding 1000 K/s.

"Spread spectrum" (5) means the technique whereby energy in a relatively narrow-band communication channel is spread over a much wider energy spectrum.

"Spread spectrum" radar (6) - see "Radar spread spectrum".

"Stability" (7) means the standard deviation (1 sigma) of the variation of a particular parameter from its calibrated value measured under stable temperature conditions. This can be expressed as a function of time.

"States (not) Party to the Chemical Weapon Convention" (1) are those states for which the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons has (not) entered into force. (See www.opcw.org)

"Substrate" (3) means 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.

N.B. 1:'Discrete component': a separately packaged 'circuit element' with its own external connections.

N.B. 2:'Circuit element': a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.

"Substrate blanks" (3 6) means monolithic compounds with dimensions suitable for the production of optical elements such as mirrors or optical windows.

"Sub-unit of toxin" (1) is a structurally and functionally discrete component of a whole "toxin".

"Superalloys" (2 9) means nickel-, cobalt- or iron-base alloys having strengths superior to any alloys in the AISI 300 series at temperatures over 922 K (649 °C) under severe environmental and operating conditions.

"Superconductive" (1 3 5 6 8) means materials, i.e., metals, alloys or compounds, which can lose all electrical resistance, i.e., which can attain infinite electrical conductivity and carry very large electrical currents without Joule heating.

N.B.:The "superconductive" state of a material is individually characterised by a "critical temperature", a critical magnetic field, which is a function of temperature, and a critical current density which is, however, a function of both magnetic field and temperature.

"Super High Power Laser" ("SHPL") (6) means a "laser" capable of delivering (the total or any portion of) the output energy exceeding 1 kJ within 50 ms or having an average or CW power exceeding 20 kW.

"Superplastic forming" (1 2) means a deformation process using heat for metals that are normally characterised by low values of elongation (less than 20 %) at the breaking point as determined at room temperature by conventional tensile strength testing, in order to achieve elongations during processing which are at least 2 times those values.

"Symmetric algorithm" (5) means a cryptographic algorithm using an identical key for both encryption and decryption.

N.B.:A common use of "symmetric algorithms" is confidentiality of data.

"System tracks" (6) means processed, correlated (fusion of radar target data to flight plan position) and updated aircraft flight position report available to the Air Traffic Control centre controllers.

"Systolic array computer" (4) means a computer where the flow and modification of the data is dynamically controllable at the logic gate level by the user.

"Tape" (1) is a material constructed of interlaced or unidirectional "monofilaments", 'strands', "rovings", "tows", or "yarns", etc., usually pre-impregnated with resin.

N.B.:'Strand' is a bundle of "monofilaments" (typically over 200) arranged approximately parallel.

"Technology" (GTN NTN All) means specific information necessary for the "development", "production" or "use" of goods. This information takes the form of 'technical data' or 'technical assistance'.

N.B. 1:'Technical assistance' may take forms such as instructions, skills, training, working knowledge and consulting services and may involve the transfer of 'technical data'.

N.B. 2:'Technical data' may take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories.

"Three dimensional integrated circuit" (3) means a collection of semiconductor die, integrated together, and having vias passing completely through at least one die to establish interconnections between die.

"Tilting spindle" (2) means a tool-holding spindle which alters, during the machining process, the angular position of its centre line with respect to any other axis.

"Time constant" (6) is the time taken from the application of a light stimulus for the current increment to reach a value of 1-1/e times the final value (i.e., 63 % of the final value).

"Tip shroud" (9) means a stationary ring component (solid or segmented) attached to the inner surface of the engine turbine casing or a feature at the outer tip of the turbine blade, which primarily provides a gas seal between the stationary and rotating components.

"Total control of flight" (7) means an automated control of "aircraft" state variables and flight path to meet mission objectives responding to real time changes in data regarding objectives, hazards or other "aircraft".

"Total digital transfer rate" (5) means the number of bits, including line coding, overhead and so forth per unit time passing between corresponding equipment in a digital transmission system.

N.B.:See also "digital transfer rate".

"Tow" (1) is a bundle of "monofilaments", usually approximately parallel.

"Toxins" (1 2) means toxins in the form of deliberately isolated preparations or mixtures, no matter how produced, other than toxins present as contaminants of other materials such as pathological specimens, crops, foodstuffs or seed stocks of "microorganisms".

"Transfer laser" (6) means a "laser" in which the lasing species is excited through the transfer of energy by collision of a non-lasing atom or molecule with a lasing atom or molecule species.

"Tunable" (6) means the ability of a "laser" to produce a continuous output at all wavelengths over a range of several "laser" transitions. A line selectable "laser" produces discrete wavelengths within one "laser" transition and is not considered "tunable".

"Unidirectional positioning repeatability" (2) means the smaller of values R↑ and R↓ (forward and backward), as defined by 3.21 of ISO 230-2:2014 or national equivalents, of an individual machine tool axis.

"Unmanned Aerial Vehicle" ("UAV") (9) means any aircraft capable of initiating flight and sustaining controlled flight and navigation without any human presence on board.

"Uranium enriched in the isotopes 235 or 233" (0) means uranium containing the isotopes 235 or 233, or both, in an amount such that the abundance ratio of the sum of these isotopes to the isotope 238 is more than the ratio of the isotope 235 to the isotope 238 occurring in nature (isotopic ratio 0,71 per cent).

"Use" (GTN NTN All) means operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing.

"User accessible programmability" (6) means the facility allowing a user to insert, modify or replace "programmes" by means other than:

a.A physical change in wiring or interconnections; or

b.The setting of function controls including entry of parameters.

"Vaccine" (1) is a medicinal product 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.

"Vacuum Atomisation" (1) means a process to reduce a molten stream of metal to droplets of a diameter of 500 micrometre or less by the rapid evolution of a dissolved gas upon exposure to a vacuum.

"Variable geometry airfoils" (7) means the use of trailing edge flaps or tabs, or leading edge slats or pivoted nose droop, the position of which can be controlled in flight.

"Yarn" (1) is a bundle of twisted 'strands'.

N.B.:'Strand' is a bundle of "monofilaments" (typically over 200) arranged approximately parallel.

CATEGORY 0 —NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT

0ASystems, Equipment and Components

0A001    "Nuclear reactors" and specially designed or prepared equipment and components therefor, as follows:

a."Nuclear reactors";

b.Metal vessels, or major shop-fabricated parts therefor, including the reactor vessel head for a reactor pressure vessel, specially designed or prepared to contain the core of a "nuclear reactor";

c.Manipulative equipment specially designed or prepared for inserting or removing fuel in a "nuclear reactor";

d.Control rods specially designed or prepared for the control of the fission process in a "nuclear reactor", support or suspension structures therefor, rod drive mechanisms and rod guide tubes;

e.Pressure tubes specially designed or prepared to contain both fuel elements and the primary coolant in a "nuclear reactor";

f.Zirconium metal tubes or zirconium alloy tubes (or assembles of tubes) specially designed or prepared for use as fuel cladding in a "nuclear reactor", and in quantities exceeding 10 kg;

N.B.:For zirconium pressure tubes see 0A001.e. and for calandria tubes see 0A001.h.

g.Coolant pumps or circulators specially designed or prepared for circulating the primary coolant of "nuclear reactors";

h.'Nuclear reactor internals' specially designed or prepared for use in a "nuclear reactor", including support columns for the core, fuel channels, calandria tubes, thermal shields, baffles, core grid plates, and diffuser plates;

Technical Note:

In 0A001.h. 'nuclear reactor internals' means any major structure within a reactor vessel which has one or more functions such as supporting the core, maintaining fuel alignment, directing primary coolant flow, providing radiation shields for the reactor vessel, and guiding in-core instrumentation.

i.Heat exchangers as follows:

1.Steam generators specially designed or prepared for the primary, or intermediate, coolant circuit of a "nuclear reactor";

2.Other heat exchangers specially designed or prepared for use in the primary coolant circuit of a "nuclear reactor";

Note:0A001.i. does not control heat exchangers for the supporting systems of the reactor, e.g., the emergency cooling system or the decay heat cooling system.

j.Neutron detectors specially designed or prepared for determining neutron flux levels within the core of a "nuclear reactor";

k.'External thermal shields' specially designed or prepared for use in a "nuclear reactor" for the reduction of heat loss and also for the containment vessel protection.

Technical Note:

In 0A001.k. 'external thermal shields' means major structures placed over the reactor vessel which reduce heat loss from the reactor and reduce temperature within the containment vessel.

0BTest, Inspection and Production Equipment

0B001    Plant for the separation of isotopes of "natural uranium", "depleted uranium" or "special fissile materials", and specially designed or prepared equipment and components therefor, as follows:

a.Plant specially designed for separating isotopes of "natural uranium", "depleted uranium", and "special fissile materials", as follows:

1.Gas centrifuge separation plant;

2.Gaseous diffusion separation plant;

3.Aerodynamic separation plant;

4.Chemical exchange separation plant;

5.Ion-exchange separation plant;

6.Atomic vapour "laser" isotope separation plant;

7.Molecular "laser" isotope separation plant;

8.Plasma separation plant;

9.Electro magnetic separation plant;

b.Gas centrifuges and assemblies and components, specially designed or prepared for gas centrifuge separation process, as follows:

Technical Note:

In 0B001.b. 'high strength-to-density ratio material' means any of the following:

1.Maraging steel capable of an ultimate tensile strength of 1,95 GPa or more;

2.Aluminium alloys capable of an ultimate tensile strength of 0,46 GPa or more; or

3."Fibrous or filamentary materials" with a "specific modulus" of more than 3,18 × 106 m and a "specific tensile strength" greater than 7,62 × 104 m;

1.Gas centrifuges;

2.Complete rotor assemblies;

3.Rotor tube cylinders with a wall thickness of 12 mm or less, a diameter of between 75 mm and 650 mm, made from 'high strength-to-density ratio materials';

4.Rings or bellows with a wall thickness of 3 mm or less and a diameter of between 75 mm and 650 mm and designed to give local support to a rotor tube or to join a number together, made from 'high strength-to-density ratio materials';

5.Baffles of between 75 mm and 650 mm diameter for mounting inside a rotor tube, made from 'high strength-to-density ratio materials'.

6.Top or bottom caps of between 75 mm and 650 mm diameter to fit the ends of a rotor tube, made from 'high strength-to-density ratio materials';

7.Magnetic suspension bearings as follows:

a.Bearing assemblies consisting of an annular magnet suspended within a housing made of or protected by "materials resistant to corrosion by UF6" containing a damping medium and having the magnet coupling with a pole piece or second magnet fitted to the top cap of the rotor;

b.Active magnetic bearings specially designed or prepared for use with gas centrifuges.

8.Specially prepared bearings comprising a pivot-cup assembly mounted on a damper;

9.Molecular pumps comprised of cylinders having internally machined or extruded helical grooves and internally machined bores;

10.Ring-shaped motor stators for multiphase AC hysteresis (or reluctance) motors for synchronous operation within a vacuum at a frequency of 600 Hz or more and a power of 40 VA or more;

11.Centrifuge housing/recipients to contain the rotor tube assembly of a gas centrifuge, consisting of a rigid cylinder of wall thickness up to 30 mm with precision machined ends that are parallel to each other and perpendicular to the cylinder's longitudinal axis to within 0,05 degrees or less;

12.Scoops consisting of specially designed or prepared tubes for the extraction of UF6 gas from within the rotor tube by a Pitot tube action and capable of being fixed to the central gas extraction system;

13.Frequency changers (converters or inverters) specially designed or prepared to supply motor stators for gas centrifuge enrichment, having all of the following characteristics, and specially designed components therefor:

a.A multiphase frequency output of 600 Hz or greater; and

b.High stability (with frequency control better than 0,2 %);

14.Shut-off and control valves as follows:

a.Shut-off valves specially designed or prepared to act on the feed, product or tails UF6 gaseous streams of an individual gas centrifuge;

b.Bellows-sealed valves, shut-off or control, made of or protected by "materials resistant to corrosion by UF6", with an inside diameter of 10 mm to 160 mm, specially designed or prepared for use in main or auxiliary systems of gas centrifuge enrichment plants;

c.Equipment and components, specially designed or prepared for gaseous diffusion separation process, as follows:

1.Gaseous diffusion barriers made of porous metallic, polymer or ceramic "materials resistant to corrosion by UF6" with a pore size of 10 to 100 nm, a thickness of 5 mm or less, and, for tubular forms, a diameter of 25 mm or less;

2.Gaseous diffuser housings made of or protected by "materials resistant to corrosion by UF6";

3.Compressors or gas blowers with a suction volume capacity of 1 m3/min or more of UF6, discharge pressure up to 500 kPa and having a pressure ratio of 10:1 or less, and made of or protected by "materials resistant to corrosion by UF6";

4.Rotary shaft seals for compressors or blowers specified in 0B001.c.3. and designed for a buffer gas in-leakage rate of less than 1000 cm3/min.;

5.Heat exchangers made of or protected by "materials resistant to corrosion by UF6", and designed for a leakage pressure rate of less than 10 Pa per hour under a pressure differential of 100 kPa;

6.Bellows-sealed valves, manual or automated, shut-off or control, made of or protected by "materials resistant to corrosion by UF6";

d.Equipment and components, specially designed or prepared for aerodynamic separation process, as follows:

1.Separation nozzles consisting of slit-shaped, curved channels having a radius of curvature less than 1 mm, resistant to corrosion by UF6, and having a knife-edge contained within the nozzle which separates the gas flowing through the nozzle into two streams;

2.Cylindrical or conical tubes, (vortex tubes), made of or protected by "materials resistant to corrosion by UF6" and with one or more tangential inlets;

3.Compressors or gas blowers made of or protected by "materials resistant to corrosion by UF6", and rotary shaft seals therefor;

4.Heat exchangers made of or protected by "materials resistant to corrosion by UF6";

5.Separation element housings, made of or protected by "materials resistant to corrosion by UF6" to contain vortex tubes or separation nozzles;

6.Bellows-sealed valves, manual or automated, shut-off or control, made of or protected by "materials resistant to corrosion by UF6", with a diameter of 40 mm or more;

7.Process systems for separating UF6 from carrier gas (hydrogen or helium) to 1 ppm UF6 content or less, including:

a.Cryogenic heat exchangers and cryoseparators capable of temperatures of 153K (-120 °C) or less;

b.Cryogenic refrigeration units capable of temperatures of 153 K (-120 °C) or less;

c.Separation nozzle or vortex tube units for the separation of UF6 from carrier gas;

d.UF6 cold traps capable of freezing out UF6;

e.Equipment and components, specially designed or prepared for chemical exchange separation process, as follows:

1.Fast-exchange liquid-liquid pulse columns with stage residence time of 30 seconds or less and resistant to concentrated hydrochloric acid (e.g. made of or protected by suitable plastic materials such as fluorinated hydrocarbon polymers or glass);

2.Fast-exchange liquid-liquid centrifugal contactors with stage residence time of 30 seconds or less and resistant to concentrated hydrochloric acid (e.g. made of or protected by suitable plastic materials such as fluorinated hydrocarbon polymers or glass);

3.Electrochemical reduction cells resistant to concentrated hydrochloric acid solutions, for reduction of uranium from one valence state to another;

4.Electrochemical reduction cells feed equipment to take U+4 from the organic stream and, for those parts in contact with the process stream, made of or protected by suitable materials (e.g. glass, fluorocarbon polymers, polyphenyl sulphate, polyether sulfone and resin-impregnated graphite);

5.Feed preparation systems for producing high purity uranium chloride solution consisting of dissolution, solvent extraction and/or ion exchange equipment for purification and electrolytic cells for reducing the uranium U+6 or U+4 to U+3;

6.Uranium oxidation systems for oxidation of U+3 to U+4;

f.Equipment and components, specially designed or prepared for ion-exchange separation process, as follows:

1.Fast reacting ion-exchange resins, pellicular or porous macro-reticulated resins in which the active chemical exchange groups are limited to a coating on the surface of an inactive porous support structure, and other composite structures in any suitable form, including particles or fibres, with diameters of 0,2 mm or less, resistant to concentrated hydrochloric acid and designed to have an exchange rate half-time of less than 10 seconds and capable of operating at temperatures in the range of 373 K (100 °C) to 473 K (200 °C);

2.Ion exchange columns (cylindrical) with a diameter greater than 1000 mm, made of or protected by materials resistant to concentrated hydrochloric acid (e.g. titanium or fluorocarbon plastics) and capable of operating at temperatures in the range of 373 K (100 °C) to 473 K (200 °C) and pressures above 0,7 MPa;

3.Ion exchange reflux systems (chemical or electrochemical oxidation or reduction systems) for regeneration of the chemical reducing or oxidizing agents used in ion exchange enrichment cascades;

g.Equipment and components, specially designed or prepared for laser-based separation processes using atomic vapour laser isotope separation, as follows:

1.Uranium metal vaporization systems designed to achieve a delivered power of 1 kW or more on the target for use in laser enrichment;

2.Liquid or vapour uranium metal handling systems specially designed or prepared for handling molten uranium, molten uranium alloys or uranium metal vapour for use in laser enrichment, and specially designed components therefor;

N.B.:SEE ALSO 2A225.

3.Product and tails collector assemblies for uranium metal in liquid or solid form, made of or protected by materials resistant to the heat and corrosion of uranium metal vapour or liquid, such as yttria-coated graphite or tantalum;

4.Separator module housings (cylindrical or rectangular vessels) for containing the uranium metal vapour source, the electron beam gun and the product and tails collectors;

5."Lasers" or "laser" systems specially designed or prepared for the separation of uranium isotopes with a spectrum frequency stabilisation for operation over extended periods of time;

N.B.:SEE ALSO 6A005 AND 6A205.

h.Equipment and components, specially designed or prepared for laser-based separation processes using molecular laser isotope separation, as follows:

1.Supersonic expansion nozzles for cooling mixtures of UF6 and carrier gas to 150 K (–123 °C) or less and made from "materials resistant to corrosion by UF6";

2.Product or tails collector components or devices specially designed or prepared for collecting uranium material or uranium tails material following illumination with laser light, made of "materials resistant to corrosion by UF6";

3.Compressors made of or protected by "materials resistant to corrosion by UF6", and rotary shaft seals therefor;

4.Equipment for fluorinating UF5 (solid) to UF6 (gas);

5.Process systems for separating UF6 from carrier gas (e.g. nitrogen, argon or other gas) including:

a.Cryogenic heat exchangers and cryoseparators capable of temperatures of 153 K (–120 °C) or less;

b.Cryogenic refrigeration units capable of temperatures of 153 K (–120 °C) or less;

c.UF6 cold traps capable of freezing out UF6;

6."Lasers" or "laser" systems specially designed or prepared for the separation of uranium isotopes with a spectrum frequency stabilisation for operation over extended periods of time;

N.B.:SEE ALSO 6A005 AND 6A205.

i.Equipment and components, specially designed or prepared for plasma separation process, as follows:

1.Microwave power sources and antennae for producing or accelerating ions, with an output frequency greater than 30 GHz and mean power output greater than 50 kW;

2.Radio frequency ion excitation coils for frequencies of more than 100 kHz and capable of handling more than 40 kW mean power;

3.Uranium plasma generation systems;

4.Not used;

5.Product and tails collector assemblies for uranium metal in solid form,made of or protected by materials resistant to the heat and corrosion of uranium vapour such as yttria-coated graphite or tantalum;

6.Separator module housings (cylindrical) for containing the uranium plasma source, radio-frequency drive coil and the product and tails collectors and made of a suitable non-magnetic material (e.g. stainless steel);

j.Equipment and components, specially designed or prepared for electromagnetic separation process, as follows:

1.Ion sources, single or multiple, consisting of a vapour source, ioniser, and beam accelerator made of suitable non-magnetic materials (e.g. graphite, stainless steel, or copper) and capable of providing a total ion beam current of 50 mA or greater;

2.Ion collector plates for collection of enriched or depleted uranium ion beams, consisting of two or more slits and pockets and made of suitable non-magnetic materials (e.g. graphite or stainless steel);

3.Vacuum housings for uranium electromagnetic separators made of non-magnetic materials (e.g. stainless steel) and designed to operate at pressures of 0,1 Pa or lower;

4.Magnet pole pieces with a diameter greater than 2 m;

5.High voltage power supplies for ion sources, having all of the following characteristics:

a.Capable of continuous operation;

b.Output voltage of 20000 V or greater;

c.Output current of 1 A or greater; and

d.Voltage regulation of better than 0,01 % over a period of 8 hours;

N.B.:SEE ALSO 3A227.

6.Magnet power supplies (high power, direct current) having all of the following characteristics:

a.Capable of continuous operation with a current output of 500 A or greater at a voltage of 100 V or greater; and

b.Current or voltage regulation better than 0,01 % over a period of 8 hours.

N.B.:SEE ALSO 3A226.

0B002    Specially designed or prepared auxiliary systems, equipment and components as follows, for isotope separation plant specified in 0B001, made of or protected by "materials resistant to corrosion by UF6":

a.Feed autoclaves, ovens or systems used for passing UF6 to the enrichment process;

b.Desublimers or cold traps, used to remove UF6 from the enrichment process for subsequent transfer upon heating;

c.Product and tails stations for transferring UF6 into containers;

d.Liquefaction or solidification stations used to remove UF6 from the enrichment process by compressing, cooling and converting UF6 to a liquid or solid form;

e.Piping systems and header systems specially designed or prepared for handling UF6 within gaseous diffusion, centrifuge or aerodynamic cascades;

f.Vacuum systems and pumps as follows:

1.Vacuum manifolds, vacuum headers or vacuum pumps having a suction capacity of 5 m3/minute or more;

2.Vacuum pumps specially designed for use in UF6 bearing atmospheres made of, or protected by, "materials resistant to corrosion by UF6"; or

3.Vacuum systems consisting of vacuum manifolds, vacuum headers and vacuum pumps, and designed for service in UF6-bearing atmospheres;

g.UF6 mass spectrometers/ion sources capable of taking on-line samples from UF6 gas streams and having all of the following:

1.Capable of measuring ions of 320 atomic mass units or greater and having a resolution of better than 1 part in 320;

2.Ion sources constructed of or protected by nickel, nickel-copper alloys with a nickel content of 60 % or more by weight, or nickel-chrome alloys;

3.Electron bombardment ionisation sources; and

4.Having a collector system suitable for isotopic analysis.

0B003    Plant for the conversion of uranium and equipment specially designed or prepared therefor, as follows:

a.Systems for the conversion of uranium ore concentrates to UO3;

b.Systems for the conversion of UO3 to UF6;

c.Systems for the conversion of UO3 to UO2;

d.Systems for the conversion of UO2 to UF4;

e.Systems for the conversion of UF4 to UF6;

f.Systems for the conversion of UF4 to uranium metal;

g.Systems for the conversion of UF6 to UO2;

h.Systems for the conversion of UF6 to UF4;

i.Systems for the conversion of UO2 to UCl4.

0B004    Plant for the production or concentration of heavy water, deuterium and deuterium compounds and specially designed or prepared equipment and components therefor, as follows:

a.Plant for the production of heavy water, deuterium or deuterium compounds, as follows:

1.Water-hydrogen sulphide exchange plants;

2.Ammonia-hydrogen exchange plants;

b.Equipment and components, as follows:

1.Water-hydrogen sulphide exchange towers with diameters of 1,5 m or more, capable of operating at pressures greater than or equal to 2 MPa;

2.Single stage, low head (i.e. 0,2 MPa) centrifugal blowers or compressors for hydrogen sulphide gas circulation (i.e. gas containing more than 70 % H2S) with a throughput capacity greater than or equal to 56 m3/second when operating at pressures greater than or equal to 1,8 MPa suction and having seals designed for wet H2S service;

3.Ammonia-hydrogen exchange towers greater than or equal to 35 m in height with diameters of 1,5 m to 2,5 m capable of operating at pressures greater than 15 MPa;

4.Tower internals, including stage contactors, and stage pumps, including those which are submersible, for heavy water production utilizing the ammonia-hydrogen exchange process;

5.Ammonia crackers with operating pressures greater than or equal to 3 MPa for heavy water production utilizing the ammonia-hydrogen exchange process;

6.Infrared absorption analysers capable of on-line hydrogen/deuterium ratio analysis where deuterium concentrations are equal to or greater than 90 %;

7.Catalytic burners for the conversion of enriched deuterium gas into heavy water utilizing the ammonia-hydrogen exchange process;

8.Complete heavy water upgrade systems, or columns therefor, for the upgrade of heavy water to reactor-grade deuterium concentration;

9.Ammonia synthesis converters or synthesis units specially designed or prepared for heavy water production utilizing the ammonia-hydrogen exchange process.

0B005    Plant specially designed for the fabrication of "nuclear reactor" fuel elements and specially designed or prepared equipment therefor.

Technical Note:

Specially designed or prepared equipment for the fabrication of "nuclear reactor" fuel elements includes equipment which:

1.Normally comes into direct contact with or directly processes or controls the production flow of nuclear materials;

2.Seals the nuclear materials within the cladding;

3.Checks the integrity of the cladding or the seal;

4.Checks the finish treatment of the sealed fuel; or

5.Is used for assembling reactor elements.

0B006    Plant for the reprocessing of irradiated "nuclear reactor" fuel elements, and specially designed or prepared equipment and components therefor.

Note:    0B006 includes:

a.Plant for the reprocessing of irradiated "nuclear reactor" fuel elements including equipment and components which normally come into direct contact with and directly control the irradiated fuel and the major nuclear material and fission product processing streams;

b.Fuel element chopping or shredding machines, i.e. remotely operated equipment to cut, chop or shear irradiated "nuclear reactor" fuel assemblies, bundles or rods;

c.Dissolvers, critically safe tanks (e.g. small diameter, annular or slab tanks) specially designed or prepared for the dissolution of irradiated "nuclear reactor" fuel, which are capable of withstanding hot, highly corrosive liquids, and which can be remotely loaded and maintained;

d.Solvent extractors, such as packed or pulsed columns, mixer settlers or centrifugal contractors, resistant to the corrosive effects of nitric acid and specially designed or prepared for use in a plant for the reprocessing of irradiated "natural uranium", "depleted uranium" or "special fissile materials";

e.Holding or storage vessels specially designed to be critically safe and resistant to the corrosive effects of nitric acid;

Technical Note:

Holding or storage vessels may have the following features:

1.Walls or internal structures with a boron equivalent (calculated for all constituent elements as defined in the note to 0C004) of at least two per cent;

2.A maximum diameter of 175 mm for cylindrical vessels; or

3.A maximum width of 75 mm for either a slab or annular vessel.

f.Neutron measurement systems specially designed or prepared for integration and use with automated process control systems in a plant for the reprocessing of irradiated "natural uranium", "depleted uranium" or "special fissile materials".

0B007    Plant for the conversion of plutonium and equipment specially designed or prepared therefor, as follows:

a.Systems for the conversion of plutonium nitrate to oxide;

b.Systems for plutonium metal production.

0CMaterials

0C001    "Natural uranium" or "depleted uranium" or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing;

Note:    0C001 does not control the following:

a.Four grammes or less of "natural uranium" or "depleted uranium" when contained in a sensing component in instruments;

b."Depleted uranium" specially fabricated for the following civil non-nuclear applications:

1.Shielding;

2.Packaging;

3.Ballasts having a mass not greater than 100 kg;

4.Counter-weights having a mass not greater than 100 kg;

c.Alloys containing less than 5 % thorium;

d.Ceramic products containing thorium, which have been manufactured for non-nuclear use.

0C002    "Special fissile materials"

Note:    0C002 does not control four "effective grammes" or less when contained in a sensing component in instruments.

0C003    Deuterium, heavy water (deuterium oxide) and other compounds of deuterium, and mixtures and solutions containing deuterium, in which the isotopic ratio of deuterium to hydrogen exceeds 1:5000.

0C004    Graphite having a purity level better than 5 parts per million 'boron equivalent' and with a density greater than 1,50 g/cm3 for use in a "nuclear reactor", in quantities exceeding 1 kg.

N.B.:    SEE ALSO 1C107

Note 1:For the purpose of export control, the competent authorities of the Member State in which the exporter is established will determine whether or not the exports of graphite meeting the above specifications are for "nuclear reactor" use.

Note 2:In 0C004, 'boron equivalent' (BE) is defined as the sum of BEz for impurities (excluding BEcarbon since carbon is not considered an impurity) including boron, where:

BEZ (ppm) = CF × concentration of element Z in ppm;

Z AB

where CF is the conversion factor

=

---------

B AZ

and σB and σZ are the thermal neutron capture cross sections (in barns) for naturally occurring boron and element Z respectively; and AB and AZ are the atomic masses of naturally occurring boron and element Z respectively.

0C005    Specially prepared compounds or powders for the manufacture of gaseous diffusion barriers, resistant to corrosion by UF6 (e.g. nickel or alloy containing 60 weight per cent or more nickel, aluminium oxide and fully fluorinated hydrocarbon polymers), having a purity of 99,9 % by weight or more and a particle size less than 10 μm measured by American Society for Testing and Materials (ASTM) B330 standard and a high degree of particle size uniformity.

0DSoftware

0D001    "Software" specially designed or modified for the "development", "production" or "use" of goods specified in this Category.

0ETechnology

0E001    "Technology" according to the Nuclear Technology Note for the "development", "production" or "use" of goods specified in this Category.

CATEGORY 1 —SPECIAL MATERIALS AND RELATED EQUIPMENT

1ASystems, Equipment and Components

1A001    Components made from fluorinated compounds, as follows:

a.Seals, gaskets, sealants or fuel bladders, specially designed for "aircraft" or aerospace use, made from more than 50 % by weight of any of the materials specified in 1C009.b. or 1C009.c.;

b.Piezoelectric polymers and copolymers, made from vinylidene fluoride (CAS 75-38-7) materials, specified in 1C009.a., having all of the following:

1.In sheet or film form; and

2.With a thickness exceeding 200 μm;

c.Seals, gaskets, valve seats, bladders or diaphragms, having all of the following:

1.Made from fluoroelastomers containing at least one vinylether group as a constitutional unit; and

2.Specially designed for "aircraft", aerospace or 'missile' use.

Note:In 1A001.c., 'missile' means complete rocket systems and unmanned aerial vehicle systems.

1A002    "Composite" structures or laminates, having any of the following:

N.B:    SEE ALSO 1A202, 9A010 and 9A110

a.Consisting of an organic "matrix" and materials specified in 1C010.c., 1C010.d. or 1C010.e.; or

b.Consisting of a metal or carbon "matrix", and any of the following:

1.Carbon "fibrous or filamentary materials" having all of the following:

a.A "specific modulus" exceeding 10,15 × 106 m; and

b.A "specific tensile strength" exceeding 17,7 × 104 m; or

2.Materials specified in 1C010.c.

Note 1:1A002 does not control composite structures or laminates made from epoxy resin impregnated carbon "fibrous or filamentary materials" for the repair of "civil aircraft" structures or laminates, having all of the following:

a.An area not exceeding 1 m2;

b.A length not exceeding 2,5 m; and

c.A width exceeding 15 mm.

Note 2:1A002 does not control semi-finished items, specially designed for purely civilian applications as follows:

a.Sporting goods;

b.Automotive industry;

c.Machine tool industry;

d.Medical applications.

Note 3:1A002.b.1. does not control semi-finished items containing a maximum of two dimensions of interwoven filaments and specially designed for applications as follows:

a.Metal heat-treatment furnaces for tempering metals;

b.Silicon boule production equipment.

Note 4:1A002 does not control finished items specially designed for a specific application.

1A003    Manufactures of non-"fusible" aromatic polyimides in film, sheet, tape or ribbon form having any of the following:

a.A thickness exceeding 0,254 mm; or

b.Coated or laminated with carbon, graphite, metals or magnetic substances.

Note:1A003 does not control manufactures when coated or laminated with copper and designed for the production of electronic printed circuit boards.

N.B.:For "fusible" aromatic polyimides in any form, see 1C008.a.3.

1A004    Protective and detection equipment and components not specially designed for military use, as follows:

N.B.:    SEE ALSO MILITARY GOODS CONTROLS, 2B351 AND 2B352.

a.Full face masks, filter canisters and decontamination equipment therefor, designed or modified for defence against any of the following, and specially designed components therefor:

Note:1A004.a. includes Powered Air Purifying Respirators (PAPR) that are designed or modified for defence against agents or materials, listed in 1A004.a.

Technical Note:

For the purposes of 1A004.a.:

1.Full face masks are also known as gas masks.

2.Filter canisters include filter cartridges.

1.Biological agents "adapted for use in war";

2.Radioactive materials "adapted for use in war";

3.Chemical warfare (CW) agents; or

4."Riot control agents", including:

a.α-Bromobenzeneacetonitrile, (Bromobenzyl cyanide) (CA) (CAS 5798-79-8);

b.[(2-chlorophenyl) methylene] propanedinitrile, (o-Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);

c.2-Chloro-1-phenylethanone, Phenylacyl chloride (ω-chloroacetophenone) (CN) (CAS 532-27-4);

d.Dibenz-(b,f)-1,4-oxazephine (CR) (CAS 257-07-8);

e.10-Chloro-5,10-dihydrophenarsazine, (Phenarsazine chloride), (Adamsite), (DM) (CAS 578-94-9);

f.N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);

b.Protective suits, gloves and shoes, specially designed or modified for defence against any of the following:

1.Biological agents "adapted for use in war";

2.Radioactive materials "adapted for use in war"; or

3.Chemical warfare (CW) agents;

c.Detection systems, specially designed or modified for detection or identification of any of the following, and specially designed components therefor:

1.Biological agents "adapted for use in war";

2.Radioactive materials "adapted for use in war"; or

3.Chemical warfare (CW) agents.

d.Electronic equipment designed for automatically detecting or identifying the presence of "explosives" residues and utilising 'trace detection' techniques (e.g., surface acoustic wave, ion mobility spectrometry, differential mobility spectrometry, mass spectrometry).

Technical Note:

'Trace detection' is defined as the capability to detect less than 1 ppm vapour, or 1 mg solid or liquid.

Note 1:1A004.d. does not control equipment specially designed for laboratory use.

Note 2:1A004.d. does not control non-contact walk-through security portals.

Note:1A004 does not control:

a.Personal radiation monitoring dosimeters;

b.Occupational health or safety equipment limited by design or function to protect against hazards specific to residential safety or civil industries, including:

1.mining;

2.quarrying;

3.agriculture;

4.pharmaceutical;

5.medical;

6.veterinary;

7.environmental;

8.waste management;

9.food industry.

Technical Notes:

1.1A004 includes equipment and components that have been identified, successfully tested to national standards or otherwise proven effective, for the detection of or defence against radioactive materials "adapted for use in war", biological agents "adapted for use in war", chemical warfare agents, 'simulants' or "riot control agents", even if such equipment or components are used in civil industries such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or the food industry.

2.'Simulant' is a substance or material that is used in place of toxic agent (chemical or biological) in training, research, testing or evaluation.

1A005    Body armour and components therefor, as follows:

N.B.:SEE ALSO MILITARY GOODS CONTROLS.

a.Soft body armour not manufactured to military standards or specifications, or to their equivalents, and specially designed components therefor;

b.Hard body armour plates providing ballistic protection equal to or less than level IIIA (NIJ 0101.06, July 2008) or national equivalents.

N.B.:For "fibrous or filamentary materials" used in the manufacture of body armour, see 1C010.

Note 1:1A005 does not control body armour when accompanying its user for the user's own personal protection.

Note 2:1A005 does not control body armour designed to provide frontal protection only from both fragment and blast from non-military explosive devices.

Note 3:1A005 does not control body armour designed to provide protection only from knife, spike, needle or blunt trauma.

1A006    Equipment, specially designed or modified for the disposal of improvised explosive devices, as follows, and specially designed components and accessories therefor:

N.B.:    SEE ALSO MILITARY GOODS CONTROLS.

a.Remotely operated vehicles;

b.'Disruptors'.

Technical Note:

'Disruptors' are devices specially designed for the purpose of preventing the operation of an explosive device by projecting a liquid, solid or frangible projectile.

   Note:    1A006 does not control equipment when accompanying its operator.

1A007    Equipment and devices, specially designed to initiate charges and devices containing "energetic materials", by electrical means, as follows:

N.B.:    SEE ALSO MILITARY GOODS CONTROLS, 3A229 AND 3A232.

a.Explosive detonator firing sets designed to drive explosive detonators specified in 1A007.b.;

b.Electrically driven explosive detonators as follows:

1.Exploding bridge (EB);

2.Exploding bridge wire (EBW);

3.Slapper;

4.Exploding foil initiators (EFI).

Technical Notes:

1.The word initiator or igniter is sometimes used in place of the word detonator.

2.For the purpose of 1A007.b. the detonators of concern all utilise a small electrical conductor (bridge, bridge wire, or foil) that explosively vaporises when a fast, high-current electrical pulse is passed through it. In non-slapper types, the exploding conductor starts a chemical detonation in a contacting high explosive material such as PETN (pentaerythritoltetranitrate). In slapper detonators, the explosive vaporization of the electrical conductor drives a flyer or slapper across a gap, and the impact of the slapper on an explosive starts a chemical detonation. The slapper in some designs is driven by magnetic force. The term exploding foil detonator may refer to either an EB or a slapper-type detonator.

1A008    Charges, devices and components, as follows:

a.'Shaped charges' having all of the following:

1.Net Explosive Quantity (NEQ) greater than 90 g; and

2.Outer casing diameter equal to or greater than 75 mm;

b.Linear shaped cutting charges having all of the following, and specially designed components therefor:

1.An explosive load greater than 40 g/m; and

2.A width of 10 mm or more;

c.Detonating cord with explosive core load greater than 64 g/m;

d.Cutters, other than those specified in 1A008.b., and severing tools, having a Net Explosive Quantity (NEQ) greater than 3,5 kg.

Technical Note:

'Shaped charges' are explosive charges shaped to focus the effects of the explosive blast.

1A102    Resaturated pyrolized carbon-carbon components designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

1A202    Composite structures, other than those specified in 1A002, in the form of tubes and having both of the following characteristics:

N.B.:    SEE ALSO 9A010 AND 9A110.

a.An inside diameter of between 75 mm and 400 mm; and

b.Made with any of the "fibrous or filamentary materials" specified in 1C010.a. or b. or 1C210.a. or with carbon prepreg materials specified in 1C210.c.

1A225    Platinized catalysts specially designed or prepared for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from heavy water or for the production of heavy water.

1A226    Specialized packings which may be used in separating heavy water from ordinary water, having both of the following characteristics:

a.Made of phosphor bronze mesh chemically treated to improve wettability; and

b.Designed to be used in vacuum distillation towers.

1A227    High-density (lead glass or other) radiation shielding windows, having all of the following characteristics, and specially designed frames therefor:

a.A 'cold area' greater than 0,09 m2;

b.A density greater than 3 g/cm3; and

c.A thickness of 100 mm or greater.

Technical Note:

In 1A227 the term 'cold area' means the viewing area of the window exposed to the lowest level of radiation in the design application.

1BTest, Inspection and Production Equipment

1B001    Equipment for the production or inspection of "composite" structures or laminates specified in 1A002 or "fibrous or filamentary materials" specified in 1C010, as follows, and specially designed components and accessories therefor:

N.B.:    SEE ALSO 1B101 AND 1B201.

a.Filament winding machines, of which the motions for positioning, wrapping and winding fibres are coordinated and programmed in three or more 'primary servo positioning' axes, specially designed for the manufacture of "composite" structures or laminates, from "fibrous or filamentary materials";

b.'Tape-laying machines', of which the motions for positioning and laying tape are coordinated and programmed in five or more 'primary servo positioning' axes, specially designed for the manufacture of "composite" airframe or 'missile' structures;

Note:In 1B001.b. 'missile' means complete rocket systems and unmanned aerial vehicle systems.

Technical Note:

For the purposes of 1B001.b., 'tape-laying machines' have the ability to lay one or more 'filament bands' limited to widths greater than 25 mm and less than or equal to 305 mm, and to cut and restart individual 'filament band' courses during the laying process.

c.Multidirectional, multidimensional weaving machines or interlacing machines, including adapters and modification kits, specially designed or modified for weaving, interlacing or braiding fibres, for "composite" structures;

Technical Note:

For the purposes of 1B001.c., the technique of interlacing includes knitting.

d.Equipment specially designed or adapted for the production of reinforcement fibres, as follows:

1.Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon fibres or silicon carbide fibres, including special equipment to strain the fibre during heating;

2.Equipment for the chemical vapour deposition of elements or compounds, on heated filamentary substrates, to manufacture silicon carbide fibres;

3.Equipment for the wet-spinning of refractory ceramics (such as aluminium oxide);

4.Equipment for converting aluminium containing precursor fibres into alumina fibres by heat treatment;

e.Equipment for producing prepregs specified in 1C010.e. by the hot melt method;

f.Non-destructive inspection equipment specially designed for "composite" materials, as follows:

1.X-ray tomography systems for three dimensional defect inspection;

2.Numerically controlled ultrasonic testing machines of which the motions for positioning transmitters or receivers are simultaneously coordinated and programmed in four or more axes to follow the three dimensional contours of the component under inspection;

g.'Tow-placement machines', of which the motions for positioning and laying tows are coordinated and programmed in two or more 'primary servo positioning' axes, specially designed for the manufacture of "composite" airframe or 'missile' structures.

Technical Note:

For the purposes of 1B001.g., 'tow-placement machines' have the ability to place one or more 'filament bands' having widths less than or equal to 25 mm, and to cut and restart individual 'filament band' courses during the placement process.

Technical Note:

1.For the purpose of 1B001, 'primary servo positioning' axes control, under computer program direction, the position of the end effector (i.e., head) in space relative to the work piece at the correct orientation and direction to achieve the desired process.

2.For the purposes of 1B001., a 'filament band' is a single continuous width of fully or partially resin-impregnated tape, tow or fibre.

1B002    Equipment for producing metal alloys, metal alloy powder or alloyed materials, specially designed to avoid contamination and specially designed for use in one of the processes specified in 1C002.c.2.

N.B.:    SEE ALSO 1B102.

1B003    Tools, dies, moulds or fixtures, for "superplastic forming" or "diffusion bonding" titanium, aluminium or their alloys, specially designed for the manufacture of any of the following:

a.Airframe or aerospace structures;

b."Aircraft" or aerospace engines; or

c.Specially designed components for structures specified in 1B003.a. or for engines specified in 1B003.b.

1B101    Equipment, other than that specified in 1B001, for the "production" of structural composites as follows; and specially designed components and accessories therefor:

N.B.:SEE ALSO 1B201.

Note:Components and accessories specified in 1B101 include moulds, mandrels, dies, fixtures and tooling for the preform pressing, curing, casting, sintering or bonding of composite structures, laminates and manufactures thereof.

a.Filament winding machines or fibre placement machines, of which the motions for positioning, wrapping and winding fibres can be coordinated and programmed in three or more axes, designed to fabricate composite structures or laminates from fibrous or filamentary materials, and coordinating and programming controls;

b.Tape-laying machines of which the motions for positioning and laying tape and sheets can be coordinated and programmed in two or more axes, designed for the manufacture of composite airframe and "missile" structures;

c.Equipment designed or modified for the "production" of "fibrous or filamentary materials" as follows:

1.Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon or polycarbosilane) including special provision to strain the fibre during heating;

2.Equipment for the vapour deposition of elements or compounds on heated filament substrates;

3.Equipment for the wet-spinning of refractory ceramics (such as aluminium oxide);

d.Equipment designed or modified for special fibre surface treatment or for producing prepregs and preforms specified in entry 9C110.

Note:1B101.d. includes rollers, tension stretchers, coating equipment, cutting equipment and clicker dies.

1B102    Metal powder "production equipment", other than that specified in 1B002, and components as follows:

N.B.:    SEE ALSO 1B115.b.

a.Metal powder "production equipment" usable for the "production", in a controlled environment, of spherical, spheroidal or atomised materials specified in 1C011.a., 1C011.b., 1C111.a.1., 1C111.a.2. or in the Military Goods Controls.

b.Specially designed components for "production equipment" specified in 1B002 or 1B102.a.

Note:    1B102 includes:

a.Plasma generators (high frequency arc-jet) usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment;

b.Electroburst equipment usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment;

c.Equipment usable for the "production" of spherical aluminium powders by powdering a melt in an inert medium (e.g. nitrogen).

1B115    Equipment, other than that specified in 1B002 or 1B102, for the production of propellant and propellant constituents, as follows, and specially designed components therefor:

a."Production equipment" for the "production", handling or acceptance testing of liquid propellants or propellant constituents specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls;

b."Production equipment" for the "production", handling, mixing, curing, casting, pressing, machining, extruding or acceptance testing of solid propellants or propellant constituents specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls.

Note:1B115.b. does not control batch mixers, continuous mixers or fluid energy mills. For the control of batch mixers, continuous mixers and fluid energy mills see 1B117, 1B118 and 1B119.

Note 1:For equipment specially designed for the production of military goods, see the Military Goods Controls.

Note 2:1B115 does not control equipment for the "production", handling and acceptance testing of boron carbide.

1B116    Specially designed nozzles for producing pyrolitically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1573 K (1300 °C) to 3173 K (2900 °C) temperature range at pressures of 130 Pa to 20 kPa.

1B117    Batch mixers with provision for mixing under vacuum in the range of zero to 13,326 kPa and with temperature control capability of the mixing chamber and having all of the following, and specially designed components therefor:

a.A total volumetric capacity of 110 litres or more; and

b.At least one 'mixing/kneading shaft' mounted off centre.

Note:    In 1B117.b. the term 'mixing/kneading shaft' does not refer to deagglomerators or knife-spindles.

1B118    Continuous mixers with provision for mixing under vacuum in the range of zero to 13,326 kPa and with a temperature control capability of the mixing chamber having any of the following, and specially designed components therefor:

a.Two or more mixing/kneading shafts; or

b.A single rotating shaft which oscillates and having kneading teeth/pins on the shaft as well as inside the casing of the mixing chamber.

1B119    Fluid energy mills usable for grinding or milling substances specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls, and specially designed components therefor.

1B201    Filament winding machines, other than those specified in 1B001 or 1B101, and related equipment, as follows:

a.Filament winding machines having all of the following characteristics:

1.Having motions for positioning, wrapping, and winding fibres coordinated and programmed in two or more axes;

2.Specially designed to fabricate composite structures or laminates from "fibrous or filamentary materials"; and

3.Capable of winding cylindrical tubes with an internal diameter between 75 and 650 mm and lengths of 300 mm or greater;

b.Coordinating and programming controls for the filament winding machines specified in 1B201.a.;

c.Precision mandrels for the filament winding machines specified in 1B201.a.

1B225    Electrolytic cells for fluorine production with an output capacity greater than 250 g of fluorine per hour.

1B226    Electromagnetic isotope separators designed for, or equipped with, single or multiple ion sources capable of providing a total ion beam current of 50 mA or greater.

Note:    1B226 includes separators:

a.Capable of enriching stable isotopes;

b.With the ion sources and collectors both in the magnetic field and those configurations in which they are external to the field.

1B228    Hydrogen-cryogenic distillation columns having all of the following characteristics:

a.Designed for operation with internal temperatures of 35 K (–238 °C) or less;

b.Designed for operation at an internal pressure of 0,5 to 5 MPa;

c.Constructed of either:

1.Stainless steel of the 300 series with low sulphur content and with an austenitic ASTM (or equivalent standard) grain size number of 5 or greater; or

2.Equivalent materials which are both cryogenic and H2-compatible; and

d.With internal diameters of 30 cm or greater and 'effective lengths' of 4 m or greater.

Technical Note:

In 1B228 'effective length' means the active height of packing material in a packed-type column, or the active height of internal contactor plates in a plate-type column.

1B229    Water-hydrogen sulphide exchange tray columns and 'internal contactors', as follows:

N.B.:    For columns which are specially designed or prepared for the production of heavy water see 0B004.

a.Water-hydrogen sulphide exchange tray columns, having all of the following characteristics:

1.Can operate at pressures of 2 MPa or greater;

2.Constructed of carbon steel having an austenitic ASTM (or equivalent standard) grain size number of 5 or greater; and

3.With a diameter of 1,8 m or greater;

b.'Internal contactors' for the water-hydrogen sulphide exchange tray columns specified in 1B229.a.

Technical Note:

'Internal contactors' of the columns are segmented trays which have an effective assembled diameter of 1,8 m or greater, are designed to facilitate countercurrent contacting and are constructed of stainless steels with a carbon content of 0,03 % or less. These may be sieve trays, valve trays, bubble cap trays, or turbogrid trays.

1B230    Pumps capable of circulating solutions of concentrated or dilute potassium amide catalyst in liquid ammonia (KNH2/NH3), having all of the following characteristics:

a.Airtight (i.e., hermetically sealed);

b.A capacity greater than 8,5 m3/h; and

c.Either of the following characteristics:

1.For concentrated potassium amide solutions (1 % or greater), an operating pressure of 1,5 to 60 MPa; or

2.For dilute potassium amide solutions (less than 1 %), an operating pressure of 20 to 60 MPa.

1B231    Tritium facilities or plants, and equipment therefor, as follows:

a.Facilities or plants for the production, recovery, extraction, concentration, or handling of tritium;

b.Equipment for tritium facilities or plants, as follows:

1.Hydrogen or helium refrigeration units capable of cooling to 23 K (-250 °C) or less, with heat removal capacity greater than 150 W;

2.Hydrogen isotope storage or purification systems using metal hydrides as the storage or purification medium.

1B232    Turboexpanders or turboexpander-compressor sets having both of the following characteristics:

a.Designed for operation with an outlet temperature of 35 K (-238 °C) or less; and

b.Designed for a throughput of hydrogen gas of 1000 kg/h or greater.

1B233    Lithium isotope separation facilities or plants, and systems and equipment therefor, as follows:

a.Facilities or plants for the separation of lithium isotopes;

b.Equipment for the separation of lithium isotopes based on the lithium-mercury amalgam process, as follows:

1.Packed liquid-liquid exchange columns specially designed for lithium amalgams;

2.Mercury or lithium amalgam pumps;

3.Lithium amalgam electrolysis cells;

4.Evaporators for concentrated lithium hydroxide solution;

c.Ion exchange systems specially designed for lithium isotope separation, and specially designed components therefor;

d.Chemical exchange systems (employing crown ethers, cryptands, or lariat ethers), specially designed for lithium isotope separation, and specially designed components therefor.

1B234    High explosive containment vessels, chambers, containers and other similar containment devices designed for the testing of high explosives or explosive devices and having both of the following characteristics:

N.B.:    SEE ALSO MILITARY GOODS CONTROLS.

a.Designed to fully contain an explosion equivalent to 2 kg of TNT or greater; and

b.Having design elements or features enabling real time or delayed transfer of diagnostic or measurement information.

1CMaterials

Technical Note:

Metals and alloys:

Unless provision to the contrary is made, the words 'metals' and 'alloys' in 1C001 to 1C012 cover crude and semi-fabricated forms, as follows:

Crude forms:

Anodes, balls, bars (including notched bars and wire bars), billets, blocks, blooms, brickets, cakes, cathodes, crystals, cubes, dice, grains, granules, ingots, lumps, pellets, pigs, powder, rondelles, shot, slabs, slugs, sponge, sticks;

Semi-fabricated forms (whether or not coated, plated, drilled or punched):

a.Wrought or worked materials fabricated by rolling, drawing, extruding, forging, impact extruding, pressing, graining, atomising, and grinding, i.e.: angles, channels, circles, discs, dust, flakes, foils and leaf, forging, plate, powder, pressings and stampings, ribbons, rings, rods (including bare welding rods, wire rods, and rolled wire), sections, shapes, sheets, strip, pipe and tubes (including tube rounds, squares, and hollows), drawn or extruded wire;

b.Cast material produced by casting in sand, die, metal, plaster or other types of moulds, including high pressure castings, sintered forms, and forms made by powder metallurgy.

The object of the control should not be defeated by the export of non-listed forms alleged to be finished products but representing in reality crude forms or semi-fabricated forms.

1C001    Materials specially designed for use as absorbers of electromagnetic waves, or intrinsically conductive polymers, as follows:

N.B.    SEE ALSO 1C101.

a.Materials for absorbing frequencies exceeding 2 × 108 Hz but less than 3 × 1012 Hz;

Note 1:1C001.a. does not control:

a.Hair type absorbers, constructed of natural or synthetic fibres, with non-magnetic loading to provide absorption;

b.Absorbers having no magnetic loss and whose incident surface is non-planar in shape, including pyramids, cones, wedges and convoluted surfaces;

c.Planar absorbers, having all of the following:

1.Made from any of the following:

a.Plastic foam materials (flexible or non-flexible) with carbon-loading, or organic materials, including binders, providing more than 5 % echo compared with metal over a bandwidth exceeding ± 15 % of the centre frequency of the incident energy, and not capable of withstanding temperatures exceeding 450 K (177 °C); or

b.Ceramic materials providing more than 20 % echo compared with metal over a bandwidth exceeding ± 15 % of the centre frequency of the incident energy, and not capable of withstanding temperatures exceeding 800 K (527 °C);

Technical Note:

Absorption test samples for 1C001.a. Note: 1.c.1. should be a square at least 5 wavelengths of the centre frequency on a side and positioned in the far field of the radiating element.

2.Tensile strength less than 7 × 106 N/m2; and

3.Compressive strength less than 14 × 106 N/m2;

d.Planar absorbers made of sintered ferrite, having all of the following:

1.A specific gravity exceeding 4.4; and

2.A maximum operating temperature of 548 K (275 °C).

Note 2:Nothing in Note 1 to 1C001.a. releases magnetic materials to provide absorption when contained in paint.

b.Materials for absorbing frequencies exceeding 1,5 × 1014 Hz but less than 3.7 × 1014 Hz and not transparent to visible light;

Note:1C001.b. does not control materials, specially designed or formulated for any of the following applications:

a.Laser marking of polymers; or

b.Laser welding of polymers.

c.Intrinsically conductive polymeric materials with a 'bulk electrical conductivity' exceeding 10000 S/m (Siemens per metre) or a 'sheet (surface) resistivity' of less than 100 ohms/square, based on any of the following polymers:

1.Polyaniline;

2.Polypyrrole;

3.Polythiophene;

4.Poly phenylene-vinylene; or

5.Poly thienylene-vinylene.

Note:1C001.c. does not control materials in a liquid form.

Technical Note:

'Bulk electrical conductivity' and 'sheet (surface) resistivity' should be determined using ASTM D-257 or national equivalents.

1C002    Metal alloys, metal alloy powder and alloyed materials, as follows:

N.B.:SEE ALSO 1C202.

Note:1C002 does not control metal alloys, metal alloy powder and alloyed materials for coating substrates.

Technical Notes:

1.The metal alloys in 1C002 are those containing a higher percentage by weight of the stated metal than of any other element.

2.'Stress-rupture life' should be measured in accordance with ASTM standard E-139 or national equivalents.

3.'Low cycle fatigue life' should be measured in accordance with ASTM Standard E-606 'Recommended Practice for Constant-Amplitude Low-Cycle Fatigue Testing' or national equivalents. Testing should be axial with an average stress ratio equal to 1 and a stress-concentration factor (Kt) equal to 1. The average stress is defined as maximum stress minus minimum stress divided by maximum stress.

a.Aluminides, as follows:

1.Nickel aluminides containing a minimum of 15 % by weight aluminium, a maximum of 38 % by weight aluminium and at least one additional alloying element;

2.Titanium aluminides containing 10 % by weight or more aluminium and at least one additional alloying element;

b.Metal alloys, as follows, made from the powder or particulate material specified in 1C002.c.:

1.Nickel alloys having any of the following:

a.A 'stress-rupture life' of 10000 hours or longer at 923 K (650 °C) at a stress of 676 MPa; or

b.A 'low cycle fatigue life' of 10000 cycles or more at 823 K (550 °C) at a maximum stress of 1095 MPa;

2.Niobium alloys having any of the following:

a.A 'stress-rupture life' of 10000 hours or longer at 1073 K (800 °C) at a stress of 400 MPa; or

b.A 'low cycle fatigue life' of 10000 cycles or more at 973 K (700 °C) at a maximum stress of 700 MPa;

3.Titanium alloys having any of the following:

a.A 'stress-rupture life' of 10000 hours or longer at 723 K (450 °C) at a stress of 200 MPa; or

b.A 'low cycle fatigue life' of 10000 cycles or more at 723 K (450 °C) at a maximum stress of 400 MPa;

4.Aluminium alloys having any of the following:

a.A tensile strength of 240 MPa or more at 473 K (200 °C); or

b.A tensile strength of 415 MPa or more at 298 K (25 °C);

5.Magnesium alloys having all of the following:

a.A tensile strength of 345 MPa or more; and

b.A corrosion rate of less than 1 mm/year in 3 % sodium chloride aqueous solution measured in accordance with ASTM standard G-31 or national equivalents;

c.Metal alloy powder or particulate material, having all of the following:

1.Made from any of the following composition systems:

Technical Note:

X in the following equals one or more alloying elements.

a.Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine engine parts or components, i.e. with less than 3 non-metallic particles (introduced during the manufacturing process) larger than 100 μm in 109 alloy particles;

b.Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si, Nb-Ti-X or Nb-X-Ti);

c.Titanium alloys (Ti-Al-X or Ti-X-Al);

d.Aluminium alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn, Al-Fe-X or Al-X-Fe); or

e.Magnesium alloys (Mg-Al-X or Mg-X-Al);

2.Made in a controlled environment by any of the following processes:

a."Vacuum atomisation";

b."Gas atomisation";

c."Rotary atomisation";

d."Splat quenching";

e."Melt spinning" and "comminution";

f."Melt extraction" and "comminution";

g."Mechanical alloying"; or

h."Plasma atomisation", and

3.Capable of forming materials specified in 1C002.a. or 1C002.b.;

d.Alloyed materials having all of the following:

1.Made from any of the composition systems specified in 1C002.c.1.;

2.In the form of uncomminuted flakes, ribbons or thin rods; and

3.Produced in a controlled environment by any of the following:

a."Splat quenching";

b."Melt spinning"; or

c."Melt extraction".

1C003    Magnetic metals, of all types and of whatever form, having any of the following:

a.Initial relative permeability of 120000 or more and a thickness of 0,05 mm or less;

Technical Note:

Measurement of initial relative permeability must be performed on fully annealed materials.

b.Magnetostrictive alloys having any of the following:

1.A saturation magnetostriction of more than 5 × 10–4; or

2.A magnetomechanical coupling factor (k) of more than 0,8; or

c.Amorphous or 'nanocrystalline' alloy strips, having all of the following:

1.A composition having a minimum of 75 % by weight of iron, cobalt or nickel;

2.A saturation magnetic induction (Bs) of 1,6 T or more; and

3.Any of the following:

a.A strip thickness of 0,02 mm or less; or

b.An electrical resistivity of 2 × 10–4 ohm cm or more.

Technical Note:

'Nanocrystalline' materials in 1C003.c. are those materials having a crystal grain size of 50 nm or less, as determined by X-ray diffraction.

1C004    Uranium titanium alloys or tungsten alloys with a "matrix" based on iron, nickel or copper, having all of the following:

a.A density exceeding 17,5 g/cm3;

b.An elastic limit exceeding 880 MPa;

c.An ultimate tensile strength exceeding 1270 MPa; and

d.An elongation exceeding 8 %.

1C005    "Superconductive" "composite" conductors in lengths exceeding 100 m or with a mass exceeding 100 g, as follows:

a."Superconductive" "composite" conductors containing one or more niobium-titanium 'filaments', having all of the following:

1.Embedded in a "matrix" other than a copper or copper-based mixed "matrix"; and

2.Having a cross-section area less than 0,28 × 10–4 mm2 (6 μm in diameter for circular 'filaments');

b."Superconductive" "composite" conductors consisting of one or more "superconductive" 'filaments' other than niobium-titanium, having all of the following:

1.A "critical temperature" at zero magnetic induction exceeding 9,85 K (-263,31 °C); and

2.Remaining in the "superconductive" state at a temperature of 4,2 K (–268,96 °C) when exposed to a magnetic field oriented in any direction perpendicular to the longitudinal axis of conductor and corresponding to a magnetic induction of 12 T with critical current density exceeding 1750 A/mm2 on overall cross-section of the conductor;

c."Superconductive" "composite" conductors consisting of one or more "superconductive" 'filaments' which remain "superconductive" above 115 K (–158,16 °C).

Technical Note:

For the purpose of 1C005 'filaments' may be in wire, cylinder, film, tape or ribbon form.

1C006    Fluids and lubricating materials, as follows:

a.Hydraulic fluids containing, as their principal ingredients, any of the following:

1.Synthetic 'silahydrocarbon oils' having all of the following:

Technical Note:

For the purpose of 1C006.a.1., 'silahydrocarbon oils' contain exclusively silicon, hydrogen and carbon.

a.A 'flash point' exceeding 477 K (204 °C);

b.A 'pour point' at 239 K (–34 °C) or less;

c.A 'viscosity index' of 75 or more; and

d.A 'thermal stability' at 616 K (343 °C); or

2.'Chlorofluorocarbons' having all of the following:

Technical Note:

For the purpose of 1C006.a.2., 'chlorofluorocarbons' contain exclusively carbon, fluorine and chlorine.

a.No 'flash point';

b.An 'autogenous ignition temperature' exceeding 977 K (704 °C);

c.A 'pour point' at 219 K (–54 °C) or less;

d.A 'viscosity index' of 80 or more; and

e.A boiling point at 473 K (200 °C) or higher;

b.Lubricating materials containing, as their principal ingredients, any of the following:

1.Phenylene or alkylphenylene ethers or thio-ethers, or their mixtures, containing more than two ether or thio-ether functions or mixtures thereof; or

2.Fluorinated silicone fluids with a kinematic viscosity of less than 5000 mm2/s (5000 centistokes) measured at 298 K (25 °C);

c.Damping or flotation fluids having all of the following:

1.Purity exceeding 99,8 %;

2.Containing less than 25 particles of 200 μm or larger in size per 100 ml; and

3.Made from at least 85 % of any of the following:

a.Dibromotetrafluoroethane (CAS 25497-30-7, 124-73-2, 27336-23-8);

b.Polychlorotrifluoroethylene (oily and waxy modifications only); or

c.Polybromotrifluoroethylene;

d.Fluorocarbon electronic cooling fluids having all of the following:

1.Containing 85 % by weight or more of any of the following, or mixtures thereof:

a.Monomeric forms of perfluoropolyalkylether-triazines or perfluoroaliphatic-ethers;

b.Perfluoroalkylamines;

c.Perfluorocycloalkanes; or

d.Perfluoroalkanes;

2.Density at 298 K (25 °C) of 1,5 g/ml or more;

3.In a liquid state at 273 K (0 °C); and

4.Containing 60 % or more by weight of fluorine.

Note:1C006.d. does not control materials specified and packaged as medical products.

Technical Note:

For the purpose of 1C006:

1.'Flash point' is determined using the Cleveland Open Cup Method described in ASTM D-92 or national equivalents;

2.'Pour point' is determined using the method described in ASTM D-97 or national equivalents;

3.'Viscosity index' is determined using the method described in ASTM D-2270 or national equivalents;

4.'Thermal stability' is determined by the following test procedure or national equivalents:

Twenty ml of the fluid under test is placed in a 46 ml type 317 stainless steel chamber containing one each of 12,5 mm (nominal) diameter balls of M-10 tool steel, 52100 steel and naval bronze (60 % Cu, 39 % Zn, 0,75 % Sn);

The chamber is purged with nitrogen, sealed at atmospheric pressure and the temperature raised to and maintained at 644 ± 6 K (371 ± 6 °C) for six hours;

The specimen will be considered thermally stable if, on completion of the above procedure, all of the following conditions are met:

a.The loss in weight of each ball is less than 10 mg/mm2 of ball surface;

b.The change in original viscosity as determined at 311 K (38 °C) is less than 25 %; and

c.The total acid or base number is less than 0,40;

5.'Autogenous ignition' temperature is determined using the method described in ASTM E-659 or national equivalents.

1C007    è1 Ceramic powders, non-"composite" ceramic materials, ceramic-"matrix" "composite" materials and precursor materials, as follows: ç

N.B.:    SEE ALSO 1C107.

a.Ceramic powders of single or complex borides of titanium, having total metallic impurities, excluding intentional additions, of less than 5000 ppm, an average particle size equal to or less than 5 μm and no more than 10 % of the particles larger than 10 μm;

b.Non-"composite" ceramic materials in crude or semi-fabricated form, composed of borides of titanium with a density of 98 % or more of the theoretical density;

Note:1C007.b. does not control abrasives.

c.Ceramic-ceramic "composite" materials with a glass or oxide-"matrix" and reinforced with fibres having all of the following:

1.Made from any of the following materials:

a.Si-N;

b.Si-C;

c.Si-Al-O-N; or

d.Si-O-N; and

2.Having a "specific tensile strength" exceeding 12,7 × 103 m;

d.Ceramic-ceramic "composite" materials, with or without a continuous metallic phase, incorporating particles, whiskers or fibres, where carbides or nitrides of silicon, zirconium or boron form the "matrix";

e.Precursor materials (i.e., special purpose polymeric or metallo-organic materials) for producing any phase or phases of the materials specified in 1C007.c., as follows:

1.Polydiorganosilanes (for producing silicon carbide);

2.Polysilazanes (for producing silicon nitride);

3.Polycarbosilazanes (for producing ceramics with silicon, carbon and nitrogen components);

f.Ceramic-ceramic "composite" materials with an oxide or glass "matrix" reinforced with continuous fibres from any of the following systems:

1.Al2O3 (CAS 1344-28-1); or

2.Si-C-N.

Note:1C007.f. does not control "composites" containing fibres from these systems with a fibre tensile strength of less than 700 MPa at 1273 K (1000 °C) or fibre tensile creep resistance of more than 1 % creep strain at 100 MPa load and 1273 K (1000 °C) for 100 hours.

1C008    Non-fluorinated polymeric substances as follows:

a.Imides, as follows:

1.Bismaleimides;

2.Aromatic polyamide-imides (PAI) having a 'glass transition temperature (Tg)' exceeding 563 K (290 °C);

3.Aromatic polyimides having a 'glass transition temperature (Tg)' exceeding 505 K (232 °C);

4.Aromatic polyetherimides having a 'glass transition temperature (Tg)' exceeding 563 K (290 °C);

Note:1C008.a. controls substances in liquid or solid "fusible" form, including resin, powder, pellet, film, sheet, tape or ribbon.

N.B.For non-"fusible" aromatic polyimides in film, sheet, tape or ribbon form, see 1A003.

b.Not used;

c.Not used;

d.Polyarylene ketones;

e.Polyarylene sulphides, where the arylene group is biphenylene, triphenylene or combinations thereof;

f.Polybiphenylenethersulphone having a 'glass transition temperature (Tg)' exceeding 563 K (290 °C).

Technical Note:

1.The 'glass transition temperature (Tg)' for 1C008.a.2. thermoplastic materials and 1C008.a.4. materials is determined using the method described in ISO 11357-2 (1999) or national equivalents

2.The 'glass transition temperature (Tg)' for 1C008.a.2. thermosetting materials and 1C008.a.3. materials is determined using the 3-point bend method described in ASTM D 7028-07 or equivalent national standard. The test is to be performed using a dry test specimen which has attained a minimum of 90 % degree of cure as specified by ASTM E 2160-04 or equivalent national standard, and was cured using the combination of standard- and post-cure processes that yield the highest Tg.

1C009    Unprocessed fluorinated compounds as follows:

a.Copolymers of vinylidene fluoride having 75 % or more beta crystalline structure without stretching;

b.Fluorinated polyimides containing 10 % by weight or more of combined fluorine;

c.Fluorinated phosphazene elastomers containing 30 % by weight or more of combined fluorine.

1C010    "Fibrous or filamentary materials", as follows:

N.B.:    SEE ALSO 1C210 AND 9C110.

Technical Note:

1.For the purpose of calculating "specific tensile strength", "specific modulus" or specific weight of "fibrous or filamentary materials" in 1C010.a., 1C010.b., 1C010.c. or 1C010.e.1.b., the tensile strength and modulus should be determined by using Method A described in ISO 10618 (2004) or national equivalents.

2.Assessing the "specific tensile strength", "specific modulus" or specific weight of non-unidirectional "fibrous or filamentary materials" (e.g., fabrics, random mats or braids) in 1C010 is to be based on the mechanical properties of the constituent unidirectional monofilaments (e.g., monofilaments, yarns, rovings or tows) prior to processing into the non-unidirectional "fibrous or filamentary materials".

a.Organic "fibrous or filamentary materials", having all of the following:

1."Specific modulus" exceeding 12,7 × 106 m; and

2."Specific tensile strength" exceeding 23,5 × 104 m;

Note:1C010.a. does not control polyethylene.

b.Carbon "fibrous or filamentary materials", having all of the following:

1."Specific modulus" exceeding 14,65 × 106 m; and

2."Specific tensile strength" exceeding 26,82 × 104 m;

Note:1C010.b. does not control:

a."Fibrous or filamentary materials", for the repair of "civil aircraft" structures or laminates, having all of the following:

1.An area not exceeding 1 m2;

2.A length not exceeding 2,5 m; and

3.A width exceeding 15 mm.

b.Mechanically chopped, milled or cut carbon "fibrous or filamentary materials" 25,0 mm or less in length.

c.Inorganic "fibrous or filamentary materials", having all of the following:

1."Specific modulus" exceeding 2,54 × 106 m; and

2.Melting, softening, decomposition or sublimation point exceeding 1922 K (1649 °C) in an inert environment;

Note:1C010.c. does not control:

a.Discontinuous, multiphase, polycrystalline alumina fibres in chopped fibre or random mat form, containing 3 % by weight or more silica, with a "specific modulus" of less than 10 × 106 m;

b.Molybdenum and molybdenum alloy fibres;

c.Boron fibres;

d.Discontinuous ceramic fibres with a melting, softening, decomposition or sublimation point lower than 2043 K (1770 °C) in an inert environment.

d."Fibrous or filamentary materials", having any of the following:

1.Composed of any of the following:

a.Polyetherimides specified in 1C008.a.; or

b.Materials specified in 1C008.d. to 1C008.f.; or

2.Composed of materials specified in 1C010.d.1.a. or 1C010.d.1.b. and "commingled" with other fibres specified in 1C010.a., 1C010.b. or 1C010.c.;

e.Fully or partially resin-impregnated or pitch-impregnated "fibrous or filamentary materials" (prepregs), metal or carbon-coated "fibrous or filamentary materials" (preforms) or "carbon fibre preforms", having all of the following:

1.Having any of the following:

a.Inorganic "fibrous or filamentary materials" specified in 1C010.c.; or

b.Organic or carbon "fibrous or filamentary materials", having all of the following:

1."Specific modulus" exceeding 10,15 × 106 m; and

2."Specific tensile strength" exceeding 17,7 × 104 m; and

2.Having any of the following:

a.Resin or pitch, specified in 1C008 or 1C009.b.;

b.'Dynamic Mechanical Analysis glass transition temperature (DMA Tg)' equal to or exceeding 453 K (180 °C) and having a phenolic resin; or

c.'Dynamic Mechanical Analysis glass transition temperature (DMA Tg)' equal to or exceeding 505 K (232 °C) and having a resin or pitch, not specified in 1C008 or 1C009.b., and not being a phenolic resin;

Note 1:Metal or carbon-coated "fibrous or filamentary materials" (preforms) or "carbon fibre preforms", not impregnated with resin or pitch, are specified by "fibrous or filamentary materials" in 1C010.a., 1C010.b. or 1C010.c.

Note 2:1C010.e. does not control:

a.Epoxy resin "matrix" impregnated carbon "fibrous or filamentary materials" (prepregs) for the repair of "civil aircraft" structures or laminates, having all the following;

1.An area not exceeding 1 m2;

2.A length not exceeding 2,5 m; and

3.A width exceeding 15 mm.

b.Fully or partially resin-impregnated or pitch-impregnated mechanically chopped, milled or cut carbon "fibrous or filamentary materials" 25,0 mm or less in length when using a resin or pitch other than those specified by 1C008 or 1C009.b.

Technical Note:

The 'Dynamic Mechanical Analysis glass transition temperature (DMA Tg)' for materials specified by 1C010.e. is determined using the method described in ASTM D 7028-07, or equivalent national standard, on a dry test specimen. In the case of thermoset materials, degree of cure of a dry test specimen shall be a minimum of 90 % as defined by ASTM E 2160-04 or equivalent national standard.

1C011    Metals and compounds, as follows:

N.B.:    SEE ALSO MILITARY GOODS CONTROLS and 1C111.

a.Metals in particle sizes of less than 60 μm whether spherical, atomised, spheroidal, flaked or ground, manufactured from material consisting of 99 % or more of zirconium, magnesium and alloys thereof;

Technical Note:

The natural content of hafnium in the zirconium (typically 2 % to 7 %) is counted with the zirconium.

Note:    The metals or alloys specified in 1C011.a. are controlled whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium.

b.Boron or boron alloys, with a particle size of 60 μm or less, as follows:

1.Boron with a purity of 85 % by weight or more;

2.Boron alloys with a boron content of 85 % by weight or more;

Note:The metals or alloys specified in 1C011.b. are controlled whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium.

c.Guanidine nitrate (CAS 506-93-4);

d.Nitroguanidine (NQ) (CAS 556-88-7).

N.B.:See also Military Goods Controls for metal powders mixed with other substances to form a mixture formulated for military purposes.

1C012    Materials as follows:

Technical Note:

These materials are typically used for nuclear heat sources.

a.Plutonium in any form with a plutonium isotopic assay of plutonium-238 of more than 50 % by weight;

Note:1C012.a. does not control:

a.Shipments with a plutonium content of 1 g or less;

b.Shipments of 3 "effective grammes" or less when contained in a sensing component in instruments.

b."Previously separated" neptunium-237 in any form.

Note:1C012.b. does not control shipments with a neptunium-237 content of 1 g or less.

1C101    Materials and devices for reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures, other than those specified in 1C001, usable in 'missiles', "missile" subsystems or unmanned aerial vehicles specified in 9A012 or 9A112.a.

Note 1:1C101 includes:

a.Structural materials and coatings specially designed for reduced radar reflectivity;

b.Coatings, including paints, specially designed for reduced or tailored reflectivity or emissivity in the microwave, infrared or ultraviolet regions of the electromagnetic spectrum.

Note 2:1C101 does not include coatings when specially used for the thermal control of satellites.

Technical Note:

In 1C101 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

1C102    Resaturated pyrolized carbon-carbon materials designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

1C107    Graphite and ceramic materials, other than those specified in 1C007, as follows:

a.Fine grain graphites with a bulk density of 1,72 g/cm3 or greater, measured at 288 K (15 °C), and having a grain size of 100 μm or less, usable for rocket nozzles and re-entry vehicle nose tips, which can be machined to any of the following products:

1.Cylinders having a diameter of 120 mm or greater and a length of 50 mm or greater;

2.Tubes having an inner diameter of 65 mm or greater and a wall thickness of 25 mm or greater and a length of 50 mm or greater; or

3.Blocks having a size of 120 mm × 120 mm × 50 mm or greater;

N.B.:See also 0C004

b.Pyrolytic or fibrous reinforced graphites, usable for rocket nozzles and reentry vehicle nose tips usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104;

N.B.:See also 0C004

c.Ceramic composite materials (dielectric constant less than 6 at any frequency from 100 MHz to 100 GHz) for use in radomes usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104;

d.Bulk machinable silicon-carbide reinforced unfired ceramic, usable for nose tips usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104;

e.Reinforced silicon-carbide ceramic composites, usable for nose tips, reentry vehicles and nozzle flaps usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

1C111    Propellants and constituent chemicals for propellants, other than those specified in 1C011, as follows:

a.Propulsive substances:

1.Spherical or spheroidal aluminium powder other than that specified in the Military Goods Controls, in particle size of less than 200 μm and an aluminium content of 97 % by weight or more, if at least 10 % of the total weight is made up of particles of less than 63 μm, according to ISO 2591-1:1988 or national equivalents;

Technical Note:

A particle size of 63 μm (ISO R-565) corresponds to 250 mesh (Tyler) or 230 mesh (ASTM standard E-11).

2.Metal powders, other than that specified in the Military Goods Controls, as follows:

a.Metal powders of zirconium, beryllium or magnesium, or alloys of these metals, if at least 90 % of the total particles by particle volume or weight are made up of particles of less than 60 μm (determined by measurement techniques such as using a sieve, laser diffraction or optical scanning), whether spherical, atomized, spheroidal, flaked or ground, consisting 97 % by weight or more of any of the following:

1.Zirconium;

2.Beryllium; or

3.Magnesium;

Technical Note:

The natural content of hafnium in the zirconium (typically 2 % to 7 %) is counted with the zirconium.

b.Metal powders of either boron or boron alloys with a boron content of 85 % or more by weight, if at least 90 % of the total particles by particle volume or weight are made up of particles of less than 60 μm (determined by measurement techniques such as using a sieve, laser diffraction or optical scanning), whether spherical, atomised, spheroidal, flaked or ground;

Note:1C111a.2.a. and 1C111a.2.b. controls powder mixtures with a multimodal particle distribution (e.g. mixtures of different grain sizes) if one or more modes are controlled.

3.Oxidiser substances usable in liquid propellant rocket engines as follows:

a.Dinitrogen trioxide (CAS 10544-73-7);

b.Nitrogen dioxide (CAS 10102-44-0)/dinitrogen tetroxide (CAS 10544-72-6);

c.Dinitrogen pentoxide (CAS 10102-03-1);

d.Mixed Oxides of Nitrogen (MON);

Technical Note:

Mixed Oxides of Nitrogen (MON) are solutions of Nitric Oxide (NO) in Dinitrogen Tetroxide/Nitrogen Dioxide (N2O4/NO2) that can be used in missile systems. There are a range of compositions that can be denoted as MONi or MONij, where i and j are integers representing the percentage of Nitric Oxide in the mixture (e.g., MON3 contains 3 % Nitric Oxide, MON25 25 % Nitric Oxide. An upper limit is MON40, 40 % by weight).

e.SEE MILITARY GOODS CONTROLS for Inhibited Red Fuming Nitric Acid (IRFNA);

f.SEE MILITARY GOODS CONTROLS AND 1C238 for compounds composed of fluorine and one or more of other halogens, oxygen or nitrogen.

4.Hydrazine derivatives as follows:

N.B.:SEE ALSO MILITARY GOODS CONTROLS.

a.Trimethylhydrazine (CAS 1741-01-1);

b.Tetramethylhydrazine (CAS 6415-12-9);

c.N,N diallylhydrazine (CAS 5164-11-4);

d.Allylhydrazine (CAS 7422-78-8);

e.Ethylene dihydrazine;

f.Monomethylhydrazine dinitrate;

g.Unsymmetrical dimethylhydrazine nitrate;

h.Hydrazinium azide (CAS 14546-44-2);

i.Dimethylhydrazinium azide;

j.Hydrazinium dinitrate (CAS 13464-98-7);

k.Diimido oxalic acid dihydrazine (CAS 3457-37-2);

l.2-hydroxyethylhydrazine nitrate (HEHN);

m.See Military Goods Controls for Hydrazinium perchlorate;

n.Hydrazinium diperchlorate (CAS 13812-39-0);

o.Methylhydrazine nitrate (MHN) (CAS 29674-96-2);

p.Diethylhydrazine nitrate (DEHN);

q.3,6-dihydrazino tetrazine nitrate (1,4-dihydrazine nitrate) (DHTN);

5.High energy density materials, other than that specified in the Military Goods Controls, usable in 'missiles' or unmanned aerial vehicles specified in 9A012 or 9A112.a.;

a.Mixed fuel that incorporate both solid and liquid fuels, such as boron slurry, having a mass-based energy density of 40 × 106 J/kg or greater;

b.Other high energy density fuels and fuel additives (e.g., cubane, ionic solutions, JP-10) having a volume-based energy density of 37,5 × 109 J/m3 or greater, measured at 20 °C and one atmosphere (101,325 kPa) pressure;

Note:1C111.a.5.b. does not control fossil refined fuels and biofuels produced from vegetables, including fuels for engines certified for use in civil aviation, unless specially formulated for 'missiles' or unmanned aerial vehicles specified in 9A012 or 9A112.a..

Technical Note:

In 1C111.a.5. 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

6.Hydrazine replacement fuels as follows:

1,2-Dimethylaminoethylazide (DMAZ) (CAS 86147-04-8);

b.Polymeric substances:

1.Carboxy-terminated polybutadiene (including carboxyl-terminated polybutadiene) (CTPB);

2.Hydroxy-terminated polybutadiene (including hydroxyl-terminated polybutadiene) (HTPB), other than that specified in the Military Goods Controls;

3.Polybutadiene-acrylic acid (PBAA);

4.Polybutadiene-acrylic acid-acrylonitrile (PBAN);

5.Polytetrahydrofuran polyethylene glycol (TPEG);

Technical Note:

Polytetrahydrofuran polyethylene glycol (TPEG) is a block co-polymer of poly 1,4-Butanediol (CAS 110-63-4) and polyethylene glycol (PEG. (CAS 25322-68-3).

6.Polyglycidyl nitrate (PGN or poly-GLYN) (CAS 27814-48- 8).

c.Other propellant additives and agents:

1.SEE MILITARY GOODS CONTROLS FOR Carboranes, decaboranes, pentaboranes and derivatives thereof;

2.Triethylene glycol dinitrate (TEGDN) (CAS 111-22-8);

3.2-Nitrodiphenylamine (CAS 119-75-5);

4.Trimethylolethane trinitrate (TMETN) (CAS 3032-55-1);

5.Diethylene glycol dinitrate (DEGDN) (CAS 693-21-0);

6.Ferrocene derivatives as follows:

a.See Military Goods Controls for catocene;

b.See Military Goods Controls for Ethyl ferrocene;

c.See Military Goods Controls for Propyl ferrocene;

d.See Military Goods Controls for n-butyl ferrocene;

e.See Military Goods Controls for Pentyl ferrocene (CAS 1274-00-6);

f.See Military Goods Controls for Dicyclopentyl ferrocene;

g.See Military Goods Controls for Dicyclohexyl ferrocene;

h.See Military Goods Controls for Diethyl ferrocene

i.See Military Goods Controls for Dipropyl ferrocene;

j.See Military Goods Controls for Dibutyl ferrocene

k.See Military Goods Controls for Dihexyl ferrocene

l.See Military Goods Controls for Acetyl ferrocene (CAS 1271-55-2) / 1,1′-diacetyl ferrocene

m.See Military Goods Controls for ferrocene Carboxylic acids;

n.See Military Goods Controls for butacene;

o.Other ferrocene derivatives usable as rocket propellant burning rate modifiers, other than those specified in the Military Goods Controls.

Note:1C111.c.6.o. does not control ferrocene derivatives that contain a six carbon aromatic functional group attached to the ferrocene molecule.

7.4,5 diazidomethyl-2-methyl-1,2,3-triazole (iso- DAMTR), other than that specified in the Military Goods Controls.

Note:For propellants and constituent chemicals for propellants not specified in 1C111, see the Military Goods Controls.

1C116    Maraging steels, useable in 'missiles', having all of the following:

N.B.:SEE ALSO 1C216.

a.Having an ultimate tensile strength, measured at 293 K (20 °C), equal to or greater than:

1.0,9 GPa in the solution annealed stage; or

2.1,5 GPa in the precipitation hardened stage; and

b.Any of the following forms:

1.Sheet, plate or tubing with a wall or plate thickness equal to or less than 5,0 mm;

2.Tubular forms with a wall thickness equal to or less than 50 mm and having an inner diameter equal to or greater than 270 mm.

Technical Note 1:

Maraging steels are iron alloy:

1.Generally characterised by high nickel, very low carbon content and the use of substitutional elements or precipitates to produce strengthening and age-hardening of the alloy; and

2.Subjected to heat treatment cycles to facilitate the martensitic transformation process (solution annealed stage) and subsequently age hardened (precipitation hardened stage).

Technical Note 2:

In 1C116 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

1C117    Materials for the fabrication of 'missiles' components as follows:

a.Tungsten and alloys in particulate form with a tungsten content of 97 % by weight or more and a particle size of 50 × 10–6 m (50 μm) or less;

b.Molybdenum and alloys in particulate form with a molybdenum content of 97 % by weight or more and a particle size of 50 × 10–6 m (50 μm) or less;

c.Tungsten materials in solid form having all of the following:

1.Any of the following material compositions:

a.Tungsten and alloys containing 97 % by weight or more of tungsten;

b.Copper infiltrated tungsten containing 80 % by weight or more of tungsten; or

c.Silver infiltrated tungsten containing 80 % by weight ot more of tungsten; and

2.Able to be machined to any of the following products:

a.Cylinders having a diameter of 120 mm or greater and a length of 50 mm or greater;

b.Tubes having an inner diameter of 65 mm or greater and a wall thickness of 25 mm or greater and a length of 50 mm or greater; or

c.Blocks having a size of 120 mm by 120 mm by 50 mm or greater.

Technical Note:

In 1C117 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

1C118    Titanium-stabilised duplex stainless steel (Ti-DSS) having all of the following:

a.Having all of the following characteristics:

1.Containing 17,0 - 23,0 weight percent chromium and 4,5 - 7,0 weight percent nickel;

2.Having a titanium content of greater than 0,10 weight percent; and

3.A ferritic-austenitic microstructure (also referred to as a two-phase microstructure) of which at least 10 percent is austenite by volume (according to ASTM E-1181-87 or national equivalents); and

b.Having any of the following forms:

1.Ingots or bars having a size of 100 mm or more in each dimension;

2.Sheets having a width of 600 mm or more and a thickness of 3 mm or less; or

3.Tubes having an outer diameter of 600 mm or more and a wall thickness of 3 mm or less.

1C202    Alloys, other than those specified in 1C002.b.3. or.b.4., as follows:

a.Aluminium alloys having both of the following characteristics:

1.'Capable of' an ultimate tensile strength of 460 MPa or more at 293 K (20 °C); and

2.In the form of tubes or cylindrical solid forms (including forgings) with an outside diameter of more than 75 mm;

b.Titanium alloys having both of the following characteristics:

1.'Capable of' an ultimate tensile strength of 900 MPa or more at 293 K (20 °C); and

2.In the form of tubes or cylindrical solid forms (including forgings) with an outside diameter of more than 75 mm.

Technical Note:

The phrase alloys 'capable of' encompasses alloys before or after heat treatment.

1C210    'Fibrous or filamentary materials' or prepregs, other than those specified in 1C010.a., b. or e., as follows:

a.Carbon or aramid 'fibrous or filamentary materials' having either of the following characteristics:

1.A "specific modulus" of 12,7 × 106 m or greater; or

2.A "specific tensile strength" of 235 × 104 m or greater;

Note:1C210.a. does not control aramid 'fibrous or filamentary materials' having 0,25 % by weight or more of an ester based fibre surface modifier;

b.Glass 'fibrous or filamentary materials' having both of the following characteristics:

1.A "specific modulus" of 3,18 × 106 m or greater; and

2.A "specific tensile strength" of 7,62 × 104 m or greater;

c.Thermoset resin impregnated continuous "yarns", "rovings", "tows" or "tapes" with a width of 15 mm or less (prepregs), made from carbon or glass 'fibrous or filamentary materials' specified in 1C210.a. or b.

Technical Note:

The resin forms the matrix of the composite.

Note:    In 1C210, 'fibrous or filamentary materials' is restricted to continuous "monofilaments", "yarns", "rovings", "tows" or "tapes".

1C216    Maraging steel, other than that specified in 1C116, 'capable of' an ultimate tensile strength of 1950 MPa or more, at 293 K (20 °C).

Note:1C216 does not control forms in which all linear dimensions are 75 mm or less.

Technical Note:

The phrase maraging steel 'capable of' encompasses maraging steel before or after heat treatment.

1C225    Boron enriched in the boron-10 (10B) isotope to greater than its natural isotopic abundance, as follows: elemental boron, compounds, mixtures containing boron, manufactures thereof, waste or scrap of any of the foregoing.

Note:In 1C225 mixtures containing boron include boron loaded materials.

Technical Note:

The natural isotopic abundance of boron-10 is approximately 18,5 weight per cent (20 atom per cent).

1C226    Tungsten, tungsten carbide, and alloys containing more than 90 % tungsten by weight, other than that specified by 1C117, having both of the following characteristics:

a.In forms with a hollow cylindrical symmetry (including cylinder segments) with an inside diameter between 100 mm and 300 mm; and

b.A mass greater than 20 kg.

Note:    1C226 does not control manufactures specially designed as weights or gamma-ray collimators.

1C227    Calcium having both of the following characteristics:

a.Containing less than 1000 parts per million by weight of metallic impurities other than magnesium; and

b.Containing less than 10 parts per million by weight of boron.

1C228    Magnesium having both of the following characteristics:

a.Containing less than 200 parts per million by weight of metallic impurities other than calcium; and

b.Containing less than 10 parts per million by weight of boron.

1C229    Bismuth having both of the following characteristics:

a.A purity of 99,99 % or greater by weight; and

b.Containing less than 10 ppm (parts per million) by weight of silver.

1C230    Beryllium metal, alloys containing more than 50 % beryllium by weight, beryllium compounds, manufactures thereof, and waste or scrap of any of the foregoing, other than that specified in the Military Goods Controls.

N.B.:SEE ALSO MILITARY GOODS CONTROLS.

Note:1C230 does not control the following:

a.Metal windows for X-ray machines, or for bore-hole logging devices;

b.Oxide shapes in fabricated or semi-fabricated forms specially designed for electronic component parts or as substrates for electronic circuits;

c.Beryl (silicate of beryllium and aluminium) in the form of emeralds or aquamarines.

1C231    Hafnium metal, alloys containing more than 60 % hafnium by weight, hafnium compounds containing more than 60 % hafnium by weight, manufactures thereof, and waste or scrap of any of the foregoing.

1C232    Helium-3 (3He), mixtures containing helium-3, and products or devices containing any of the foregoing.

Note:    1C232 does not control a product or device containing less than 1 g of helium-3.

1C233    Lithium enriched in the lithium-6 (6Li) isotope to greater than its natural isotopic abundance, and products or devices containing enriched lithium, as follows: elemental lithium, alloys, compounds, mixtures containing lithium, manufactures thereof, waste or scrap of any of the foregoing.

Note:1C233 does not control thermoluminescent dosimeters.

Technical Note:

The natural isotopic abundance of lithium-6 is approximately 6,5 weight per cent (7.5 atom per cent).

1C234    Zirconium with a hafnium content of less than 1 part hafnium to 500 parts zirconium by weight, as follows: metal, alloys containing more than 50 % zirconium by weight, compounds, manufactures thereof, waste or scrap of any of the foregoing, other than those specified in 0A001.f.

Note:    1C234 does not control zirconium in the form of foil having a thickness of 0,10 mm or less.

1C235    Tritium, tritium compounds, mixtures containing tritium in which the ratio of tritium to hydrogen atoms exceeds 1 part in 1000, and products or devices containing any of the foregoing.

Note:    1C235 does not control a product or device containing less than 1.48 × 103 GBq (40 Ci) of tritium.

1C236    'Radionuclides' appropriate for making neutron sources based on alpha-n reaction, other than those specified in 0C001 and 1C012.a., in the following forms:

a.Elemental;

b.Compounds having a total activity of 37 GBq/kg (1 Ci/kg) or greater;

c.Mixtures having a total activity of 3 GBq/kg (1 Ci/kg) or greater;

d.Products or devices containing any of the foregoing.

Note:    1C236 does not control a product or device containing less than 3,7 GBq (100 millicuries) of activity.

Technical Note:

In 1C236 'radionuclides' are any of the following:

Actinium-225 (Ac-225)

Actinium-227 (Ac-227)

Californium-253 (Cf-253)

Curium-240 (Cm-240)

Curium-241 (Cm-241)

Curium-242 (Cm-242)

Curium-243 (Cm-243)

Curium-244 (Cm-244)

Einsteinium-253 (Es-253)

Einsteinium-254 (Es-254)

Gadolinium-148 (Gd-148)

Plutonium-236 (Pu-236)

Plutonium-238 (Pu-238)

Polonium-208 (Po-208)

Polonium-209 (Po-209)

Polonium-210 (Po-210)

Radium-223 (Ra-223)

Thorium-227 (Th-227)

Thorium-228 (Th-228)

Uranium-230 (U-230)

Uranium-232 (U-232)

1C237    Radium-226 (226Ra), radium-226 alloys, radium-226 compounds, mixtures containing radium-226, manufactures thereof, and products or devices containing any of the foregoing.

Note:    1C237 does not control the following:

a.Medical applicators;

b.A product or device containing less than 0,37 GBq (10 millicuries) of radium-226.

1C238    Chlorine trifluoride (ClF3).

1C239    High explosives, other than those specified in the Military Goods Controls, or substances or mixtures containing more than 2 % by weight thereof, with a crystal density greater than 1,8 g/cm3 and having a detonation velocity greater than 8000 m/s.

1C240    Nickel powder and porous nickel metal, other than those specified in 0C005, as follows:

a.Nickel powder having both of the following characteristics:

1.A nickel purity content of 99,0 % or greater by weight; and

2.A mean particle size of less than 10 μm measured by American Society for Testing and Materials (ASTM) B330 standard;

b.Porous nickel metal produced from materials specified in 1C240.a.

Note:1C240 does not control the following:

a.Filamentary nickel powders;

b.Single porous nickel sheets with an area of 1000 cm2 per sheet or less.

Technical Note:

1C240.b. refers to porous metal formed by compacting and sintering the materials in 1C240.a. to form a metal material with fine pores interconnected throughout the structure.

1C241    Rhenium, and alloys containing 90 % by weight or more rhenium; and alloys of rhenium and tungsten containing 90 % by weight or more of any combination of rhenium and tungsten, other than those specified in 1C226, having both of the following characteristics:

a.In forms with a hollow cylindrical symmetry (including cylinder segments) with an inside diameter between 100 and 300 mm; and

b.A mass greater than 20 kg.

1C350    Chemicals, which may be used as precursors for toxic chemical agents, as follows, and "chemical mixtures" containing one or more thereof:

N.B.:    SEE ALSO MILITARY GOODS CONTROLS AND 1C450.

1.Thiodiglycol (111-48-8);

2.Phosphorus oxychloride (10025-87-3);

3.Dimethyl methylphosphonate (756-79-6);

4.SEE MILITARY GOODS CONTROLS for Methyl phosphonyl difluoride (676-99-3);

5.Methyl phosphonyl dichloride (676-97-1);

6.Dimethyl phosphite (DMP) (868-85-9);

7.Phosphorus trichloride (7719-12-2);

8.Trimethyl phosphite (TMP) (121-45-9);

9.Thionyl chloride (7719-09-7);

10.3-Hydroxy-1-methylpiperidine (3554-74-3);

11.N,N-Diisopropyl-(beta)-aminoethyl chloride (96-79-7);

12.N,N-Diisopropyl-(beta)-aminoethane thiol (5842-07-9);

13.3-Quinuclidinol (1619-34-7);

14.Potassium fluoride (7789-23-3);

15.2-Chloroethanol (107-07-3);

16.Dimethylamine (124-40-3);

17.Diethyl ethylphosphonate (78-38-6);

18.Diethyl N,N-dimethylphosphoramidate (2404-03-7);

19.Diethyl phosphite (762-04-9);

20.Dimethylamine hydrochloride (506-59-2);

21.Ethyl phosphinyl dichloride (1498-40-4);

22.Ethyl phosphonyl dichloride (1066-50-8);

23.SEE MILITARY GOODS CONTROLS for Ethyl phosphonyl difluoride (753-98-0);

24.Hydrogen fluoride (7664-39-3);

25.Methyl benzilate (76-89-1);

26.Methyl phosphinyl dichloride (676-83-5);

27.N,N-Diisopropyl-(beta)-amino ethanol (96-80-0);

28.Pinacolyl alcohol (464-07-3);

29.SEE MILITARY GOODS CONTROLS for O-Ethyl-O-2-diisopropylaminoethyl methyl phosphonite (QL) (57856-11-8);

30.Triethyl phosphite (122-52-1);

31.Arsenic trichloride (7784-34-1);

32.Benzilic acid (76-93-7);

33.Diethyl methylphosphonite (15715-41-0);

34.Dimethyl ethylphosphonate (6163-75-3);

35.Ethyl phosphinyl difluoride (430-78-4);

36.Methyl phosphinyl difluoride (753-59-3);

37.3-Quinuclidone (3731-38-2);

38.Phosphorus pentachloride (10026-13-8);

39.Pinacolone (75-97-8);

40.Potassium cyanide (151-50-8);

41.Potassium bifluoride (7789-29-9);

42.Ammonium hydrogen fluoride or ammonium bifluoride (1341-49-7);

43.Sodium fluoride (7681-49-4);

44.Sodium bifluoride (1333-83-1);

45.Sodium cyanide (143-33-9);

46.Triethanolamine (102-71-6);

47.Phosphorus pentasulphide (1314-80-3);

48.Di-isopropylamine (108-18-9);

49.Diethylaminoethanol (100-37-8);

50.Sodium sulphide (1313-82-2);

51.Sulphur monochloride (10025-67-9);

52.Sulphur dichloride (10545-99-0);

53.Triethanolamine hydrochloride (637-39-8);

54.N,N-Diisopropyl-(Beta)-aminoethyl chloride hydrochloride (4261-68-1);

55.Methylphosphonic acid (993-13-5);

56.Diethyl methylphosphonate (683-08-9);

57.N,N-Dimethylaminophosphoryl dichloride (677-43-0);

58.Triisopropyl phosphite (116-17-6);

59.Ethyldiethanolamine (139-87-7);

60.O,O-Diethyl phosphorothioate (2465-65-8);

61.O,O-Diethyl phosphorodithioate (298-06-6);

62.Sodium hexafluorosilicate (16893-85-9);

63.Methylphosphonothioic dichloride (676-98-2).

Note 1:For exports to "States not Party to the Chemical Weapons Convention", 1C350 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C350.1, .3, .5, .11, .12, .13, .17, .18, .21, .22, .26, .27, .28, .31, .32, .33, .34, .35, .36, .54, .55, .56, .57 and .63 in which no individually specified chemical constitutes more than 10 % by the weight of the mixture.

Note 2:For exports to "States Party to the Chemical Weapons Convention", 1C350 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C350.1, .3, .5, .11, .12, .13, .17, .18, .21, .22, .26, .27, .28, .31, .32, .33, .34, .35, .36, .54, .55, .56, .57 and .63 in which no individually specified chemical constitutes more than 30 % by the weight of the mixture.

Note 3:1C350 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C350.2, .6, .7, .8, .9, .10, .14, .15, .16, .19, .20, .24, .25, .30, .37, .38, .39, .40, .41, .42, .43, .44, .45, .46, .47, .48, .49, .50, .51, .52, .53, .58, .59, .60, .61 and .62 in which no individually specified chemical constitutes more than 30 % by the weight of the mixture.

Note 4:1C350 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.

1C351    Human and animal pathogens and "toxins", as follows:

a.Viruses, whether natural, enhanced or modified, either in the form of "isolated live cultures" or as material including living material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.African horse sickness virus;

2.African swine fever virus;

3.Andes virus;

4.Avian influenza virus, which are:

a.Uncharacterised; or

b.Defined in Annex I(2) EC Directive 2005/94/EC (OJ L 10 14.1.2006 p. 16) as having high pathogenicity, as follows:

1.Type A viruses with an IVPI (intravenous pathogenicity index) in 6 Week old chickens of greater than 1,2; or

2.Type A viruses of the subtypes H5 or H7 With genome sequences codified for multiple basic amino acids at the cleavage site of the haemagglutinin molecule similar to that observed for other HPAI viruses, indicating that the haemagglutinin molecule can be cleaved by a host ubiquitous protease;

5.Bluetongue virus;

6.Chapare virus;

7.Chikungunya virus;

8.Choclo virus;

9.Congo-Crimean haemorrhagic fever virus;

10.Dengue fever virus;

11.Dobrava-Belgrade virus;

12.Eastern equine encephalitis virus;

13.Ebola virus;

14.Foot and mouth disease virus;

15.Goat pox virus;

16.Guanarito virus;

17.Hantaan virus;

18.Hendra virus (Equine morbillivirus);

19.Herpes virus (Aujeszky's disease);

20.Hog cholera virus (swine fever virus);

21.Japanese encephalitis virus;

22.Junin virus;

23.Kyasanur Forest virus;

24.Laguna Negra virus;

25.Lassa fever virus;

26.Louping ill virus;

27.Lujo virus;

28.Lumpy skin disease virus;

29.Lymphocytic choriomeningitis virus;

30.Machupo virus;

31.Marburg virus;

32.Monkey pox virus;

33.Murray Valley encephalitis virus;

34.Newcastle disease virus;

35.Nipah virus;

36.Omsk haemorrhagic fever virus;

37.Oropouche virus;

38.Peste des petits ruminants virus;

39.Porcine enterovirus type 9 (swine vesicular disease virus);

40.Powassan virus;

41.Rabies virus and all other members of the Lyssavirus genus;

42.Rift Valley fever virus;

43.Rinderpest virus;

44.Rocio virus;

45.Sabia virus;

46.Seoul virus;

47.Sheep pox virus;

48.Sin nombre virus;

49.St Louis encephalitis virus;

50.Teschen disease virus;

51.Tick-borne encephalitis virus (Russian Spring-Summer encephalitis virus);

52.Variola virus;

53.Venezuelan equine encephalitis virus;

54.Vesicular stomatitis virus;

55.Western equine encephalitis virus;

56.Yellow fever virus;

b.Not used;

c.Bacteria, whether natural, enhanced or modified, either in the form of "isolated live cultures" or as material including living material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.Bacillus anthracis;

2.Brucella abortus;

3.Brucella melitensis;

4.Brucella suis;

5.Burkholderia mallei (Pseudomonas mallei);

6.Burkholderia pseudomallei (Pseudomonas pseudomallei);

7.Chlamydophila psittaci (formerly known as Chlamydia psittaci);

8.Clostridium argentinense (formerly known as Clostridium botulinum Type G), botulinum neurotoxin producing strains;

9.Clostridium baratii, botulinum neurotoxin producing strains;

10.Clostridium botulinum;

11.Clostridium butyricum, botulinum neurotoxin producing strains;

12.Clostridium perfringens epsilon toxin producing types;

13.Coxiella burnetii;

14.Francisella tularensis;

15.Mycoplasma capricolum subspecies capripneumoniae (strain F38);

16.Mycoplasma mycoides subspecies mycoides SC (small colony);

17.Rickettsia prowasecki;

18.Salmonella typhi;

19.Shiga toxin producing Escherichia coli (STEC) of serogroups O26, O45, O103, O104, O111, O121, O145, O157, and other shiga toxin producing serogroups;

Technical Note:

Shiga toxin producing Escherichia coli (STEC) is also known as enterohaemorrhagic E. coli (EHEC) or verocytotoxin producing E. coli (VTEC).

20.Shigella dysenteriae;

21.Vibrio cholerae;

22.Yersinia pestis;

d."Toxins", as follows, and "sub-unit of toxins" thereof:

1.Botulinum toxins;

2.Clostridium perfringens alpha, beta 1, beta 2, epsilon and iota toxins;

3.Conotoxin;

4.Ricin;

5.Saxitoxin;

6.Shiga toxin;

7.Staphylococcus aureus enterotoxins, hemolysin alpha toxin, and toxic shock syndrome toxin (formerly known as Staphylococcus enterotoxin F);

8.Tetrodotoxin;

9.Verotoxin and shiga-like ribosome inactivating proteins;

10.Microcystin (Cyanginosin);

11.Aflatoxins;

12.Abrin;

13.Cholera toxin;

14.Diacetoxyscirpenol toxin;

15.T-2 toxin;

16.HT-2 toxin;

17.Modeccin;

18.Volkensin;

19.Viscum album Lectin 1 (Viscumin);

Note:1C351.d. does not control botulinum toxins or conotoxins in product form meeting all of the following criteria:

1.Are pharmaceutical formulations designed for human administration in the treatment of medical conditions;

2.Are pre-packaged for distribution as medical products;

3.Are authorised by a state authority to be marketed as medical products.

e.Fungi, whether natural, enhanced or modified, either in the form of "isolated live cultures" or as material including living material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.Coccidioides immitis;

2.Coccidioides posadasii.

Note:    1C351 does not control "vaccines" or "immunotoxins".

1C352    Not used

1C353    Genetic elements and genetically modified organisms, as follows:

a.Genetically modified organisms or genetic elements that contain nucleic acid sequences associated with pathogenicity of organisms specified in 1C351.a., 1C351.c, 1C351.e. or 1C354;

b.Genetically modified organisms or genetic elements that contain nucleic acid sequences coding for any of the "toxins" specified in 1C351.d. or "sub-units of toxins" thereof.

Technical Notes:

1.Genetically-modified organisms includes organisms in which the genetic material (nucleic acid sequences) has been altered in a way that does not occur naturally by mating and/or natural recombination, and encompasses those produced artificially in whole or in part.

2.Genetic elements include inter alia chromosomes, genomes, plasmids, transposons, and vectors whether genetically modified or unmodified, or chemically synthesized in whole or in part.

3.Nucleic acid sequences associated with the pathogenicity of any of the micro-organisms specified in 1C351.a., 1C351.c., 1C351.e. or 1C354 means any sequence specific to the specified micro-organism that:

a.In itself or through its transcribed or translated products represents a significant hazard to human, animal or plant health; or

b.Is known to enhance the ability of a specified micro-organism, or any other organism into which it may be inserted or otherwise integrated, to cause serious harm to humans, animals or plant health.

Note:1C353 does not control nucleic acid sequences associated with the pathogenicity of enterohaemorrhagic Escherichia coli, serotype O157 and other verotoxin producing strains, other than those coding for the verotoxin, or for its sub-units.

1C354    Plant pathogens, as follows:

a.Viruses, whether natural, enhanced or modified, either in the form of "isolated live cultures" or as material including living material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.Andean potato latent virus (Potato Andean latent tymovirus);

2.Potato spindle tuber viroid;

b.Bacteria, whether natural, enhanced or modified, either in the form of "isolated live cultures" or as material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.Xanthomonas albilineans;

2.Xanthomonas axonopodis pv. citri (Xanthomonas campestris pv. citri A) [Xanthomonas campestris pv. citri];

3.Xanthomonas oryzae pv. oryzae (Pseudomonas campestris pv. oryzae);

4.Clavibacter michiganensis subsp. sepedonicus (Corynebacterium michiganensis subsp. sepedonicum or Corynebacterium sepedonicum);

5.Ralstonia solanacearum, race 3, biovar 2;

c.Fungi, whether natural, enhanced or modified, either in the form of "isolated live cultures" or as material which has been deliberately inoculated or contaminated with such cultures, as follows:

1.Colletotrichum kahawae (Colletotrichum coffeanum var. virulans);

2.Cochliobolus miyabeanus (Helminthosporium oryzae);

3.Microcyclus ulei (syn. Dothidella ulei);

4.Puccinia graminis ssp. graminis var. graminis / Puccinia graminis ssp. graminis var. stakmanii (Puccinia graminis [syn. Puccinia graminis f. sp. tritici]);

5.Puccinia striiformis (syn. Puccinia glumarum);

6.Magnaporthe oryzae (Pyricularia oryzae);

7.Peronosclerospora philippinensis (Peronosclerospora sacchari);

8.Sclerophthora rayssiae var. zeae;

9.Synchytrium endobioticium;

10.Tilletia indica;

11.Thecaphora solani.

1C450    Toxic chemicals and toxic chemical precursors, as follows, and "chemical mixtures" containing one or more thereof:

N.B.:    SEE ALSO ENTRY 1C350, 1C351.d. AND MILITARY GOODS CONTROLS.

a.Toxic chemicals, as follows:

1.Amiton: O,O-Diethyl S-[2-(diethylamino)ethyl] phosphorothiolate (78-53-5) and corresponding alkylated or protonated salts;

2.PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene (382-21-8);

3.SEE MILITARY GOODS CONTROLS for BZ: 3-Quinuclidinyl benzilate (6581-06-2);

4.Phosgene: Carbonyl dichloride (75-44-5);

5.Cyanogen chloride (506-77-4);

6.Hydrogen cyanide (74-90-8);

7.Chloropicrin: Trichloronitromethane (76-06-2);

Note 1:For exports to "States not Party to the Chemical Weapons Convention", 1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C450.a.1. and .a.2. in which no individually specified chemical constitutes more than 1 % by the weight of the mixture.

Note 2:For exports to "States Party to the Chemical Weapons Convention", 1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C450.a.1. and .a.2. in which no individually specified chemical constitutes more than 30 % by the weight of the mixture.

Note 3:1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C450.a.4., .a.5., .a.6. and .a.7. in which no individually specified chemical constitutes more than 30 % by the weight of the mixture.

Note 4:1C450 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.

b.Toxic chemical precursors, as follows:

1.Chemicals, other than those specified in the Military Goods Controls or in 1C350, containing a phosphorus atom to which is bonded one methyl, ethyl or propyl (normal or iso) group but not further carbon atoms;

Note:1C450.b.1 does not control Fonofos: O-Ethyl S-phenyl ethylphosphonothiolothionate (944-22-9);

2.N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] phosphoramidic dihalides, other than N,N-Dimethylaminophosphoryl dichloride;

N.B.:See 1C350.57. for N,N-Dimethylaminophosphoryl dichloride.

3.Dialkyl [methyl, ethyl or propyl (normal or iso)] N,N-dialkyl [methyl, ethyl or propyl (normal or iso)]-phosphoramidates, other than Diethyl-N,N-dimethylphosphoramidate which is specified in 1C350;

4.N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethyl-2-chlorides and corresponding protonated salts, other than N,N-Diisopropyl-(beta)-aminoethyl chloride or N,N-Diisopropyl-(beta)-aminoethyl chloride hydrochloride which are specified in 1C350;

5.è1 N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethane-2-ols and corresponding protonated salts, other than N,N-Diisopropyl-(beta)-aminoethanol (96-80-0) and N,N-Diethylaminoethanol (100-37-8) which are specified in 1C350; ç

Note:1C450.b.5. does not control the following:

a.N,N-Dimethylaminoethanol (108-01-0) and corresponding protonated salts;

b.Protonated salts of N,N-Diethylaminoethanol (100-37-8);

6.N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethane-2-thiols and corresponding protonated salts, other than N,N-Diisopropyl-(beta)-aminoethane thiol which is specified in 1C350;

7.See 1C350 for ethyldiethanolamine (139-87-7);

8.Methyldiethanolamine (105-59-9).

Note 1:For exports to "States not Party to the Chemical Weapons Convention", 1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C450.b.1., .b.2., .b.3., .b.4., .b.5. and .b.6. in which no individually specified chemical constitutes more than 10 % by the weight of the mixture.

Note 2:For exports to "States Party to the Chemical Weapons Convention", 1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C450.b.1., .b.2., .b.3., .b.4., .b.5. and .b.6. in which no individually specified chemical constitutes more than 30 % by the weight of the mixture.

Note 3:1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entry 1C450.b.8. in which no individually specified chemical constitutes more than 30 % by the weight of the mixture.

Note 4:1C450 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.

1DSoftware

1D001    "Software" specially designed or modified for the "development", "production" or "use" of equipment specified in 1B001 to 1B003.

1D002    "Software" for the "development" of organic "matrix", metal "matrix" or carbon "matrix" laminates or "composites".

1D003    "Software" specially designed or modified to enable equipment to perform the functions of equipment specified in 1A004.c. or 1A004.d.

1D101    "Software" specially designed or modified for the operation or maintenance of goods specified in 1B101, 1B102, 1B115, 1B117, 1B118 or 1B119.

1D103    "Software" specially designed for analysis of reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures.

1D201    "Software" specially designed for the "use" of goods specified in 1B201.

1ETechnology

1E001    "Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 1A001.b., 1A001.c., 1A002 to 1A005, 1A006.b., 1A007, 1B or 1C.

1E002    Other "technology" as follows:

a."Technology" for the "development" or "production" of polybenzothiazoles or polybenzoxazoles;

b."Technology" for the "development" or "production" of fluoroelastomer compounds containing at least one vinylether monomer;

c."Technology" for the design or "production" of the following ceramic powders or non-"composite" ceramic materials:

1.Ceramic powders having all of the following:

a.Any of the following compositions:

1.Single or complex oxides of zirconium and complex oxides of silicon or aluminium;

2.Single nitrides of boron (cubic crystalline forms);

3.Single or complex carbides of silicon or boron; or

4.Single or complex nitrides of silicon;

b.Any of the following total metallic impurities (excluding intentional additions):

1.Less than 1000 ppm for single oxides or carbides; or

2.Less than 5000 ppm for complex compounds or single nitrides; and

c.Being any of the following:

1.Zirconia (CAS 1314-23-4) with an average particle size equal to or less than 1 μm and no more than 10 % of the particles larger than 5 μm or

2.Other ceramic powders with an average particle size equal to or less than 5 μm and no more than 10 % of the particles larger than 10 μm; or

2.Non-"composite" ceramic materials composed of the materials specified in 1E002.c.1;

Note:1E002.c.2. does not control "technology" for the design or production of abrasives.

d.Not used.

e."Technology" for the installation, maintenance or repair of materials specified in 1C001;

f."Technology" for the repair of "composite" structures, laminates or materials specified in 1A002, 1C007.c. or 1C007.d.;

Note:1E002.f. does not control "technology" for the repair of "civil aircraft" structures using carbon "fibrous or filamentary materials" and epoxy resins, contained in aircraft manufacturers' manuals.

g."Libraries" specially designed or modified to enable equipment to perform the functions of equipment specified in 1A004.c. or 1A004.d.

1E101    "Technology" according to the General Technology Note for the "use" of goods specified in 1A102, 1B001, 1B101, 1B102, 1B115 to 1B119, 1C001, 1C101, 1C107, 1C111 to 1C118, 1D101 or 1D103.

1E102    "Technology" according to the General Technology Note for the "development" of "software" specified in 1D001, 1D101 or 1D103.

1E103    "Technology" for the regulation of temperature, pressure or atmosphere in autoclaves or hydroclaves, when used for the "production" of "composites" or partially processed "composites".

1E104    "Technology" relating to the "production" of pyrolytically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1573 K (1300 °C) to 3173 K (2900 °C) temperature range at pressures of 130 Pa to 20 kPa.

Note:    1E104 includes "technology" for the composition of precursor gases, flow-rates and process control schedules and parameters.

1E201    "Technology" according to the General Technology Note for the "use" of goods specified in 1A002, 1A007, 1A202, 1A225 to 1A227, 1B201, 1B225 to 1B234, 1C002.b.3. or .b.4., 1C010.b., 1C202, 1C210, 1C216, 1C225 to 1C241 or 1D201.

1E202    "Technology" according to the General Technology Note for the "development" or "production" of goods specified in 1A007, 1A202 or 1A225 to 1A227.

1E203    "Technology" according to the General Technology Note for the "development" of "software" specified in 1D201.

CATEGORY 2 —MATERIALS PROCESSING

2ASystems, Equipment and Components

N.B.:    For quiet running bearings, see the Military Goods Controls.

2A001    Anti-friction bearings and bearing systems, as follows, and components therefor:

N.B.:SEE ALSO 2A101.

Note:2A001 does not control balls with tolerances specified by the manufacturer in accordance with ISO 3290 as grade 5 or worse.

a.Ball bearings and solid roller bearings, having all tolerances specified by the manufacturer in accordance with ISO 492 Tolerance Class 4 (or national equivalents), or better, and having both rings and rolling elements (ISO 5593), made from monel or beryllium;

Note:2A001.a. does not control tapered roller bearings.

b.Not used;

c.Active magnetic bearing systems using any of the following:

1.Materials with flux densities of 2,0 T or greater and yield strengths greater than 414 MPa;

2.All-electromagnetic 3D homopolar bias designs for actuators; or

3.High temperature (450 K (177 °C) and above) position sensors.

2A101    Radial ball bearings, other than those specified in 2A001, having all tolerances specified in accordance with ISO 492 Tolerance Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9 or other national equivalents), or better and having all the following characteristics:

a.An inner ring bore diameter between 12 mm and 50 mm;

b.An outer ring outside diameter between 25 mm and 100 mm; and

c.A width between 10 mm and 20 mm.

2A225    Crucibles made of materials resistant to liquid actinide metals, as follows:

a.Crucibles having both of the following characteristics:

1.A volume of between 150 cm3 and 8000 cm3; and

2.Made of or coated with any of the following materials, or combination of the following materials, having an overall impurity level of 2 % or less by weight:

a.Calcium fluoride (CaF2);

b.Calcium zirconate (metazirconate) (CaZrO3);

c.Cerium sulphide (Ce2S3);

d.Erbium oxide (erbia) (Er2O3);

e.Hafnium oxide (hafnia) (HfO2);

f.Magnesium oxide (MgO);

g.Nitrided niobium-titanium-tungsten alloy (approximately 50 % Nb, 30 % Ti, 20 % W);

h.Yttrium oxide (yttria) (Y2O3); or

i.Zirconium oxide (zirconia) (ZrO2);

b.Crucibles having both of the following characteristics:

1.A volume of between 50 cm3 and 2000 cm3; and

2.Made of or lined with tantalum, having a purity of 99,9 % or greater by weight;

c.Crucibles having all of the following characteristics:

1.A volume of between 50 cm3 and 2000 cm3;

2.Made of or lined with tantalum, having a purity of 98 % or greater by weight; and

3.Coated with tantalum carbide, nitride, boride, or any combination thereof.

2A226    Valves having all of the following characteristics:

a.A 'nominal size' of 5 mm or greater;

b.Having a bellows seal; and

c.Wholly made of or lined with aluminium, aluminium alloy, nickel, or nickel alloy containing more than 60 % nickel by weight.

Technical Note:

For valves with different inlet and outlet diameters, the 'nominal size' in 2A226 refers to the smallest diameter.

2BTest, Inspection and Production Equipment

Technical Notes:

1.Secondary parallel contouring axes, (e.g., the w-axis on horizontal boring mills or a secondary rotary axis the centre line of which is parallel to the primary rotary axis) are not counted in the total number of contouring axes. Rotary axes need not rotate over 360 °. A rotary axis can be driven by a linear device (e.g., a screw or a rack-and-pinion).

2.For the purposes of 2B, the number of axes which can be co-ordinated simultaneously for "contouring control" is the number of axes along or around which, during processing of the workpiece, simultaneous and interrelated motions are performed between the workpiece and a tool. This does not include any additional axes along or around which other relative movement within the machine are performed such as:

a.Wheel-dressing systems in grinding machines;

b.Parallel rotary axes designed for mounting of separate workpieces;

c.Co-linear rotary axes designed for manipulating the same workpiece by holding it in a chuck from different ends.

3.Axis nomenclature shall be in accordance with International Standard ISO 8412001, Industrial automation systems and integration - Numerical Control –of machines Coordinate system and Motion nomenclature'.

4.For the purposes of 2B001 to 2B009 a "tilting spindle" is counted as a rotary axis.

5.'Stated "unidirectional positioning repeatability"' may be used for each machine tool model as an alternative to individual machine tests and is determined as follows:

a.Select five machines of a model to be evaluated;

b.Measure the linear axis repeatability (R↑,R↓) according to ISO 2302:2014 and evaluate "unidirectional positioning repeatability" for each axis of each of the five machines;

c.Determine the arithmetic mean value of the "unidirectional positioning repeatability"-values for each axis of all five machines together. These arithmetic mean values of "unidirectional positioning repeatability" (UPR) become the stated value of each axis for the model (UPRx,UPRy, …);

d.Since the Category 2 list refers to each linear axis there will be as many 'stated "unidirectional positioning repeatability" values as there are linear axes;

e.If any axis of a machine model not controlled by 2B001.a. to 2B001.c. has a 'stated "unidirectional positioning repeatability" equal to or less than the specified "unidirectional positioning repeatability" of each machine tool model plus 0,7 μm, the builder should be required to reaffirm the accuracy level once every eighteen months.

6.For the purposes of 2B001.a. to 2B001.c., measurement uncertainty for the "unidirectional positioning repeatability" of machine tools, as defined in the International Standard ISO 230/2:2014 or national equivalents, shall not be considered.

7.For the purpose of 2.B001.a. to 2B001.c.., the measurement of axes shall be made according to test procedures in 5.3.2. of ISO 230-2:2014. Tests for axes longer than 2 meters shall be made over 2 m segments. Axes longer than 4 m require multiple tests (e.g., two tests for axes longer than 4 m and up to 8 m, three tests for axes longer than 8 m and up to 12 m), each over 2 m segments and distributed in equal intervals over the axis length. Test segments are equally spaced along the full axis length, with any excess length equally divided at the beginning, in between, and at the end of the test segments. The smallest "unidirectional positioning repeatability"-value of all test segments is to be reported.

2B001    Machine tools and any combination thereof, for removing (or cutting) metals, ceramics or "composites", which, according to the manufacturer's technical specification, can be equipped with electronic devices for "numerical control", as follows:

N.B.:    SEE ALSO 2B201.

Note 1:2B001 does not control special purpose machine tools limited to the manufacture of gears. For such machines see 2B003.

Note 2:2B001 does not control special purpose machine tools limited to the manufacture of any of the following:

a.Crankshafts or camshafts;

b.Tools or cutters;

c.Extruder worms;

d.Engraved or facetted jewellery parts; or

e.Dental prostheses.

Note 3:A machine tool having at least two of the three turning, milling or grinding capabilities (e.g., a turning machine with milling capability), must be evaluated against each applicable entry 2B001.a., b. or c.

N.B.:For optical finishing machines, see 2B002.

a.Machine tools for turning having all of the following:

1."Unidirectional positioning repeatability" equal to or less (better) than 1,1 μm along one or more linear axis; and

2.Two or more axes which can be coordinated simultaneously for "contouring control";

Note:2B001.a. does not control turning machines specially designed for producing contact lenses, having all of the following:

a.Machine controller limited to using ophthalmic based software for part programming data input; and

b.No vacuum chucking.

b.Machine tools for milling having any of the following:

1.Having all of the following:

a."Unidirectional positioning repeatability" equal to or less (better) than 1,1 μm along one or more linear axis; and

b.Three linear axes plus one rotary axis which can be coordinated simultaneously for "contouring control";

2.Five or more axes which can be coordinated simultaneously for "contouring control" having any of the following;

N.B.:'Parallel mechanism machine tools' are specified in 2B001.b.2.d.

a."Unidirectional positioning repeatability" equal to or less (better) than 1,1 μm along one or more linear axis with a travel length less than 1 m;

b."Unidirectional positioning repeatability" equal to or less (better) than 1,4 μm along one or more linear axis with a travel length equal to or greater than 1 m and less than 4 m;

c."Unidirectional positioning repeatability" equal to or less (better) than 6,0 μm (along one or more linear axis with a travel length equal to or greater than 4 m; or

d.Being a 'parallel mechanism machine tool';

Technical Note:

A 'parallel mechanism machine tool' is a machine tool having multiple rods which are linked with a platform and actuators; each of the actuators operates the respective rod simultaneously and independently.

3.A "unidirectional positioning repeatability" for jig boring machines, equal to or less (better) than 1,1 μm along one or more linear axis; or

4.Fly cutting machines having all of the following:

a.Spindle "run-out" and "camming" less (better) than 0,0004 mm TIR; and

b.Angular deviation of slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR over 300 mm of travel;

c.Machine tools for grinding having any of the following:

1.Having all of the following:

a."Unidirectional positioning repeatability" equal to or less (better) than 1,1 μm along one or more linear axis; and

b.Three or more axes which can be coordinated simultaneously for "contouring control"; or

2.Five or more axes which can be coordinated simultaneously for "contouring control" having any of the following:

a."Unidirectional positioning repeatability" equal to or less (better) than 1.1 μm along one or more linear axis with a travel length less than 1 m;

b."Unidirectional positioning repeatability" equal to or less (better) than 1.4 μm along one or more linear axis with a travel length equal to or greater than 1 m and less than 4 m; or

c."Unidirectional positioning repeatability" equal to or less (better) than 6.0 μm along one or more linear axis with a travel length equal to or greater than 4 m.

Note:2B001.c. does not control grinding machine as follows:

a.Cylindrical external, internal, and external-internal grinding machines, having all of the following:

1.Limited to cylindrical grinding; and

2.Limited to a maximum workpiece capacity of 150 mm outside diameter or length.

b.Machines designed specifically as jig grinders that do not have a z-axis or a w-axis, with a "unidirectional positioning repeatability" less (better) than 1,1 μm

c.Surface grinders.

d.Electrical discharge machines (EDM) of the non-wire type which have two or more rotary axes which can be coordinated simultaneously for "contouring control";

e.Machine tools for removing metals, ceramics or "composites", having all of the following:

1.Removing material by means of any of the following:

a.Water or other liquid jets, including those employing abrasive additives;

b.Electron beam; or

c."Laser" beam; and

2.At least two rotary axes having all of the following:

a.Can be coordinated simultaneously for "contouring control"; and

b.A positioning "accuracy" of less (better) than 0,003 °;

f.Deep-hole-drilling machines and turning machines modified for deep-hole-drilling, having a maximum depth-of-bore capability exceeding 5 m.

2B002    "Numerically controlled" optical finishing machine tools equipped for selective material removal to produce non-spherical optical surfaces having all of the following characteristics:

a.Finishing the form to less (better) than 1,0 μm;

b.Finishing to a roughness less (better) than 100 nm rms.

c.Four or more axes which can be coordinated simultaneously for "contouring control"; and

d.Using any of the following processes:

1.Magnetorheological finishing ('MRF');

2.Electrorheological finishing ('ERF');

3.'Energetic particle beam finishing';

4.'Inflatable membrane tool finishing'; or

5.'Fluid jet finishing'.

Technical Notes:

For the purposes of 2B002:

1.'MRF' is a material removal process using an abrasive magnetic fluid whose viscosity is controlled by a magnetic field.

2.'ERF' is a removal process using an abrasive fluid whose viscosity is controlled by an electric field.

3.'Energetic particle beam finishing' uses Reactive Atom Plasmas (RAP) or ion-beams to selectively remove material.

4.'Inflatable membrane tool finishing' is a process that uses a pressurized membrane that deforms to contact the workpiece over a small area.

5.'Fluid jet finishing' makes use of a fluid stream for material removal.

2B003    "Numerically controlled" or manual machine tools, and specially designed components, controls and accessories therefor, specially designed for the shaving, finishing, grinding or honing of hardened (Rc = 40 or more) spur, helical and double-helical gears with a pitch diameter exceeding 1,250 mm and a face width of 15 % of pitch diameter or larger finished to a quality of AGMA 14 or better (equivalent to ISO 1328 class 3).

2B004    Hot "isostatic presses" having all of the following, and specially designed components and accessories therefor:

N.B.:    SEE ALSO 2B104 and 2B204.

a.A controlled thermal environment within the closed cavity and a chamber cavity with an inside diameter of 406 mm or more; and

b.Having any of the following:

1.A maximum working pressure exceeding 207 MPa;

2.A controlled thermal environment exceeding 1773 K (1500 °C); or

3.A facility for hydrocarbon impregnation and removal of resultant gaseous degradation products.

Technical Note:

The inside chamber dimension is that of the chamber in which both the working temperature and the working pressure are achieved and does not include fixtures. That dimension will be the smaller of either the inside diameter of the pressure chamber or the inside diameter of the insulated furnace chamber, depending on which of the two chambers is located inside the other.

N.B.:For specially designed dies, moulds and tooling see 1B003, 9B009 and the Military Goods Controls.

2B005    Equipment specially designed for the deposition, processing and in-process control of inorganic overlays, coatings and surface modifications, as follows, for non-electronic substrates, by processes shown in the Table and associated Notes following 2E003.f., and specially designed automated handling, positioning, manipulation and control components therefor:

a.Chemical vapour deposition (CVD) production equipment having all of the following:

N.B.:SEE ALSO 2B105.

1.A process modified for one of the following:

a.Pulsating CVD;

b.Controlled nucleation thermal deposition (CNTD); or

c.Plasma enhanced or plasma assisted CVD; and

2.Having any of the following:

a.Incorporating high vacuum (equal to or less than 0,01 Pa) rotating seals; or

b.Incorporating in situ coating thickness control;

b.Ion implantation production equipment having beam currents of 5 mA or more;

c.Electron beam physical vapour deposition (EB-PVD) production equipment incorporating power systems rated for over 80 kW and having any of the following:

1.A liquid pool level "laser" control system which regulates precisely the ingots feed rate; or

2.A computer controlled rate monitor operating on the principle of photo-luminescence of the ionised atoms in the evaporant stream to control the deposition rate of a coating containing two or more elements;

d.Plasma spraying production equipment having any of the following:

1.Operating at reduced pressure controlled atmosphere (equal to or less than 10 kPa measured above and within 300 mm of the gun nozzle exit) in a vacuum chamber capable of evacuation down to 0,01 Pa prior to the spraying process; or

2.Incorporating in situ coating thickness control;

e.Sputter deposition production equipment capable of current densities of 0,1 mA/mm2 or higher at a deposition rate of 15 μm/h or more;

f.Cathodic arc deposition production equipment incorporating a grid of electromagnets for steering control of the arc spot on the cathode;

g.Ion plating production equipment capable of the in situ measurement of any of the following:

1.Coating thickness on the substrate and rate control; or

2.Optical characteristics.

Note:    2B005 does not control chemical vapour deposition, cathodic arc, sputter deposition, ion plating or ion implantation equipment, specially designed for cutting or machining tools.

2B006    Dimensional inspection or measuring systems, equipment and "electronic assemblies", as follows:

a.Computer controlled or "numerically controlled" Coordinate Measuring Machines (CMM), having a three dimensional (volumetric) maximum permissible error of length measurement (E0, MPE) at any point within the operating range of the machine (i.e., within the length of axes) equal to or less (better) than (1,7 + L/1000) μm (L is the measured length in mm), according to ISO 10360-2 (2009);

Technical Note:

The E0, MPE of the most accurate configuration of the CMM specified by the manufacturer (e.g., best of the following: probe, stylus length, motion parameters, environment) and with "all compensations available" shall be compared to the 1,7 + L/1000 μm threshold.

N.B.:SEE ALSO 2B206.

b.Linear and angular displacement measuring instruments, as follows:

1.'Linear displacement' measuring instruments having any of the following:

Note:Displacement measuring "laser" interferometers are only controlled in 2B006.b.1.c.

Technical Note:

For the purpose of 2B006.b.1. 'linear displacement' means the change of distance between the measuring probe and the measured object.

a.Non-contact type measuring systems with a "resolution" equal to or less (better) than 0,2 μm within a measuring range up to 0,2 mm;

b.Linear Variable Differential Transformer (LVDT) systems having all of the following:

1.Having any of the following:

a."Linearity" equal to or less (better) than 0,1 % measured from 0 to the 'full operating range', for LVDTs with a 'full operating range' up to and including ± 5 mm; or

b."Linearity" equal to or less (better) than 0,1 % measured from 0 to 5mm for LVDTs with a 'full operating range' greater than ± 5 mm; and

2.Drift equal to or less (better) than 0,1 % per day at a standard ambient test room temperature ± 1 k;

Technical Note:

For the purposes of 2B006.b.1.b., 'full operating range' is half of the total possible linear displacement of the LVDT. For example, LVDTs with a 'full operating range' up to and including ± 5 mm can measure a total possible linear displacement of 10 mm..

c.Measuring systems having all of the following:

1.Containing a "laser"; and

2.Maintaining, for at least 12 hours, at a temperature of 20 ± 1 °C, all of the following:

a.A "resolution" over their full scale of 0,1 μm or less (better); and

b.Capable of achieving a "measurement uncertainty" equal to or less (better) than (0,2 + L/2000) μm (L is the measured length in mm) at any point within a measuring range, when compensated for the refractive index of air; or

d."Electronic assemblies" specially designed to provide feedback capability in systems specified in 2B006.b.1.c.;

Note:2B006.b.1. does not control measuring interferometer systems, with an automatic control system that is designed to use no feedback techniques, containing a "laser" to measure slide movement errors of machine-tools, dimensional inspection machines or similar equipment.

2.Angular displacement measuring instruments having an angular position "accuracy" equal to or less (better) than 0,00025 °;

Note:2B006.b.2. does not control optical instruments, such as autocollimators, using collimated light (e.g., laser light) to detect angular displacement of a mirror.

c.Equipment for measuring surface roughness (including surface defects), by measuring optical scatter with a sensitivity of 0,5 nm or less (better).

Note:    2B006 includes machine tools, other than those specified by 2B001, that can be used as measuring machines if they meet or exceed the criteria specified for the measuring machine function.

2B007    "Robots" having any of the following characteristics and specially designed controllers and "end-effectors" therefor:

N.B.:    SEE ALSO 2B207.

a.Capable in real time of full three-dimensional image processing or full three-dimensional 'scene analysis' to generate or modify "programmes" or to generate or modify numerical programme data;

Technical Note:

The scene analysis limitation does not include approximation of the third dimension by viewing at a given angle, or limited grey scale interpretation for the perception of depth or texture for the approved tasks (2 1/2 D).

b.Specially designed to comply with national safety standards applicable to potentially explosive munitions environments;

Note:2B007.b. does not control "robots" specially designed for paint-spraying booths.

c.Specially designed or rated as radiation-hardened to withstand a total radiation dose greater than 5 × 103 Gy (silicon) without operational degradation; or

Technical Note:

The term Gy(silicon) refers to the energy in Joules per kilogram absorbed by an unshielded silicon sample when exposed to ionising radiation.

d.Specially designed to operate at altitudes exceeding 30000 m.

2B008    Assemblies or units, specially designed for machine tools, or dimensional inspection or measuring systems and equipment, as follows:

a.Linear position feedback units having an overall "accuracy" less (better) than (800 + (600 × L/1000)) nm (L equals the effective length in mm);

N.B.:For "laser" systems see also Note to 2B006.b.1.c. and d.

b.Rotary position feedback units having an "accuracy" less (better) than 0,00025 °;

N.B.:For "laser" systems see also Note to 2B006.b.2.

Note:2B008.a. and 2B008.b. control units, which are designed to determine the positioning information for feedback control, such as inductive type devices, graduated scales, infrared systems or "laser" systems.

c."Compound rotary tables" and "tilting spindles", capable of upgrading, according to the manufacturer's specifications, machine tools to or above the levels specified in 2B.

2B009    Spin-forming machines and flow-forming machines, which, according to the manufacturer's technical specification, can be equipped with "numerical control" units or a computer control and having all of the following:

N.B.:    SEE ALSO 2B109 AND 2B209.

a.Three or more axes which can be coordinated simultaneously for "contouring control"; and

b.A roller force more than 60 kN.

Technical Note:

For the purpose of 2B009, machines combining the function of spin-forming and flow-forming are regarded as flow-forming machines.

2B104    "Isostatic presses", other than those specified in 2B004, having all of the following:

N.B.:    SEE ALSO 2B204.

a.Maximum working pressure of 69 MPa or greater;

b.Designed to achieve and maintain a controlled thermal environment of 873 K (600 °C) or greater; and

c.Possessing a chamber cavity with an inside diameter of 254 mm or greater.

2B105    Chemical vapour deposition (CVD) furnaces, other than those specified in 2B005.a., designed or modified for the densification of carbon-carbon composites.

2B109    Flow-forming machines, other than those specified in 2B009, and specially designed components as follows:

N.B.:    SEE ALSO 2B209.

a.Flow-forming machines having all of the following:

1.According to the manufacturer's technical specification, can be equipped with "numerical control" units or a computer control, even when not equipped with such units; and

2.With more than two axes which can be coordinated simultaneously for "contouring control".

b.Specially designed components for flow-forming machines specified in 2B009 or 2B109.a.

Note:2B109 does not control machines that are not usable in the production of propulsion components and equipment (e.g. motor cases) for systems specified in 9A005, 9A007.a. or 9A105.a.

Technical Note:

Machines combining the function of spin-forming and flow-forming are for the purpose of 2B109 regarded as flow-forming machines.

2B116    Vibration test systems, equipment and components therefor, as follows:

a.Vibration test systems employing feedback or closed loop techniques and incorporating a digital controller, capable of vibrating a system at an acceleration equal to or greater than 10 g rms between 20 Hz and 2 kHz while imparting forces equal to or greater than 50 kN, measured 'bare table';

b.Digital controllers, combined with specially designed vibration test software, with a 'real-time control bandwidth' greater than 5 kHz designed for use with vibration test systems specified in 2B116.a.;

Technical Note:

In 2B116.b., 'real-time control bandwidth' means the maximum rate at which a controller can execute complete cycles of sampling, processing data and transmitting control signals.

c.Vibration thrusters (shaker units), with or without associated amplifiers, capable of imparting a force equal to or greater than 50 kN, measured 'bare table', and usable in vibration test systems specified in 2B116.a.;

d.Test piece support structures and electronic units designed to combine multiple shaker units in a system capable of providing an effective combined force equal to or greater than 50 kN, measured 'bare table', and usable in vibration systems specified in 2B116.a.

Technical Note:

In 2B116, 'bare table' means a flat table, or surface, with no fixture or fittings.

2B117    Equipment and process controls, other than those specified in 2B004, 2B005.a., 2B104 or 2B105, designed or modified for densification and pyrolysis of structural composite rocket nozzles and reentry vehicle nose tips.

2B119    Balancing machines and related equipment, as follows:

N.B.:    SEE ALSO 2B219.

a.Balancing machines having all the following characteristics:

1.Not capable of balancing rotors/assemblies having a mass greater than 3 kg;

2.Capable of balancing rotors/assemblies at speeds greater than 12500 rpm;

3.Capable of correcting unbalance in two planes or more; and

4.Capable of balancing to a residual specific unbalance of 0,2 g mm per kg of rotor mass;

Note:2B119.a. does not control balancing machines designed or modified for dental or other medical equipment.

b.Indicator heads designed or modified for use with machines specified in 2B119.a.

Technical Note:

Indicator heads are sometimes known as balancing instrumentation.

2B120    Motion simulators or rate tables having all of the following characteristics:

a.Two axes or more;

b.Designed or modified to incorporate slip rings or integrated non-contact devices capable of transferring electrical power, signal information, or both; and

c.Having any of the following characteristics:

1.For any single axis having all of the following:

a.Capable of rates of 400 degrees/s or more, or 30 degrees/s or less; and

b.A rate resolution equal to or less than 6 degrees/s and an accuracy equal to or less than 0,6 degrees/s;

2.Having a worst-case rate stability equal to or better (less) than plus or minus 0,05 % averaged over 10 degrees or more; or

3.A positioning "accuracy" equal to or less (better) than 5 arc second.

Note 1:2B120 does not control rotary tables designed or modified for machine tools or for medical equipment. For controls on machine tool rotary tables see 2B008.

Note 2:Motion simulators or rate tables specified in 2B120 remain controlled whether or not slip rings or integrated non-contact devices are fitted at time of export.

2B121    Positioning tables (equipment capable of precise rotary positioning in any axes), other than those specified in 2B120, having all the following characteristics:

a.Two axes or more; and

b.A positioning "accuracy" equal to or less (better) than 5 arc second.

Note:    2B121 does not control rotary tables designed or modified for machine tools or for medical equipment. For controls on machine tool rotary tables see 2B008.

2B122    Centrifuges capable of imparting accelerations above 100 g and designed or modified to incorporate slip rings or integrated non-contact devices capable of transferring electrical power, signal information, or both.

Note:    Centrifuges specified in 2B122 remain controlled whether or not slip rings or integrated non-contact devices are fitted at time of export.

ê 2420/2015 Art. 1.1 and Annex I amended by Corrigendum, OJ L 060, 5.3.2016, p. 93

2B201    Machine tools and any combination thereof, other than those specified in 2B001, as follows, for removing or cutting metals, ceramics or "composites", which, according to the manufacturer's technical specification, can be equipped with electronic devices for simultaneous "contouring control" in two or more axes:

Technical Note:

Stated 'positioning accuracy' levels derived under the following procedures from measurements made according to ISO 230/2 (1988) 1 or national equivalents may be used for each machine tool model if provided to, and accepted by, national authorities instead of individual machine tests. Determination of 'Stated' positioning accuracy:

a.Select five machines of a model to be evaluated;

b.Measure the linear axis accuracies according to ISO 230/2 (1988 2 );

c.Determine the accuracy values (A) for each axis of each machine. The method of calculating the accuracy value is described in the ISO 230/2 (1988) 3 1 standard;

d.Determine the average accuracy value of each axis. This average value becomes the stated 'positioning accuracy' of each axis for the model (Âx Ây…);

e.Since Item 2B201 refers to each linear axis, there will be as many stated 'positioning accuracy' values as there are linear axes;

f.If any axis of a machine tool not controlled by 2B201.a., 2B201.b. or 2B201.c.. has a stated 'positioning accuracy' of 6 μm or better (less) for grinding machines, and 8 μm or better (less) for milling and turning machines, both according to ISO 230/2 (1988) 4 , then the builder should be required to reaffirm the accuracy level once every eighteen months.

a.Machine tools for milling, having any of the following characteristics:

1.'Positioning accuracies' with "all compensations available" equal to or less (better) than 6 μm according to ISO 230/2 (1988) 5 or national equivalents along any linear axis;

2.Two or more contouring rotary axes; or

3.Five or more axes which can be coordinated simultaneously for "contouring control";

Note:2B201.a. does not control milling machines having the following characteristics:

a.X-axis travel greater than 2 m; and

b.Overall 'positioning accuracy' on the x-axis more (worse) than 30 μm.

b.Machine tools for grinding, having any of the following characteristics:

1.'Positioning accuracies' with "all compensations available" equal to or less (better) than 4 μm according to ISO 230/2 (1988) 6 or national equivalents along any linear axis;

2.Two or more contouring rotary axes; or

3.Five or more axes which can be coordinated simultaneously for "contouring control";

Note:2B201.b. does not control grinding machines as follows:

a.Cylindrical external, internal, and external-internal grinding machines having all of the following characteristics:

1.Limited to a maximum workpiece capacity of 150 mm outside diameter or length; and

2.Axes limited to x, z and c;

b.Jig grinders that do not have a z-axis or a w-axis with an overall 'positioning accuracy' less (better) than 4 μm according to ISO 230/2(1988) or national equivalents.

c.Machine tools for turning, that have 'positioning accuracies' with "all compensations available" better (less) than 6 μm according to ISO 230/2 (1988) along any linear axis (overall positioning) for machines capable of machining diameters greater than 35 mm;

Note:2B201.c. does not control bar machines (Swissturn), limited to machining only bar feed thru, if maximum bar diameter is equal to or less than 42 mm and there is no capability of mounting chucks. Machines may have drilling and/or milling capabilities for machining parts with diameters less than 42 mm.

Note 1:2B201 does not control special purpose machine tools limited to the manufacture of any of the following parts:

a.Gears;

b.Crankshafts or camshafts;

c.Tools or cutters;

d.Extruder worms.

Note 2:A machine tool having at least two of the three turning, milling or grinding capabilities (e.g., a turning machine with milling capability), must be evaluated against each applicable entry 2B201.a., b. or c.

ê 2420/2015 Art. 1.1 and Annex I

è1 2420/2015 Art. 1.1 and Annex I amended by Corrigendum, OJ L 060, 5.3.2016, p. 93

2B204    "Isostatic presses", other than those specified in 2B004 or 2B104, and related equipment, as follows:

a."Isostatic presses" having both of the following characteristics:

1.Capable of achieving a maximum working pressure of 69 MPa or greater; and

2.A chamber cavity with an inside diameter in excess of 152 mm;

b.Dies, moulds and controls, specially designed for "isostatic presses" specified in 2B204.a.

Technical Note:

In 2B204 the inside chamber dimension is that of the chamber in which both the working temperature and the working pressure are achieved and does not include fixtures. That dimension will be the smaller of either the inside diameter of the pressure chamber or the inside diameter of the insulated furnace chamber, depending on which of the two chambers is located inside the other.

2B206    Dimensional inspection machines, instruments or systems, other than those specified in 2B006, as follows:

a.Computer controlled or numerically controlled coordinate measuring machines (CMM) having either of the following characteristics:

1.Having only two axes and having a maximum permissible error of length measurement along any axis (one dimensional), identified as any combination of E0x,MPE, E0y,MPE, or E0z,MPE, equal to or less (better) than (1,25 + L/1000) μm (where L is the measured length in mm) at any point within the operating range of the machine (i.e., within the length of the axis), according to ISO 10360-2(2009); or

2.Three or more axes and having a three dimensional (volumetric) maximum permissible error of length measurement (E0,MPE) equal to or less (better) than (1,7 + L/800) μm (where L is the measured length in mm) at any point within the operating range of the machine (i.e., within the length of the axis), according to ISO 10360-2(2009);

Technical Note:

The E0,MPE of the most accurate configuration of the CMM specified according to ISO 10360-2(2009) by the manufacturer (e.g., best of the following: probe, stylus, length, motion parameters, environments) and with all compensations available shall be compared to the 1,7 + L/800 μm threshold.

b.Systems for simultaneous linear-angular inspection of hemishells, having both of the following characteristics:

1."Measurement uncertainty" along any linear axis equal to or less (better) than 3,5 μm per 5 mm; and

2."Angular position deviation" equal to or less than 0,02 °.

Note 1:Machine tools that can be used as measuring machines are controlled if they meet or exceed the criteria specified for the machine tool function or the measuring machine function.

Note 2:A machine specified in 2B206 is controlled if it exceeds the control threshold anywhere within its operating range.

Technical Notes:

All parameters of measurement values in 2B206 represent plus/minus i.e., not total band.

2B207    "Robots", "end-effectors" and control units, other than those specified in 2B007, as follows:

a."Robots" or "end-effectors" specially designed to comply with national safety standards applicable to handling high explosives (for example, meeting electrical code ratings for high explosives);

b.Control units specially designed for any of the "robots" or "end-effectors" specified in 2B207.a.

2B209    Flow forming machines, spin forming machines capable of flow forming functions, other than those specified in 2B009 or 2B109, and mandrels, as follows:

a.Machines having both of the following characteristics:

1.Three or more rollers (active or guiding); and

2.Which, according to the manufacturer's technical specification, can be equipped with "numerical control" units or a computer control;

b.Rotor-forming mandrels designed to form cylindrical rotors of inside diameter between 75 mm and 400 mm.

Note:    2B209.a. includes machines which have only a single roller designed to deform metal plus two auxiliary rollers which support the mandrel, but do not participate directly in the deformation process.

2B219    Centrifugal multiplane balancing machines, fixed or portable, horizontal or vertical, as follows:

a.Centrifugal balancing machines designed for balancing flexible rotors having a length of 600 mm or more and having all of the following characteristics:

1.Swing or journal diameter greater than 75 mm;

2.Mass capability of from 0,9 to 23 kg; and

3.Capable of balancing speed of revolution greater than 5000 r.p.m.;

b.Centrifugal balancing machines designed for balancing hollow cylindrical rotor components and having all of the following characteristics:

1.Journal diameter greater than 75 mm;

2.Mass capability of from 0,9 to 23 kg;

3.Capable of balancing to a residual imbalance equal to or less than 0,01 kg ×mm/kg per plane; and

4.Belt drive type.

2B225    Remote manipulators that can be used to provide remote actions in radiochemical separation operations or hot cells, having either of the following characteristics:

a.A capability of penetrating 0,6 m or more of hot cell wall (through-the-wall operation); or

b.A capability of bridging over the top of a hot cell wall with a thickness of 0,6 m or more (over-the-wall operation).

Technical Note:

Remote manipulators provide translation of human operator actions to a remote operating arm and terminal fixture. They may be of 'master/slave' type or operated by joystick or keypad.

2B226    Controlled atmosphere (vacuum or inert gas) induction furnaces, and power supplies therefor, as follows:

N.B:    SEE ALSO 3B.

a.Furnaces having all of the following characteristics:

1.Capable of operation above 1,123 K (850 °C);

2.Induction coils 600 mm or less in diameter; and

3.Designed for power inputs of 5 kW or more;

b.Power supplies, with a specified power output of 5 kW or more, specially designed for furnaces specified in 2B226.a.

Note:    2B226.a. does not control furnaces designed for the processing of semiconductor wafers.

2B227    Vacuum or other controlled atmosphere metallurgical melting and casting furnaces and related equipment as follows:

a.Arc remelt and casting furnaces having both of the following characteristics:

1.Consumable electrode capacities between 1000 cm3 and 20000 cm3; and

2.Capable of operating with melting temperatures above 1973 K (1700 °C);

b.Electron beam melting furnaces and plasma atomization and melting furnaces, having both of the following characteristics:

1.A power of 50 kW or greater; and

2.Capable of operating with melting temperatures above 1473 K (1,200 °C).

c.Computer control and monitoring systems specially configured for any of the furnaces specified in 2B227.a. or b.

2B228    Rotor fabrication or assembly equipment, rotor straightening equipment, bellows-forming mandrels and dies, as follows:

a.Rotor assembly equipment for assembly of gas centrifuge rotor tube sections, baffles, and end caps;

Note:2B228.a. includes precision mandrels, clamps, and shrink fit machines.

b.Rotor straightening equipment for alignment of gas centrifuge rotor tube sections to a common axis;

Technical Note:

In 2B228.b. such equipment normally consists of precision measuring probes linked to a computer that subsequently controls the action of, for example, pneumatic rams used for aligning the rotor tube sections.

c.Bellows-forming mandrels and dies for producing single-convolution bellows.

Technical Note:

In 2B228.c. the bellows have all of the following characteristics:

1.Inside diameter between 75 mm and 400 mm;

2.Length equal to or greater than 12,7 mm;

3.Single convolution depth greater than 2 mm; and

4.Made of high-strength aluminium alloys, maraging steel or high strength "fibrous or filamentary materials".

2B230    All types of 'pressure transducers' capable of measuring absolute pressures and having all of the following:

a.Pressure sensing elements made of or protected by aluminium, aluminium alloy, aluminum oxide (alumina or sapphire), nickel, nickel alloy with more than 60 % nickel by weight, or fully fluorinated hydrocarbon polymers;

b.Seals, if any, essential for sealing the pressure sensing element, and in direct contact with the process medium, made of or protected by aluminium, aluminium alloy, aluminum oxide (alumina or sapphire), nickel, nickel alloy with more than 60 % nickel by weight, or fully fluorinated hydrocarbon polymers; and

c.Having either of the following characteristics:

1.A full scale of less than 13 kPa and an 'accuracy' of better than ± 1 % of full-scale; or

2.A full scale of 13 kPa or greater and an 'accuracy' of better than ± 130 Pa when measured at 13 kPa.

Technical Notes:

1.In 2B230 'pressure transducer' means a device that converts a pressure measurement into a signal.

2.For the purposes of 2B230, 'accuracy' includes non-linearity, hysteresis and repeatability at ambient temperature.

2B231    Vacuum pumps having all of the following characteristics:

a.Input throat size equal to or greater than 380 mm;

b.Pumping speed equal to or greater than 15 m3/s; and

c.Capable of producing an ultimate vacuum better than 13 mPa.

Technical Notes:

1.The pumping speed is determined at the measurement point with nitrogen gas or air.

2.The ultimate vacuum is determined at the input of the pump with the input of the pump blocked off.

2B232    High-velocity gun systems (propellant, gas, coil, electromagnetic, and electrothermal types, and other advanced systems) capable of accelerating projectiles to 1,5 km/s or greater.

N.B.:    SEE ALSO MILTARY GOODS CONTROLS.

2B233    Bellows-sealed scroll-type compressors and bellows-sealed scroll-type vacuum pumps having all of the following:

N.B.:    SEE ALSO 2B350.i.

a.Capable of an inlet volume flow rate of 50 m3/h or greater;

b.Capable of a pressure ratio of 2:1 or greater; and

c.Having all surfaces that come in contact with the process gas made from any of the following materials:

1.Aluminium or aluminium alloy;

2.Aluminium oxide;

3.Stainless steel;

4.Nickel or nickel alloy;

5.Phosphor bronze; or

6.Fluoropolymers.

2B350    Chemical manufacturing facilities, equipment and components, as follows:

a.Reaction vessels or reactors, with or without agitators, with total internal (geometric) volume greater than 0,1 m3 (100 litres) and less than 20 m3 (20000 litres), where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

1.'Alloys' with more than 25 % nickel and 20 % chromium by weight;

2.Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.Glass (including vitrified or enamelled coating or glass lining);

4.Nickel or 'alloys' with more than 40 % nickel by weight;

5.Tantalum or tantalum 'alloys';

6.Titanium or titanium 'alloys';

7.Zirconium or zirconium 'alloys'; or

8.Niobium (columbium) or niobium 'alloys';

b.Agitators designed for use in reaction vessels or reactors specified in 2B350.a.; and impellers, blades or shafts designed for such agitators, where all surfaces of the agitator that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

1.'Alloys' with more than 25 % nickel and 20 % chromium by weight;

2.Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.Glass (including vitrified or enamelled coatings or glass lining);

4.Nickel or 'alloys' with more than 40 % nickel by weight;

5.Tantalum or tantalum 'alloys';

6.Titanium or titanium 'alloys';

7.Zirconium or zirconium 'alloys'; or

8.Niobium (columbium) or niobium 'alloys';

c.Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0,1 m3 (100 litres) where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

1.'Alloys' with more than 25 % nickel and 20 % chromium by weight;

2.Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.Glass (including vitrified or enamelled coatings or glass lining);

4.Nickel or 'alloys' with more than 40 % nickel by weight;

5.Tantalum or tantalum 'alloys';

6.Titanium or titanium 'alloys';

7.Zirconium or zirconium 'alloys'; or

8.Niobium (columbium) or niobium 'alloys';

d.Heat exchangers or condensers with a heat transfer surface area greater than 0,15 m2, and less than 20 m2; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

1.'Alloys' with more than 25 % nickel and 20 % chromium by weight;

2.Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.Glass (including vitrified or enamelled coatings or glass lining);

4.Graphite or 'carbon graphite';

5.Nickel or 'alloys' with more than 40 % nickel by weight;

6.Tantalum or tantalum 'alloys';

7.Titanium or titanium 'alloys';

8.Zirconium or zirconium 'alloys';

9.Silicon carbide;

10.Titanium carbide; or

11.Niobium (columbium) or niobium 'alloys';

e.Distillation or absorption columns of internal diameter greater than 0,1 m; and liquid distributors, vapour distributors or liquid collectors designed for such distillation or absorption columns, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

1.'Alloys' with more than 25 % nickel and 20 % chromium by weight;

2.Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.Glass (including vitrified or enamelled coatings or glass lining);

4.Graphite or 'carbon graphite';

5.Nickel or 'alloys' with more than 40 % nickel by weight;

6.Tantalum or tantalum 'alloys';

7.Titanium or titanium 'alloys';

8.Zirconium or zirconium 'alloys'; or

9.Niobium (columbium) or niobium 'alloys';

f.Remotely operated filling equipment in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

1.'Alloys' with more than 25 % nickel and 20 % chromium by weight; or

2.Nickel or 'alloys' with more than 40 % nickel by weight;

g.Valves and components, as follows:

1.Valves, having both of the following:

a.A 'nominal size' greater than 10 mm (3/8″); and

b.All surfaces that come in direct contact with the chemical(s) being produced, processed, or contained are made from 'corrosion resistant materials';

2.Valves, other than those specified in 2B350.g.1., having all of the following;

a.A 'nominal size' equal to or greater than 25,4 mm (1″) and equal to or less than 101,6 mm (4″);

b.Casings (valve bodies) or preformed casing liners;

c.A closure element designed to be interchangeable; and

d.All surfaces of the casing (valve body) or preformed case liner that come in direct contact with the chemical(s) being produced, processed, or contained are made from 'corrosion resistant materials';

3.Components, designed for valves specified in 2B350.g.1 or 2B350.g.2., in which all surfaces that come in direct contact with the chemical(s) being produced, processed, or contained are made from 'corrosion resistant materials', as follows:

a.Casings (valve bodies);

b.Preformed casing liners;

Technical Notes:

1.For the purposes of 2B350.g., 'corrosion resistant materials' means any of the following materials:

a.Nickel or alloys with more than 40 % nickel by weight;

b.Alloys with more than 25 % nickel and 20 % chromium by weight;

c.Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

d.Glass or glass-lined (including vitrified or enamelled coating);

e.Tantalum or tantalum alloys;

f.Titanium or titanium alloys;

g.Zirconium or zirconium alloys;

h.Niobium (columbium) or niobium alloys; or

i.Ceramic materials as follows:

1.Silicon carbide with a purity of 80 % or more by weight;

2.Aluminium oxide (alumina) with a purity of 99.9 % or more by weight;

3.Zirconium oxide (zirconia).

2.The 'nominal size' is defined as the smaller of the inlet and outlet diameters.

h.Multi-walled piping incorporating a leak detection port, in which all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

1.'Alloys' with more than 25 % nickel and 20 % chromium by weight;

2.Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

3.Glass (including vitrified or enamelled coatings or glass lining);

4.Graphite or 'carbon graphite';

5.Nickel or 'alloys' with more than 40 % nickel by weight;

6.Tantalum or tantalum 'alloys';

7.Titanium or titanium 'alloys';

8.Zirconium or zirconium 'alloys'; or

9.Niobium (columbium) or niobium 'alloys';

i.Multiple-seal and seal-less pumps, with manufacturer's specified maximum flow-rate greater than 0,6 m3/hour, or vacuum pumps with manufacturer's specified maximum flow-rate greater than 5 m3/hour (under standard temperature (273 K (0 °C)) and pressure (101,3 kPa) conditions), other than those specified in 2B233; and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

1.'Alloys' with more than 25 % nickel and 20 % chromium by weight;

2.Ceramics;

3.Ferrosilicon (high silicon iron alloys);

4.Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

5.Glass (including vitrified or enamelled coatings or glass lining);

6.Graphite or 'carbon graphite';

7.Nickel or 'alloys' with more than 40 % nickel by weight;

8.Tantalum or tantalum 'alloys';

9.Titanium or titanium 'alloys';

10.Zirconium or zirconium 'alloys'; or

11.Niobium (columbium) or niobium 'alloys';

Technical Notes:

In 2B350.i., the term seal refers to only those seals that come into direct contact with the chemical(s) being processed (or are designed to), and provide a sealing function where a rotary or reciprocating drive shaft passes through a pump body.

j.Incinerators designed to destroy chemicals specified in entry 1C350, having specially designed waste supply systems, special handling facilities and an average combustion chamber temperature greater than 1273 K (1000 °C), in which all surfaces in the waste supply system that come into direct contact with the waste products are made from or lined with any of the following materials:

1.'Alloys' with more than 25 % nickel and 20 % chromium by weight;

2.Ceramics; or

3.Nickel or 'alloys' with more than 40 % nickel by weight.

Note:    For the purposes of 2B350, the materials used for gaskets, packing, seals, screws, washers or other materials performing a sealing function do not determine the status of control, provided that such components are designed to be interchangeable.

Technical Notes:

1.'Carbon graphite' is a composition consisting of amorphous carbon and graphite, in which the graphite content is eight percent or more by weight.

2.For the listed materials in the above entries, the term 'alloy' when not accompanied by a specific elemental concentration is understood as identifying those alloys where the identified metal is present in a higher percentage by weight than any other element.

2B351    Toxic gas monitoring systems and their dedicated detecting components, other than those specified in 1A004, as follows; and detectors; sensor devices; and replaceable sensor cartridges therefor:

a.Designed for continuous operation and usable for the detection of chemical warfare agents or chemicals specified in 1C350, at concentrations of less than 0,3 mg/m3; or

b.Designed for the detection of cholinesterase-inhibiting activity.

2B352    Equipment capable of use in handling biological materials, as follows:

a.Complete biological containment facilities at P3, P4 containment level;

Technical Note:

P3 or P4 (BL3, BL4, L3, L4) containment levels are as specified in the WHO Laboratory Biosafety manual (3rd edition Geneva 2004).

b.Fermenters and components as follows:

1.Fermenters capable of cultivation of pathogenic "microorganisms" or of live cells for the production of pathogenic viruses or toxins, without the propagation of aerosols, having a total capacity of 20 litres or more;

2.Components designed for fermenters in 2B352.b.1. as follows:

a.Cultivation chambers designed to be sterilised or disinfected in situ;

b.Cultivation chamber holding devices;

c.Process control units capable of simultaneously monitoring and controlling two or more fermentation system parameters (e.g., temperature, pH, nutrients, agitation, dissolved oxygen, air flow, foam control);

Technical Note:

For the purposes of 2B352.b. fermenters include bioreactors, single-use (disposable) bioreactors, chemostats and continuous-flow systems.

c.Centrifugal separators, capable of continuous separation without the propagation of aerosols, having all the following characteristics:

1.Flow rate exceeding 100 litres per hour;

2.Components of polished stainless steel or titanium;

3.One or more sealing joints within the steam containment area; and

4.Capable of in-situ steam sterilisation in a closed state;

Technical Note:

Centrifugal separators include decanters.

d.Cross (tangential) flow filtration equipment and components as follows:

1.Cross (tangential) flow filtration equipment capable of separation of pathogenic micro-organisms, viruses, toxins or cell cultures having all of the following characteristics:

a.A total filtration area equal to or greater than 1 m2; and

b.Having any of the following characteristics:

1.Capable of being sterilised or disinfected in-situ; or

2.Using disposable or single-use filtration components;

Technical Note:

In 2B352.d.1.b. sterlised denotes the elimination of all viable microbes from the equipment through the use of either physical (e.g. steam) or chemical agents. Disinfected denotes the destruction of potential microbial infectivity in the equipment through the use of chemical agents with a germicidal effect. Disinfection and sterilisation are distinct from sanitisation, the latter referring to cleaning procedures designed to lower the microbial content of equipment without necessarily achieving elimination of all microbial infectivity or viability.

Note:2B352.d. does not control reverse osmosis equipment, as specified by the manufacturer.

2.Cross (tangential) flow filtration components (e.g. modules, elements, cassettes, cartridges, units or plates) with filtration area equal to or greater than 0,2 m2 for each component and designed for use in cross (tangential) flow filtration equipment specified in 2B352.d.;

e.Steam sterilisable freeze drying equipment with a condenser capacity exceeding 10 kg of ice in 24 hours and less than 1000 kg of ice in 24 hours;

f.Protective and containment equipment, as follows:

1.Protective full or half suits, or hoods dependent upon a tethered external air supply and operating under positive pressure;

Note:2B352.f.1. does not control suits designed to be worn with self-contained breathing apparatus.

2.Class III biological safety cabinets or isolators with similar performance standards;

Note:In 2B352.f.2., isolators include flexible isolators, dry boxes, anaerobic chambers, glove boxes and laminar flow hoods (closed with vertical flow).

g.Chambers designed for aerosol challenge testing with "microorganisms", viruses or "toxins" and having a capacity of 1 m3 or greater;

h.Spray drying equipment capable of drying toxins or pathogenic microorganisms having all of the following:

1.A water evaporation capacity of ≥ 0,4 kg/h and ≤ 400 kg/h;

2.The ability to generate a typical mean product particle size of ≤10 μm with existing fittings or by minimal modification of the spray-dryer with atomization nozzles enabling generation of the required particle size; and

3.Capable of being sterilised or disinfected in situ.

2CMaterials

None.

2DSoftware

2D001    "Software", other than that specified in 2D002, as follows:

a."Software" specially designed or modified for the "development" or "production" of equipment specified in 2A001 or 2B001

b."Software" specially designed or modified for the "use" of equipment specified in 2A001.c, 2B001 or 2B003 to 2B009.

Note:    2D001 does not control part programming "software" that generates "numerical control" codes for machining various parts.

2D002    "Software" for electronic devices, even when residing in an electronic device or system, enabling such devices or systems to function as a "numerical control" unit, capable of co-ordinating simultaneously more than four axes for "contouring control".

Note 1:2D002 does not control "software" specially designed or modified for the operation of items not specified in Category 2.

Note 2:2D002 does not control "software" for items specified in 2B002. See 2D001 and 2D003 for "software" for items specified in 2B002.

Note 3:2D002 does not control "software" that is exported with, and the minimum necessary for the operation of, items not specified by Category 2.

2D003    "Software", designed or modified for the operation of equipment specified in 2B002, that converts optical design, workpiece measurements and material removal functions into "numerical control" commands to achieve the desired workpiece form.

2D101    "Software" specially designed or modified for the "use" of equipment specified in 2B104, 2B105, 2B109, 2B116, 2B117 or 2B119 to 2B122.

N.B.:    SEE ALSO 9D004.

2D201    "Software" specially designed for the "use" of equipment specified in 2B204, 2B206, 2B207, 2B209, 2B219 or 2B227.

2D202    "Software" specially designed or modified for the "development", "production" or "use" of equipment specified in 2B201.

Note:    2D202 does not control part programming "software" that generates "numerical control" command codes but does not allow direct use of equipment for machining various parts.

2D351    "Software", other than that specified in 1D003, specially designed for "use" of equipment specified in 2B351.

2ETechnology

2E001    "Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 2A, 2B or 2D.

Note:    2E001 includes "technology" for the integration of probe systems into coordinate measurement machines specified in 2B006.a.

2E002    "Technology" according to the General Technology Note for the "production" of equipment specified in 2A or 2B.

2E003    Other "technology", as follows:

a."Technology" for the "development" of interactive graphics as an integrated part in "numerical control" units for preparation or modification of part programmes;

b."Technology" for metal-working manufacturing processes, as follows:

1."Technology" for the design of tools, dies or fixtures specially designed for any of the following processes:

a."Superplastic forming";

b."Diffusion bonding"; or

c."Direct-acting hydraulic pressing";

2.Technical data consisting of process methods or parameters as listed below used to control:

a."Superplastic forming" of aluminium alloys, titanium alloys or "superalloys":

1.Surface preparation;

2.Strain rate;

3.Temperature;

4.Pressure;

b."Diffusion bonding" of "superalloys" or titanium alloys:

1.Surface preparation;

2.Temperature;

3.Pressure;

c."Direct-acting hydraulic pressing" of aluminium alloys or titanium alloys:

1.Pressure;

2.Cycle time;

d."Hot isostatic densification" of titanium alloys, aluminium alloys or "superalloys":

1.Temperature;

2.Pressure;

3.Cycle time;

c."Technology" for the "development" or "production" of hydraulic stretch-forming machines and dies therefor, for the manufacture of airframe structures;

d."Technology" for the "development" of generators of machine tool instructions (e.g., part programmes) from design data residing inside "numerical control" units;

e."Technology" for the "development" of integration "software" for incorporation of expert systems for advanced decision support of shop floor operations into "numerical control" units;

f."Technology" for the application of inorganic overlay coatings or inorganic surface modification coatings (specified in column 3 of the following table) to non-electronic substrates (specified in column 2 of the following table), by processes specified in column 1 of the following table and defined in the Technical Note.

Note:The table and Technical Note appear after entry 2E301.

N.B.This table should be read to specify the technology of a particular Coating Process only when the Resultant Coating in column 3 is in a paragraph directly across from the relevant Substrate under column 2. For example, Chemical Vapour Deposition (CVD) coating process technical data are included for the application of silicides to carbon-carbon, ceramic and metal "matrix" "composites" substrates, but are not included for the application of silicides to 'cemented tungsten carbide' (16), 'silicon carbide' (18) substrates. In the second case, the resultant coating is not listed in the paragraph under column 3 directly across from the paragraph under column 2 listing 'cemented tungsten carbide' (16), 'silicon carbide' (18).

2E101    "Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 2B004, 2B009, 2B104, 2B109, 2B116, 2B119 to 2B122 or 2D101.

2E201    "Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 2A225, 2A226, 2B001, 2B006, 2B007.b., 2B007.c., 2B008, 2B009, 2B201, 2B204, 2B206, 2B207, 2B209, 2B225 to 2B233, 2D201 or 2D202.

2E301    "Technology" according to the General Technology Note for the "use" of goods specified in 2B350 to 2B352.

Table

Deposition Techniques

1.    Coating Process (1) 7

2.    Substrate

3.    Resultant Coating

A.    Chemical Vapour Deposition (CVD)

"Superalloys"

Aluminides for internal passages

Ceramics (19) and Low expansion glasses (14)

Silicides

Carbides

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

Carbon-carbon, Ceramic and Metal "matrix" "composites"

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Aluminides

Alloyed aluminides (2)

Boron nitride

Cemented tungsten carbide (16), Silicon carbide (18)

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

Sensor window materials (9)

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

Thermal-Evaporation Physical Vapour Deposition (TE-PVD)

B.1.    Physical Vapour Deposition (PVD): Electron-Beam (EB-PVD)

"Superalloys"

Alloyed silicides

Alloyed aluminides (2)

MCrAlX (5)

Modified zirconia (12)

Silicides

Aluminides

Mixtures thereof (4)

Ceramics (19) and Low expansion glasses (14)

Dielectric layers (15)

Corrosion resistant steel (7)

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

Carbon-carbon, Ceramic and Metal "matrix" "composites"

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

Cemented tungsten carbide (16), Silicon carbide (18)

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Borides

Beryllium

Sensor window materials (9)

Dielectric layers (15)

Titanium alloys (13)

Borides

Nitrides

B.2.    Ion assisted resistive heating Physical Vapour Deposition (PVD) (Ion Plating)

Ceramics (19) and Low-expansion glasses

Dielectric layers (15)

Diamond-like carbon (17)

Carbon-carbon, Ceramic and Metal "matrix" "composites"

Dielectric layers (15)

Cemented tungsten carbide (16), Silicon carbide

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Sensor window materials (9)

Dielectric layers (15)

Diamond-like carbon (17)

B.3.    Physical Vapour Deposition (PVD): "Laser" Vaporization

Ceramics (19) and Low expansion glasses (14)

Silicides

Dielectric layers (15)

Diamond-like carbon (17)

Carbon-carbon, Ceramic and Metal "matrix" "composites"

Dielectric layers (15)

Cemented tungsten carbide (16), Silicon carbide

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Sensor window materials (9)

Dielectric layers (15)

Diamond-like carbon

B.4.    Physical Vapour Deposition (PVD): Cathodic Arc Discharge

"Superalloys"

Alloyed silicides

Alloyed aluminides (2)

MCrAlX (5)

Polymers (11) and Organic "matrix" "composites"

Borides

Carbides

Nitrides

Diamond-like carbon (17)

C.    Pack cementation (see A above for out-of-pack cementation) (10)

Carbon-carbon, Ceramic and Metal "matrix" "composites"

Silicides

Carbides

Mixtures thereof (4)

Titanium alloys (13)

Silicides

Aluminides

Alloyed aluminides (2)

Refractory metals and alloys (8)

Silicides

Oxides

D.    Plasma spraying

"Superalloys"

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

Abradable Nickel-Graphite

Abradable materials containing Ni-Cr-Al

Abradable Al-Si-Polyester

Alloyed aluminides (2)

Aluminium alloys (6)

MCrAlX (5)

Modified zirconia (12)

Silicides

Mixtures thereof (4)

Refractory metals and alloys (8)

Aluminides

Silicides

Carbides

Corrosion resistant steel (7)

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

Titanium alloys (13)

Carbides

Aluminides

Silicides

Alloyed aluminides (2)

Abradable Nickel-Graphite

Abradable materials containing Ni-Cr-Al

Abradable Al-Si-Polyester

E.    Slurry Deposition

Refractory metals and alloys (8)

Fused silicides

Fused aluminides except for resistance heating elements

Carbon-carbon, Ceramic and Metal "matrix" "composites"

Silicides

Carbides

Mixtures thereof (4)

F.    Sputter Deposition

"Superalloys"

Alloyed silicides

Alloyed aluminides (2)

Noble metal modified aluminides (3)

MCrAlX (5)

Modified zirconia (12)

Platinum

Mixtures thereof (4)

Ceramics and Low-expansion glasses (14)

Silicides

Platinum

Mixtures thereof (4)

Dielectic layers (15)

Diamond-like carbon (17)

Titanium alloys (13)

Borides

Nitrides

Oxides

Silicides

Aluminides

Alloyed aluminides (2)

Carbides

Carbon-carbon, Ceramic and Metal "matrix" "composites"

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

Cemented tungsten carbide (16), Silicon carbide (18)

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Borides

Dielectric layers (15)

Beryllium

Sensor window materials (9)

Dielectric layers (15)

Diamond-like carbon (17)

Refractory metals and alloys (8)

Aluminides

Silicides

Oxides

Carbides

G.    Ion Implantation

High temperature bearing steels

Additions of Chromium Tantalum or Niobium (Columbium)

Titanium alloys (13)

Borides

Nitrides

Beryllium and Beryllium alloys

Borides

Cemented tungsten carbide (16)

Carbides

Nitrides

TABLE —    DEPOSITION TECHNIQUES —    NOTES

1.The term 'coating process' includes coating repair and refurbishing as well as original coating.

2.The term 'alloyed aluminide coating' includes single or multiple-step coatings in which an element or elements are deposited prior to or during application of the aluminide coating, even if these elements are deposited by another coating process. It does not, however, include the multiple use of single-step pack cementation processes to achieve alloyed aluminides.

3.The term 'noble metal modified aluminide' coating includes multiple-step coatings in which the noble metal or noble metals are laid down by some other coating process prior to application of the aluminide coating.

4.The term 'mixtures thereof' includes infiltrated material, graded compositions, co-deposits and multilayer deposits and are obtained by one or more of the coating processes specified in the Table.

5.'MCrAlX' refers to a coating alloy where M equals cobalt, iron, nickel or combinations thereof and X equals hafnium, yttrium, silicon, tantalum in any amount or other intentional additions over 0,01 % by weight in various proportions and combinations, except:

a.CoCrAlY coatings which contain less than 22 % by weight of chromium, less than 7 % by weight of aluminium and less than 2 % by weight of yttrium;

b.CoCrAlY coatings which contain 22 to 24 % by weight of chromium, 10 to 12 % by weight of aluminium and 0,5 to 0,7 % by weight of yttrium; or

c.NiCrAlY coatings which contain 21 to 23 % by weight of chromium, 10 to 12 % by weight of aluminium and 0,9 to 1,1 % by weight of yttrium.

6.The term 'aluminium alloys' refers to alloys having an ultimate tensile strength of 190 MPa or more measured at 293 K (20 °C).

7.The term 'corrosion resistant steel' refers to AISI (American Iron and Steel Institute) 300 series or equivalent national standard steels.

8.'Refractory metals and alloys' include the following metals and their alloys: niobium (columbium), molybdenum, tungsten and tantalum.

9.'Sensor window materials', as follows: alumina, silicon, germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond, gallium phosphide, sapphire and the following metal halides: sensor window materials of more than 40 mm diameter for zirconium fluoride and hafnium fluoride.

10."Technology" for single-step pack cementation of solid airfoils is not controlled by Category 2.

11.'Polymers', as follows: polyimide, polyester, polysulphide, polycarbonates and polyurethanes.

12.'Modified zirconia' refers to additions of other metal oxides (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) to zirconia in order to stabilise certain crystallographic phases and phase compositions. Thermal barrier coatings made of zirconia, modified with calcia or magnesia by mixing or fusion, are not controlled.

13.'Titanium alloys' refers only to aerospace alloys having an ultimate tensile strength of 900 MPa or more measured at 293 K (20 °C).

14.'Low-expansion glasses' refers to glasses which have a coefficient of thermal expansion of 1 × 10–7 K–1 or less measured at 293 K (20 °C).

15.'Dielectric layers' are coatings constructed of multi-layers of insulator materials in which the interference properties of a design composed of materials of various refractive indices are used to reflect, transmit or absorb various wavelength bands. Dielectric layers refers to more than four dielectric layers or dielectric/metal "composite" layers.

16.'Cemented tungsten carbide' does not include cutting and forming tool materials consisting of tungsten carbide/(cobalt, nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-chromium and chromium carbide/nickel.

17."Technology" specially designed to deposit diamond-like carbon on any of the following is not controlled:

magnetic disk drives and heads, equipment for the manufacture of disposables, valves for faucets, acoustic diaphragms for speakers, engine parts for automobiles, cutting tools, punching-pressing dies, office automation equipment, microphones or medical devices or moulds, for casting or moulding of plastics, manufactured from alloys containing less than 5 % beryllium.

18.'Silicon carbide' does not include cutting and forming tool materials.

19.Ceramic substrates, as used in this entry, does not include ceramic materials containing 5 % by weight, or greater, clay or cement content, either as separate constituents or in combination.

TABLE —    DEPOSITION TECHNIQUES —    TECHNICAL NOTE

Processes specified in Column 1 of the Table are defined as follows:

a.Chemical Vapour Deposition (CVD) is an overlay coating or surface modification coating process wherein a metal, alloy, "composite", dielectric or ceramic is deposited upon a heated substrate. Gaseous reactants are decomposed or combined in the vicinity of a substrate resulting in the deposition of the desired elemental, alloy or compound material on the substrate. Energy for this decomposition or chemical reaction process may be provided by the heat of the substrate, a glow discharge plasma, or "laser" irradiation.

N.B. 1CVD includes the following processes: directed gas flow out-of-pack deposition, pulsating CVD, controlled nucleation thermal deposition (CNTD), plasma enhanced or plasma assisted CVD processes.

N.B. 2Pack denotes a substrate immersed in a powder mixture.

N.B. 3The gaseous reactants used in the out-of-pack process are produced using the same basic reactions and parameters as the pack cementation process, except that the substrate to be coated is not in contact with the powder mixture.

b.Thermal Evaporation-Physical Vapour Deposition (TE-PVD) is an overlay coating process conducted in a vacuum with a pressure less than 0,1 Pa wherein a source of thermal energy is used to vaporize the coating material. This process results in the condensation, or deposition, of the evaporated species onto appropriately positioned substrates.

The addition of gases to the vacuum chamber during the coating process to synthesize compound coatings is an ordinary modification of the process.

The use of ion or electron beams, or plasma, to activate or assist the coating's deposition is also a common modification in this technique. The use of monitors to provide in-process measurement of optical characteristics and thickness of coatings can be a feature of these processes.

Specific TE-PVD processes are as follows:

1.Electron Beam PVD uses an electron beam to heat and evaporate the material which forms the coating;

2.Ion Assisted Resistive Heating PVD employs electrically resistive heating sources in combination with impinging ion beam(s) to produce a controlled and uniform flux of evaporated coating species;

3."Laser" Vaporization uses either pulsed or continuous wave "laser" beams to vaporize the material which forms the coating;

4.Cathodic Arc Deposition employs a consumable cathode of the material which forms the coating and has an arc discharge established on the surface by a momentary contact of a ground trigger. Controlled motion of arcing erodes the cathode surface creating a highly ionized plasma. The anode can be either a cone attached to the periphery of the cathode, through an insulator, or the chamber. Substrate biasing is used for non line-of-sight deposition.

N.B.This definition does not include random cathodic arc deposition with non-biased substrates.

5.Ion Plating is a special modification of a general TE-PVD process in which a plasma or an ion source is used to ionize the species to be deposited, and a negative bias is applied to the substrate in order to facilitate the extraction of the species from the plasma. The introduction of reactive species, evaporation of solids within the process chamber, and the use of monitors to provide in-process measurement of optical characteristics and thicknesses of coatings are ordinary modifications of the process.

c.Pack Cementation is a surface modification coating or overlay coating process wherein a substrate is immersed in a powder mixture (a pack), that consists of:

1.The metallic powders that are to be deposited (usually aluminium, chromium, silicon or combinations thereof);

2.An activator (normally a halide salt); and

3.An inert powder, most frequently alumina.

The substrate and powder mixture is contained within a retort which is heated to between 1030 K (757 °C) and 1375 K (1,102 °C) for sufficient time to deposit the coating.

d.Plasma Spraying is an overlay coating process wherein a gun (spray torch) which produces and controls a plasma accepts powder or wire coating materials, melts them and propels them towards a substrate, whereon an integrally bonded coating is formed. Plasma spraying constitutes either low pressure plasma spraying or high velocity plasma spraying.

N.B. 1Low pressure means less than ambient atmospheric pressure.

N.B. 2High velocity refers to nozzle-exit gas velocity exceeding 750 m/s calculated at 293 K (20 °C) at 0,1 MPa.

e.Slurry Deposition is a surface modification coating or overlay coating process wherein a metallic or ceramic powder with an organic binder is suspended in a liquid and is applied to a substrate by either spraying, dipping or painting, subsequent air or oven drying, and heat treatment to obtain the desired coating.

f.Sputter Deposition is an overlay coating process based on a momentum transfer phenomenon, wherein positive ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on an appropriately positioned substrate.

N.B. 1The Table refers only to triode, magnetron or reactive sputter deposition which is used to increase adhesion of the coating and rate of deposition and to radio frequency (RF) augmented sputter deposition used to permit vaporisation of non-metallic coating materials.

N.B. 2Low-energy ion beams (less than 5 keV) can be used to activate the deposition.

g.Ion Implantation is a surface modification coating process in which the element to be alloyed is ionized, accelerated through a potential gradient and implanted into the surface region of the substrate. This includes processes in which ion implantation is performed simultaneously with electron beam physical vapour deposition or sputter deposition.

CATEGORY 3 —ELECTRONICS

3ASystems, Equipment and Components

Note 1:The control status of equipment and components described in 3A001 or 3A002, other than those described in 3A001.a.3. to 3A001.a.10., 3A001.a.12. or 3A001.a.13, which are specially designed for or which have the same functional characteristics as other equipment is determined by the control status of the other equipment.

Note 2:The control status of integrated circuits described in 3A001.a.3. to 3A001.a.9., 3A001.a.12. or 3A001.a.13 Which are unalterably programmed or designed for a specific function for another equipment is determined by the control status of the other equipment.

N.B.:When the manufacturer or applicant cannot determine the control status of the other equipment, the control status of the integrated circuits is determined in 3A001.a.3. to 3A001.a.9., 3A001.a.12 and 3A001.a.13.

3A001    Electronic components and specially designed components therefor, as follows:

a.General purpose integrated circuits, as follows:

Note 1:The control status of wafers (finished or unfinished), in which the function has been determined, is to be evaluated against the parameters of 3A001.a.

Note 2:Integrated circuits include the following types:

"Monolithic integrated circuits";

"Hybrid integrated circuits";

"Multichip integrated circuits";

"Film type integrated circuits", including silicon-on-sapphire integrated circuits;

"Optical integrated circuits";

"Three dimensional integrated circuits".

1.Integrated circuits designed or rated as radiation hardened to withstand any of the following:

a.A total dose of 5 × 103 Gy (silicon) or higher;

b.A dose rate upset of 5 × 106 Gy (silicon)/s or higher; or

c.A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 1013 n/cm2 or higher on silicon, or its equivalent for other materials;

Note:3A001.a.1.c. does not control Metal Insulator Semiconductors (MIS).

2."Microprocessor microcircuits", "microcomputer microcircuits", microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, analogue-to-digital converters, digital-to-analogue converters, electro-optical or "optical integrated circuits" designed for "signal processing", field programmable logic devices, custom integrated circuits for which either the function is unknown or the control status of the equipment in which the integrated circuit will be used is unknown, Fast Fourier Transform (FFT) processors, electrical erasable programmable read-only memories (EEPROMs), flash memories or static random-access memories (SRAMs), having any of the following:

a.Rated for operation at an ambient temperature above 398 K (125 °C);

b.Rated for operation at an ambient temperature below 218 K (–55 °C); or

c.Rated for operation over the entire ambient temperature range from 218 K (–55 °C) to 398 K (125 °C);

Note:3A001.a.2. does not control integrated circuits for civil automobiles or railway train applications.

3."Microprocessor microcircuits", "microcomputer microcircuits" and microcontroller microcircuits, manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz;

Note:3A001.a.3. includes digital signal processors, digital array processors and digital coprocessors.

4.Not used;

5.Analogue-to-Digital Converter (ADC) and Digital-to-Analogue Converter (DAC) integrated circuits, as follows:

a.ADCs having any of the following:

N.B.:SEE ALSO 3A101

1.A resolution of 8 bit or more, but less than 10 bit, with an output rate greater than 1,000 million words per second;

2.A resolution of 10 bit or more, but less than 12 bit, with an output rate greater than 300 million words per second;

3.A resolution of 12 bit with an output rate greater than 200 million words per second;

4.A resolution of more than 12 bit, but equal to or less than 14 bit, with an output rate greater than 125 million words per second; or

5.A resolution of more than 14 bit with an output rate greater than 20 million words per second;

Technical Notes:

1.A resolution of n bit corresponds to a quantisation of 2n levels.

2.The number of bits in the output word is equal to the resolution of the ADC.

3.The output rate is the maximum output rate of the converter, regardless of the architecture or oversampling.

4.For 'multiple channel ADCs', the outputs are not aggregated and the output rate is the maximum output rate of any single channel.

5.For 'interleaved ADCs' or for 'multiple channel ADCs' that are specified to have an interleaved mode of operation, the outputs are aggregated and the output rate is the maximum combined total output rate of all of the outputs.

6.Vendors may also refer to the output rate as sampling rate, conversion rate or throughput rate. It is often specified in megahertz (MHz) or mega samples per second (MSPS).

7.For the purpose of measuring output rate, one output word per second is equivalent to one Hertz or one sample per second.

8.'Multiple channel ADCs' are defined as devices which integrate more than one ADC, designed so that each ADC has a separate analogue input.

9.'Interleaved ADCs' are defined as devices which have multiple ADC units that sample the same analogue input at different times such that when the outputs are aggregated, the analogue input has been effectively sampled and converted at a higher sampling rate.

b.Digital-to-Analogue Converters (DAC) having any of the following:

1.A resolution of 10 bit or more with an 'adjusted update rate' of greater than 3500 MSPS; or

2.è1 A resolution of 12 bit or more with an 'adjusted update rate' of greater than 1250 MSPS and having any of the following: ç

a.A settling time less than 9 ns to 0,024 % of full scale from a full scale step; or

b.A 'Spurious Free Dynamic Range' (SFDR) greater than 68 dBc (carrier) when synthesising a full scale analogue signal of 100 MHz or the highest full scale analogue signal frequency specified below 100 MHz.

Technical Notes:

1.'Spurious Free Dynamic Range' (SFDR) is defined as the ratio of the RMS value of the carrier frequency (maximum signal component) at the input of the DAC to the RMS value of the next largest noise or harmonic distortion component at its output.

2.SFDR is determined directly from the specification table or from the characterisation plots of SFDR versus frequency.

3.A signal is defined to be full scale when its amplitude is greater than – 3 dBfs (full scale).

4.'Adjusted update rate' for DACs:

a.For conventional (non-interpolating) DACs, the 'adjusted update rate' is the rate at which the digital signal is converted to an analogue signal and the output analogue values are changed by the DAC. For DACs where the interpolation mode may be bypassed (interpolation factor of one), the DAC should be considered as a conventional (non-interpolating) DAC.

b.For interpolating DACs (oversampling DACs), the 'adjusted update rate' is defined as the DAC update rate divided by the smallest interpolating factor. For interpolating DACs, the 'adjusted update rate' may be referred to by different terms including:

input data rate

input word rate

input sample rate

maximum total input bus rate

maximum DAC clock rate for DAC clock input.

6.Electro-optical and "optical integrated circuits", designed for "signal processing" and having all of the following:

a.One or more than one internal "laser" diode;

b.One or more than one internal light detecting element; and

c.Optical waveguides;

7.'Field programmable logic devices' having any of the following:

a.A maximum number of single-ended digital input/outputs of greater than 700; or

b.An 'aggregate one-way peak serial transceiver data rate' of 500 Gb/s or greater;

Note:3A001.a.7. includes:

Simple Programmable Logic Devices (SPLDs)

Complex Programmable Logic Devices (CPLDs)

Field Programmable Gate Arrays (FPGAs)

Field Programmable Logic Arrays (FPLAs)

Field Programmable Interconnects (FPICs)

Technical Notes:

1.Maximum number of digital input/outputs in 3A001.a.7.a. is also referred to as the maximum user input/outputs or maximum available input/outputs, whether the integrated circuit is packaged or bare die.

2.'Aggregate one-way peak serial transceiver data rate' is the product of the peak serial one-way transceiver data rate times the number of transceivers on the FPGA.

8.Not used;

9.Neural network integrated circuits;

10.Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following:

a.More than 1500 terminals;

b.A typical "basic gate propagation delay time" of less than 0,02 ns; or

c.An operating frequency exceeding 3 GHz;

11.Digital integrated circuits, other than those described in 3A001.a.3. to 3A001.a.10. and 3A001.a.12., based upon any compound semiconductor and having any of the following:

a.An equivalent gate count of more than 3000 (2 input gates); or

b.A toggle frequency exceeding 1,2 GHz;

12.Fast Fourier Transform (FFT) processors having a rated execution time for an N-point complex FFT of less than (N log2 N) /20480 ms, where N is the number of points;

Technical Note:

When N is equal to 1,024 points, the formula in 3A001.a.12. gives an execution time of 500 μs.

13.Direct Digital Synthesizer (DDS) integrated circuits having any of the following:

a.A Digital-to-Analogue Converter (DAC) clock frequency of 3,5 GHz or more and a DAC resolution of 10 bit or more, but less than 12 bit; or

b.A DAC clock frequency of 1,25 GHz or more and a DAC resolution of 12 bit or more;

Technical Note:

The DAC clock frequency may be specified as the master clock frequency or the input clock frequency

b.Microwave or millimetre wave components, as follows:

Technical Note:

For purposes of 3A001.b., the parameter peak saturated power output may also be referred to on product data sheets as output power, saturated power output, maximum power output, peak power output, or peak envelope power output.

1.Electronic vacuum tubes and cathodes, as follows:

Note 1:3A001.b.1. does not control tubes designed or rated for operation in any frequency band and having all of the following:

a.Does not exceed 31,8 GHz; and

b.Is "allocated by the ITU" for radio-communications services, but not for radio-determination.

Note 2:3A001.b.1. does not control non-"space-qualified" tubes having all of the following:

a.An average output power equal to or less than 50 W; and

b.Designed or rated for operation in any frequency band and having all of the following:

1.Exceeds 31,8 GHz but does not exceed 43,5 GHz; and

2.Is "allocated by the ITU" for radio-communications services, but not for radio-determination.

a.Travelling wave tubes, pulsed or continuous wave, as follows:

1.Tubes operating at frequencies exceeding 31,8 GHz;

2.Tubes having a cathode heater element with a turn on time to rated RF power of less than 3 seconds;

3.Coupled cavity tubes, or derivatives thereof, with a "fractional bandwidth" of more than 7 % or a peak power exceeding 2,5 kW;

4.Helix tubes, or derivatives thereof, having any of the following:

a.An "instantaneous bandwidth" of more than one octave, and average power (expressed in kW) times frequency (expressed in GHz) of more than 0,5;

b.An "instantaneous bandwidth" of one octave or less, and average power (expressed in kW) times frequency (expressed in GHz) of more than 1; or

c.Being "space-qualified";

b.Crossed-field amplifier tubes with a gain of more than 17 dB;

c.Impregnated cathodes designed for electronic tubes producing a continuous emission current density at rated operating conditions exceeding 5 A/cm2;

2.Microwave "Monolithic Integrated Circuits" (MMIC) power amplifiers that are any of the following:

a.Rated for operation at frequencies exceeding 2,7 GHz up to and including 6,8 GHz with a "fractional bandwidth" greater than 15 %, and having any of the following:

1.A peak saturated power output greater than 75 W (48,75 dBm) at any frequency exceeding 2,7 GHz up to and including 2,9 GHz;

2.A peak saturated power output greater than 55 W (47,4 dBm) at any frequency exceeding 2,9 GHz up to and including 3,2 GHz;

3.A peak saturated power output greater than 40 W (46 dBm) at any frequency exceeding 3,2 GHz up to and including 3,7 GHz; or

4.A peak saturated power output greater than 20 W (43 dBm) at any frequency exceeding 3,7 GHz up to and including 6,8 GHz;

b.Rated for operation at frequencies exceeding 6,8 GHz up to and including 16 GHz with a "fractional bandwidth" greater than 10 %, and having any of the following:

1.A peak saturated power output greater than 10 W (40 dBm) at any frequency exceeding 6,8 GHz up to and including 8,5 GHz; or

2.A peak saturated power output greater than 5 W (37 dBm) at any frequency exceeding 8,5 GHz up to and including 16 GHz;

c.Rated for operation with a peak saturated power output greater than 3 W (34,77 dBm) at any frequency exceeding 16 GHz up to and including 31,8 GHz, and with a "fractional bandwidth" of greater than 10 %;

d.Rated for operation with a peak saturated power output greater than 0,1 nW (-70 dBm) at any frequency exceeding 31,8 GHz up to and including 37 GHz;

e.Rated for operation with a peak saturated power output greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including 43,5 GHz, and with a "fractional bandwidth" of greater than 10 %;

f.Rated for operation with a peak saturated power output greater than 31,62 mW (15 dBm) at any frequency exceeding 43,5 GHz up to and including 75 GHz, and with a "fractional bandwidth" of greater than 10 %;

g.Rated for operation with a peak saturated power output greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a "fractional bandwidth" of greater than 5 %; or

h.Rated for operation with a peak saturated power output greater than 0,1 nW (-70 dBm) at any frequency exceeding 90 GHz;

Note 1:Not used.

Note 2:The control status of the MMIC whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.2.a. to 3A001.b.2.h., is determined by the lowest peak saturated power output threshold.

Note 3:Notes 1 and 2 in 3A mean that 3A001.b.2. does not control MMICs if they are specially designed for other applications, e.g., telecommunications, radar, automobiles.

3.Discrete microwave transistors that are any of the following:

a.Rated for operation at frequencies exceeding 2,7 GHz up to and including 6,8 GHz and having any of the following:

1.A peak saturated power output greater than 400 W (56 dBm) at any frequency exceeding 2,7 GHz up to and including 2,9 GHz;

2.A peak saturated power output greater than 205 W (53,12 dBm) at any frequency exceeding 2,9 GHz up to and including 3,2 GHz;

3.A peak saturated power output greater than 115 W (50,61 dBm) at any frequency exceeding 3,2 GHz up to and including 3,7 GHz; or

4.A peak saturated power output greater than 60 W (47,78 dBm) at any frequency exceeding 3,7 GHz up to and including 6,8 GHz;

b.Rated for operation at frequencies exceeding 6,8 GHz up to and including 31,8 GHz and having any of the following:

1.A peak saturated power output greater than 50 W (47 dBm) at any frequency exceeding 6,8 GHz up to and including 8,5 GHz;

2.A peak saturated power output greater than 15 W (41,76 dBm) at any frequency exceeding 8,5 GHz up to and including 12 GHz;

3.A peak saturated power output greater than 40 W (46 dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; or

4.A peak saturated power output greater than 7 W (38,45 dBm) at any frequency exceeding 16 GHz up to and including 31,8 GHz;

c.Rated for operation with a peak saturated power output greater than 0,5 W (27 dBm) at any frequency exceeding 31,8 GHz up to and including 37 GHz;

d.Rated for operation with a peak saturated power output greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including 43,5 GHz;

e.Rated for operation with a peak saturated power output greater than 0,1 nW (-70 dBm) at any frequency exceeding 43,5 GHz;

Note 1:The control status of a transistor whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.3.a. to 3A001.b.3.e., is determined by the lowest peak saturated power output threshold.

Note 2:    3A001.b.3. includes bare dice, dice mounted on carriers, or dice mounted in packages. Some discrete transistors may also be referred to as power amplifiers, but the status of these discrete transistors is determined by 3A001.b.3.

4.Microwave solid state amplifiers and microwave assemblies/modules containing microwave solid state amplifiers, that are any of the following:

a.Rated for operation at frequencies exceeding 2,7 GHz up to and including 6,8 GHz with a "fractional bandwidth" greater than 15 %, and having any of the following:

1.A peak saturated power output greater than 500 W (57 dBm) at any frequency exceeding 2,7 GHz up to and including 2,9 GHz;

2.A peak saturated power output greater than 270 W (54,3 dBm) at any frequency exceeding 2,9 GHz up to and including 3,2 GHz;

3.A peak saturated power output greater than 200 W (53 dBm) at any frequency exceeding 3,2 GHz up to and including 3,7 GHz; or

4.A peak saturated power output greater than 90 W (49,54 dBm) at any frequency exceeding 3,7 GHz up to and including 6,8 GHz;

b.Rated for operation at frequencies exceeding 6,8 GHz up to and including 31,8 GHz with a "fractional bandwidth" greater than 10 %, and having any of the following:

1.A peak saturated power output greater than 70 W (48,54 dBm) at any frequency exceeding 6,8 GHz up to and including 8,5 GHz;

2.A peak saturated power output greater than 50 W (47 dBm) at any frequency exceeding 8,5 GHz up to and including 12 GHz;

3.A peak saturated power output greater than 30 W (44,77 dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; or

4.A peak saturated power output greater than 20 W (43 dBm) at any frequency exceeding 16 GHz up to and including 31,8 GHz;

c.Rated for operation with a peak saturated power output greater than 0,5 W (27 dBm) at any frequency exceeding 31,8 GHz up to and including 37 GHz;

d.Rated for operation with a peak saturated power output greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz, and with a "fractional bandwidth" of greater than 10 %;

e.Rated for operation at frequencies exceeding 43.5 GHz and having any of the following:

1.A peak saturated power output greater than 0,2 W (23 dBm) at any frequency exceeding 43,5 GHz up to and including 75 GHz, and with a "fractional bandwidth" of greater than 10 %;

2.A peak saturated power output greater than 20 mW (13 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a "fractional bandwidth" of greater than 5 %; or

3.A peak saturated power output greater than 0,1 nW (-70 dBm) at any frequency exceeding 90 GHz; or

f.Rated for operation at frequencies above 2,7 GHz and having all of the following:

1.A peak saturation power (in watts), Psat, greater than 400 divided by the maximum operating frequency (in GHz) squared [Psat >400 W*GHz2/fGHz2];

2.A "fractional bandwidth" of 5 % or greater; and

3.Any two sides perpendicular to one another with either length d (in cm) equal to or less than 15 divided by the lowest operating frequency in GHz [d ≤ 15 cm*GHz/ fGHz];

Technical Note:

2.7 GHz should be used as the lowest operating frequency (fGHz) in the formula in 3A001.b.4.f.3., for amplifiers that have a rated operating range extending downward to 2.7 GHz and below [d ≤ 15 cm*GHz/2,7 GHz].

N.B.:    MMIC power amplifiers should be evaluated against the criteria in 3A001.b.2.

Note 1:Not used.

Note 2:The control status of an item whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.4.a. to 3A001.b.4.e., is determined by the lowest peak saturation output threshold.

Note 3:3A001.b.4. includes transmit/receive modules and transmit modules.

5.Electronically or magnetically tunable band-pass or band-stop filters, having more than 5 tunable resonators capable of tuning across a 1,5:1 frequency band (fmax/fmin) in less than 10 μs and having any of the following:

a.A band-pass bandwidth of more than 0,5 % of centre frequency; or

b.A band-stop bandwidth of less than 0,5 % of centre frequency;

6.Not used;

7.Converters and harmonic mixers that are any of the following:

a.Designed to extend the frequency range of "signal analysers" beyond 90 GHz;

b.Designed to extend the operating range of signal generators as follows:

1.Beyond 90 GHz;

2.To an output power greater than 100 mW (20 dBm) anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;

c.Designed to extend the operating range of network analysers as follows:

1.Beyond 110 GHz;

2.To an output power greater than 31.62 mW (15 dBm) anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;

3.To an output power greater than 1 mW (0 dBm) anywhere within the frequency range exceeding 90 GHz but not exceeding 110 GHz; or

d.Designed to extend the frequency range of microwave test receivers beyond 110 GHz;

8.Microwave power amplifiers containing tubes specified in 3A001.b.1. and having all of the following:

a.Operating frequencies above 3 GHz;

b.An average output power to mass ratio exceeding 80 W/kg; and

c.A volume of less than 400 cm3;

Note:3A001.b.8. does not control equipment designed or rated for operation in any frequency band which is "allocated by the ITU" for radio-communications services, but not for radio-determination.

9.Microwave power modules (MPM) consisting of, at least, a travelling wave tube, a microwave "monolithic integrated circuit" and an integrated electronic power conditioner and having all of the following:

a.A 'turn-on time' from off to fully operational in less than 10 seconds;

b.A volume less than the maximum rated power in Watts multiplied by 10 cm3/W; and

c.An "instantaneous bandwidth" greater than 1 octave (fmax > 2fmin) and having any of the following:

1.For frequencies equal to or less than 18 GHz, an RF output power greater than 100 W; or

2.A frequency greater than 18 GHz;

Technical Notes:

1.To calculate the volume in 3A001.b.9.b., the following example is provided: for a maximum rated power of 20 W, the volume would be: 20 W × 10 cm3/W = 200 cm3.

2.The 'turn-on time' in 3A001.b.9.a. refers to the time from fully-off to fully operational, i.e., it includes the warm-up time of the MPM.

10.Oscillators or oscillator assemblies, specified to operate with a single sideband (SSB) phase noise, in dBc/Hz, less (better) than – (126 + 20log10F - 20log10f) anywhere within the range of 10 Hz ≤ F ≤ 10 kHz;

Technical Note:

In 3A001.b.10., F is the offset from the operating frequency in Hz and f is the operating frequency in MHz.

11."Frequency synthesiser" "electronic assemblies" having a "frequency switching time" as specified by any of the following:

a.Less than 156 ps;

b.Less than 100 μs for any frequency change exceeding 1,6 GHz within the synthesised frequency range exceeding 4,8 GHz but not exceeding 10,6 GHz;

c.Less than 250 μs for any frequency change exceeding 550 MHz within the synthesised frequency range exceeding 10,6 GHz but not exceeding 31,8 GHz;

d.Less than 500 μs for any frequency change exceeding 550 MHz within the synthesised frequency range exceeding 31,8 GHz but not exceeding 43,5 GHz;

e.Less than 1 ms for any frequency change exceeding 550 MHz within the synthesised frequency range exceeding 43,5 GHz but not exceeding 56 GHz;

f.Less than 1 ms for any frequency change exceeding 2,2 GHz within the synthesized frequency range exceeding 56 GHz but not exceeding 90 GHz; or

g.Less than 1 ms within the synthesized frequency range exceeding 90 GHz;

N.B.:For general purpose "signal analysers", signal generators, network analysers and microwave test receivers, see 3A002.c., 3A002.d., 3A002.e. and 3A002.f., respectively.

c.Acoustic wave devices as follows and specially designed components therefor:

1.Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices, having any of the following:

a.A carrier frequency exceeding 6 GHz;

b.A carrier frequency exceeding 1 GHz, but not exceeding 6 GHz and having any of the following:

1.A 'frequency side-lobe rejection' exceeding 65 dB;

2.A product of the maximum delay time and the bandwidth (time in μs and bandwidth in MHz) of more than 100;

3.A bandwidth greater than 250 MHz; or

4.A dispersive delay of more than 10 μs; or

c.A carrier frequency of 1 GHz or less and having any of the following:

1.A product of the maximum delay time and the bandwidth (time in μs and bandwidth in MHz) of more than 100;

2.A dispersive delay of more than 10 μs; or

3.A 'frequency side-lobe rejection' exceeding 65 dB and a bandwidth greater than 100 MHz;

Technical Note:

'Frequency side-lobe rejection' is the maximum rejection value specified in data sheet.

2.Bulk (volume) acoustic wave devices which permit the direct processing of signals at frequencies exceeding 6 GHz;

3.Acoustic-optic "signal processing" devices employing interaction between acoustic waves (bulk wave or surface wave) and light waves which permit the direct processing of signals or images, including spectral analysis, correlation or convolution;

Note:3A001.c. does not control acoustic wave devices that are limited to a single band pass, low pass, high pass or notch filtering, or resonating function.

d.Electronic devices and circuits containing components, manufactured from "superconductive" materials, specially designed for operation at temperatures below the "critical temperature" of at least one of the "superconductive" constituents and having any of the following:

1.Current switching for digital circuits using "superconductive" gates with a product of delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10–14 J; or

2.Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10000;

e.High energy devices as follows:

1.'Cells' as follows:

a.'Primary cells' having an 'energy density' exceeding 550 Wh/kg at 20 °C;

b.'Secondary cells' having an 'energy density' exceeding 300 Wh/kg at 20 °C;

Technical Notes:

1.For the purpose of 3A001.e.1.,'energy density' (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours (Ah) divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in ohms and the mass in kilograms.

2.For the purpose of 3A001.e.1., a 'cell' is defined as an electrochemical device, which has positive and negative electrodes, an electrolyte, and is a source of electrical energy. It is the basic building block of a battery.

3.For the purpose of 3A001.e.1.a., a 'primary cell' is a 'cell' that is not designed to be charged by any other source.

4.For the purpose of 3A001.e.1.b., a 'secondary cell' is a 'cell' that is designed to be charged by an external electrical source.

Note:3A001.e.1. does not control batteries, including single-cell batteries.

2.High energy storage capacitors as follows:

N.BSEE ALSO 3A201.a. and the Military Goods Controls.

a.Capacitors with a repetition rate of less than 10 Hz (single shot capacitors) and having all of the following:

1.A voltage rating equal to or more than 5 kV;

2.An energy density equal to or more than 250 J/kg; and

3.A total energy equal to or more than 25 kJ;

b.Capacitors with a repetition rate of 10 Hz or more (repetition rated capacitors) and having all of the following:

1.A voltage rating equal to or more than 5 kV;

2.An energy density equal to or more than 50 J/kg;

3.A total energy equal to or more than 100 J; and

4.A charge/discharge cycle life equal to or more than 10000;

3."Superconductive" electromagnets and solenoids, specially designed to be fully charged or discharged in less than one second and having all of the following:

N.B.SEE ALSO 3A201.b.

Note:3A001.e.3. does not control "superconductive" electromagnets or solenoids specially designed for Magnetic Resonance Imaging (MRI) medical equipment.

a.Energy delivered during the discharge exceeding 10 kJ in the first second;

b.Inner diameter of the current carrying windings of more than 250 mm; and

c.Rated for a magnetic induction of more than 8 T or "overall current density" in the winding of more than 300 A/mm2;

4.Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays, which are "space-qualified", having a minimum average efficiency exceeding 20 % at an operating temperature of 301 K (28 °C) under simulated 'AM0' illumination with an irradiance of 1367 watts per square metre (W/m2);

Technical Note:

'AM0', or 'Air Mass Zero', refers to the spectral irradiance of sun light in the earth's outer atmosphere when the distance between the earth and sun is one astronomical unit (AU).

f.Rotary input type absolute position encoders having an accuracy equal to or less (better) than ± 1,0 second of arc;

g.Solid-state pulsed power switching thyristor devices and 'thyristor modules', using either electrically, optically, or electron radiation controlled switch methods and having any of the following:

1.A maximum turn-on current rate of rise (di/dt) greater than 30000 A/μs and off-state voltage greater than 1100 V; or

2.A maximum turn-on current rate of rise (di/dt) greater than 2000 A/μs and having all of the following:

a.An off-state peak voltage equal to or greater than 3000 V; and

b.A peak (surge) current equal to or greater than 3000 A.

Note 1:3A001.g. includes:

Silicon Controlled Rectifiers (SCRs)

Electrical Triggering Thyristors (ETTs)

Light Triggering Thyristors (LTTs)

Integrated Gate Commutated Thyristors (IGCTs)

Gate Turn-off Thyristors (GTOs)

MOS Controlled Thyristors (MCTs)

Solidtrons

Note 2:3A001.g. does not control thyristor devices and 'thyristor modules' incorporated into equipment designed for civil railway or "civil aircraft" applications.

Technical Note:

For the purposes of 3A001.g., a 'thyristor module' contains one or more thyristor devices.

h.Solid-state power semiconductor switches, diodes, or 'modules', having all of the following:

1.Rated for a maximum operating junction temperature greater than 488 K (215 °C);

2.Repetitive peak off-state voltage (blocking voltage) exceeding 300 V; and

3.Continuous current greater than 1 A.

Note 1:Repetitive peak off-state voltage in 3A001.h. includes drain to source voltage, collector to emitter voltage, repetitive peak reverse voltage and peak repetitive off-state blocking voltage.

Note 2:3A001.h. includes:

Junction Field Effect Transistors (JFETs)

Vertical Junction Field Effect Transistors (VJFETs)

Metal Oxide Semiconductor Field effect Transistors (MOSFETs)

Double Diffused Metal Oxide Semiconductor Field Effect Transistor (DMOSFET)

Insulated Gate Bipolar Transistor (IGBT)

High Electron Mobility Transistors (HEMTs)

Bipolar Junction Transistors (BJTs)

Thyristors and Silicon Controlled Rectifiers (SCRs)

Gate Turn-Off Thyristors (GTOs)

Emitter Turn-Off Thyristors (ETOs)

PiN Diodes

Schottky Diodes

Note 3:3A001.h. does not control switches, diodes, or 'modules', incorporated into equipment designed for civil automobile, civil railway or "civil aircraft" applications.

Technical Note:

For the purposes of 3A001.h., 'modules' contain one or more solid-state power semiconductor switches or diodes.

3A002    General purpose electronic equipment as follows:

a.Recording equipment and oscilloscopes as follows:

1.Not used;

2.Not used;

3.Not used;

4.Not used;

5.Waveform digitisers and transient recorders, having all of the following:

a.Digitising rate equal to or more than200 million samples per second and a resolution of 10 bit or more;

b.A 'continuous throughput' of 2 Gbit/s or more; and

c.Triggered acquisition of transients or aperiodic signals

Technical Notes:

1.For those instruments with a parallel bus architecture, the 'continuous throughput' rate is the highest word rate multiplied by the number of bits in a word.

2.'Continuous throughput' is the fastest data rate the instrument can output to mass storage without the loss of any information whilst sustaining the sampling rate and analogue-to-digital conversion.

3.For the purposes of 3A002.a.5.c., acquisition can be triggered internally or externally.

6.Digital instrumentation data recorder systems using magnetic disk storage technique and having all of the following, and specially designed digital recorders therefor:

a.Digitised instrumentation data rate equal to or more than 100 million samples per second at a resolution of 8 bit or more; and

b.A 'continuous throughput' of 1 Gbit/s or more;

Technical Note:

Digital instrumentation data recorder systems can be configured either with a digitiser integrated within or outside the digital recorder.

7.Real-time oscilloscopes having a vertical root-mean-square (rms) noise voltage of less than 2 % of full-scale at the vertical scale setting that provides the lowest noise value for any input 3dB bandwidth of 60 GHz or greater per channel;

Note:3A002.a.7. does not control equivalent-time sampling oscilloscopes

b.Not used;

c."Signal analysers" as follows:

1."Signal analysers" having a 3 dB resolution bandwidth (RBW) exceeding 10 MHz anywhere within the frequency range exceeding 31,8 GHz but not exceeding 37 GHz;

2."Signal analysers" having Displayed Average Noise Level (DANL) less (better) than -150 dBm/Hz anywhere within the frequency range exceeding 43,5 GHz but not exceeding 90 GHz;

3."Signal analysers" having a frequency exceeding 90 GHz;

4."Signal analysers" having all of the following:

a."Real-time bandwidth" exceeding 170 MHz; and

b.100 % probability of discovery with less than a 3 dB reduction from full amplitude due to gaps or windowing effects of signals having a duration of 15 μs or less;

Technical Notes:

1.Probability of discovery in 3A002.c.4.b. is also referred to as probability of intercept or probability of capture.

2.For the purposes of 3A002.c.4.b., the duration for 100 % probability of discovery is equivalent to the minimum signal duration necessary for the specified level measurement uncertainty.

Note:3A002.c.4. does not control those "signal analysers" using only constant percentage bandwidth filters (also known as octave or fractional octave filters).

5."Signal analysers" having a "frequency mask trigger" function with 100 % probability of trigger (capture) for signals having a duration of 15μs or less;

d.Signal generators having any of the following:

1.Specified to generate pulse-modulated signals having all of the following, anywhere within the frequency range exceeding 31,8 GHz but not exceeding 37 GHz:

a.'Pulse duration' of less than 25 ns; and

b.On/off ratio equal to or exceeding 65 dB;

2.An output power exceeding 100 mW (20 dBm) anywhere within the frequency range exceeding 43,5 GHz but not exceeding 90 GHz;

3.A "frequency switching time" as specified by any of the following:

a.Not used;

b.Less than 100 μs for any frequency change exceeding 2,2GHz within the frequency range exceeding 4,8 GHz but not exceeding 31,8 GHz;

c.Not used.

d.Less than 500 μs for any frequency change exceeding 550 MHz within the frequency range exceeding 31,8 GHz but not exceeding 37 GHz;

e.Less than 100 μs for any frequency change exceeding 2,2 GHz within the frequency range exceeding 37 GHz but not exceeding 90 GHz; or

f.Not used

4.Single sideband (SSB) phase noise, in dBc/Hz, specified as being any of the following:

a.Less (better) than –(126 + 20log10F - 20log10f) anywhere within the range of 10 Hz < F < 10 kHz anywhere within the frequency range exceeding 3,2 GHz but not exceeding 90 GHz; or

b.Less (better) than –(206- 20log10f) anywhere within the range of 10 kHz < F≤ 100 kHz anywhere within the frequency range exceeding 3,2 GHz but not exceeding 90 GHz; or

Technical Note:

In 3A002.d.4., F is the offset from the operating frequency in Hz and f is the operating frequency in MHz;

5.A maximum frequency exceeding 90 GHz;

Note 1.:For the purpose of 3A002.d., signal generators include arbitrary waveform and function generators.

Note 2.:    3A002.d. does not control equipment in which the output frequency is either produced by the addition or subtraction of two or more crystal oscillator frequencies, or by an addition or subtraction followed by a multiplication of the result.

Technical Notes:

1.The maximum frequency of an arbitrary waveform or function generator is calculated by dividing the sample rate, in samples/second, by a factor of 2,5.

2.For the purposes of 3A002.d.1.a, 'pulse duration' is defined as the time interval from the point on the leading edge that is 50 % of the pulse amplitude to the point on the trailing edge that is 50 % of the pulse amplitude.

e.Network analysers having any of the following:

1.An output power exceeding 31,62 mW (15 dBm) anywhere within the operating frequency range exceeding 43,5 GHz but not exceeding 90 GHz;

2.An output power exceeding 1 mW (0 dBm) anywhere within the operating frequency range exceeding 90 GHz but not exceeding 110 GHz;

3.'Nonlinear vector measurement functionality' at frequencies exceeding 50 GHz but not exceeding 110 GHz; or

Technical Note:

'Nonlinear vector measurement functionality' is an instrument's ability to analyse the test results of devices driven into the large-signal domain or the non-linear distortion range.

4.A maximum operating frequency exceeding 110 GHz;

f.Microwave test receivers having all of the following:

1.A maximum operating frequency exceeding 110 GHz; and

2.Being capable of measuring amplitude and phase simultaneously;

g.Atomic frequency standards being any of the following:

1."Space-qualified";

2.Non-rubidium and having a long-term stability less (better) than 1 × 10–11/month; or

3.Non-"space-qualified" and having all of the following:

a.Being a rubidium standard;

b.Long-term stability less (better) than 1 × 10–11/month; and

c.Total power consumption of less than 1 W.

3A003    Spray cooling thermal management systems employing closed loop fluid handling and reconditioning equipment in a sealed enclosure where a dielectric fluid is sprayed onto electronic components using specially designed spray nozzles that are designed to maintain electronic components within their operating temperature range, and specially designed components therefor.

3A101    Electronic equipment, devices and components, other than those specified in 3A001, as follows:

a.Analogue-to-digital converters, usable in "missiles", designed to meet military specifications for ruggedized equipment;

b.Accelerators capable of delivering electromagnetic radiation produced by bremsstrahlung from accelerated electrons of 2 MeV or greater, and systems containing those accelerators.

Note:    3A101.b. above does not specify equipment specially designed for medical purposes.

3A102    'Thermal batteries' designed or modified for 'missiles'.

Technical Notes:

1.In 3A102 'thermal batteries' are single use batteries that contain a solid non-conducting inorganic salt as the electrolyte. These batteries incorporate a pyrolytic material that, when ignited, melts the electrolyte and activates the battery.

2.In 3A102 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

3A201    Electronic components, other than those specified in 3A001, as follows;

a.Capacitors having either of the following sets of characteristics:

1.

a.Voltage rating greater than 1,4 kV;

b.Energy storage greater than 10 J;

c.Capacitance greater than 0,5 μF; and

d.Series inductance less than 50 nH; or

2.

a.Voltage rating greater than 750 V;

b.Capacitance greater than 0,25 μF; and

c.Series inductance less than 10 nH;

b.Superconducting solenoidal electromagnets having all of the following characteristics:

1.Capable of creating magnetic fields greater than 2 T;

2.A ratio of length to inner diameter greater than 2;

3.Inner diameter greater than 300 mm; and

4.Magnetic field uniform to better than 1 % over the central 50 % of the inner volume;

Note:3A201.b. does not control magnets specially designed for and exported 'as parts of' medical nuclear magnetic resonance (NMR) imaging systems. The phrase 'as part of' does not necessarily mean physical part in the same shipment; separate shipments from different sources are allowed, provided the related export documents clearly specify that the shipments are dispatched 'as part of' the imaging systems.

c.Flash X-ray generators or pulsed electron accelerators having either of the following sets of characteristics:

1.

a.An accelerator peak electron energy of 500 keV or greater but less than 25 MeV ; and

b.With a 'figure of merit' (K) of 0,25 or greater; or

2.

a.An accelerator peak electron energy of 25 MeV or greater; and

b.A 'peak power' greater than 50 MW.

Note:3A201.c. does not control accelerators that are component parts of devices designed for purposes other than electron beam or X-ray radiation (electron microscopy, for example) nor those designed for medical purposes:

Technical Notes:

1.The 'figure of merit' K is defined as:

K = 1,7 × 103V2.65Q

V is the peak electron energy in million electron volts.

If the accelerator beam pulse duration is less than or equal to 1 μs, then Q is the total accelerated charge in Coulombs. If the accelerator beam pulse duration is greater than 1 μs, then Q is the maximum accelerated charge in 1 μs.

Q equals the integral of i with respect to t, over the lesser of 1 μs or the time duration of the beam pulse (Q = ∫ idt), where i is beam current in amperes and t is time in seconds.

2.'Peak power' = (peak potential in volts) × (peak beam current in amperes).

3.In machines based on microwave accelerating cavities, the time duration of the beam pulse is the lesser of 1 μs or the duration of the bunched beam packet resulting from one microwave modulator pulse.

4.In machines based on microwave accelerating cavities, the peak beam current is the average current in the time duration of a bunched beam packet.

3A225    Frequency changers or generators, other than those specified in 0B001.b.13., usable as a variable or fixed frequency motor drive, having all of the following characteristics:

N.B. 1:    "Software" specially designed to enhance or release the performance of a frequency changer or generator to meet the characteristics of 3A225 is specified in 3D225.

N.B. 2:    "Technology" in the form of codes or keys to enhance or release the performance of a frequency changer or generator to meet the characteristics of 3A225 is specified in 3E225.

a.Multiphase output providing a power of 40 VA or greater;

b.Operating at a frequency of 600 Hz or more; and

c.Frequency control better (less) than 0,2 %.

Note:3A225 does not control frequency changers or generators if they have hardware, "software" or "technology" constraints that limit the performance to less than that specified above, provided they meet any of the following:

1.They need to be returned to the original manufacturer to make the enhancements or release the constraints;

2.They require "software" as specified in 3D225 to enhance or release the performance to meet the characteristics of 3A225; or

3.They require "technology" in the form of keys or codes as specified in 3E225 to enhance or release the performance to meet the characteristics of 3A225.

Technical Notes:

1.Frequency changers in 3A225 are also known as converters or inverters.

2.Frequency changers in 3A225 may be marketed as Generators, Electronic Test Equipment, AC Power Supplies, Variable Speed Motors Drives, Variable Speed Drives (VSDs), Variable Frequency Drives (VFDs), Adjustable Frequency Drives (AFDs), or Adjustable Speed Drives (ASDs).

3A226    High-power direct current power supplies, other than those specified in 0B001.j.6., having both of the following characteristics:

a.Capable of continuously producing, over a time period of 8 hours, 100 V or greater with current output of 500 A or greater; and

b.Current or voltage stability better than 0,1 % over a time period of 8 hours.

3A227    High-voltage direct current power supplies, other than those specified in 0B001.j.5., having both of the following characteristics:

a.Capable of continuously producing, over a time period of 8 hours, 20 kV or greater with current output of 1 A or greater; and

b.Current or voltage stability better than 0,1 % over a time period of 8 hours.

3A228    Switching devices, as follows:

a.Cold-cathode tubes, whether gas filled or not, operating similarly to a spark gap, having all of the following characteristics:

1.Containing three or more electrodes;

2.Anode peak voltage rating of 2,5 kV or more;

3.Anode peak current rating of 100 A or more; and

4.Anode delay time of 10 μs or less;

Note:3A228 includes gas krytron tubes and vacuum sprytron tubes.

b.Triggered spark-gaps having both of the following characteristics:

1.An anode delay time of 15 μs or less; and

2.Rated for a peak current of 500 A or more;

c.Modules or assemblies with a fast switching function, other than those specified in 3A001.g. or 3A001.h., having all of the following characteristics:

1.Anode peak voltage rating greater than 2 kV;

2.Anode peak current rating of 500 A or more; and

3.Turn-on time of 1 μs or less.

3A229    High-current pulse generators as follows:

N.B.:SEE ALSO MILITARY GOODS CONTROLS.

a.Detonator firing sets (initiator systems, firesets), including electronically-charged, explosively-driven and optically-driven firing sets, other than those specified in 1A007.a., designed to drive multiple controlled detonators specified in 1A007.b.;

b.Modular electrical pulse generators (pulsers) having all of the following characteristics:

1.Designed for portable, mobile, or ruggedized-use;

2.Capable of delivering their energy in less than 15 μs into loads of less than 40 ohms;

3.Having an output greater than 100 A;

4.No dimension greater than 30 cm;

5.Weight less than 30 kg; and

6.Specified for use over an extended temperature range 223 K (–50 °C) to 373 K (100 °C) or specified as suitable for aerospace applications.

Note:3A229.b. includes xenon flash-lamp drivers.

c.Micro-firing units having all of the following characteristics:

1.No dimension greater than 35 mm;

2.Voltage rating of equal to or greater than 1 kV; and

3.Capacitance of equal to or greater than 100 nF.

3A230    High-speed pulse generators, and 'pulse heads' therefor, having both of the following characteristics:

a.Output voltage greater than 6 V into a resistive load of less than 55 ohms, and

b.'Pulse transition time' less than 500 ps.

Technical Notes:

1.In 3A230, 'pulse transition time' is defined as the time interval between 10 % and 90 % voltage amplitude.

2.'Pulse heads' are impulse forming networks designed to accept a voltage step function and shape it into a variety of pulse forms that can include rectangular, triangular, step, impulse, exponential, or monocycle types. 'Pulse heads' can be an integral part of the pulse generator, they can be a plug-in module to the device or they can be an externally connected device.

3A231    Neutron generator systems, including tubes, having both of the following characteristics:

a.Designed for operation without an external vacuum system; and

b.Utilizing any of the following:

1.Electrostatic acceleration to induce a tritium-deuterium nuclear reaction; or

2.Electrostatic acceleration to induce a deuterium-deuterium nuclear reaction and capable of an output of 3 × 109 neutrons/s or greater.

3A232    Multipoint initiation systems, other than those specified in 1A007, as follows:

N.B.:SEE ALSO MILITARY GOODS CONTROLS.

N.B.:See 1A007.b. for detonators.

a.Not used;

b.Arrangements using single or multiple detonators designed to nearly simultaneously initiate an explosive surface over greater than 5,000 mm2 from a single firing signal with an initiation timing spread over the surface of less than 2,5 μs.

Note:    3A232 does not control detonators using only primary explosives, such as lead azide.

3A233    Mass spectrometers, other than those specified in 0B002.g., capable of measuring ions of 230 atomic mass units or greater and having a resolution of better than 2 parts in 230, as follows, and ion sources therefor:

a.Inductively coupled plasma mass spectrometers (ICP/MS);

b.Glow discharge mass spectrometers (GDMS);

c.Thermal ionization mass spectrometers (TIMS);

d.Electron bombardment mass spectrometers having both of the following features:

1.A molecular beam inlet system that injects a collimated beam of analyte molecules into a region of the ion source where the molecules are ionized by an electron beam; and

2.One or more 'cold traps' that can be cooled to a temperature of 193 K (–80 °C);

e.Not used;

f.Mass spectrometers equipped with a microfluorination ion source designed for actinides or actinide fluorides.

Technical Notes:

1.Electron bombardment mass spectrometers in 3A233.d. are also known as electron impact mass spectrometers or electron ionization mass spectrometers.

2.In 3A233.d.2., a 'cold trap' is a device that traps gas molecules by condensing or freezing them on cold surfaces. For the purposes of 3A233.d.2., a closed-loop gaseous helium cryogenic vacuum pump is not a 'cold trap'.

3A234    Striplines to provide low inductance path to detonators with the following characteristics:

a.Voltage rating greater than 2 kV; and

b.Inductance of less than 20 nH.

3BTest, Inspection and Production Equipment

3B001    Equipment for the manufacturing of semiconductor devices or materials, as follows and specially designed components and accessories therefor:

a.Equipment designed for epitaxial growth as follows:

1.Equipment capable of producing a layer of any material other than silicon with a thickness uniform to less than ± 2,5 % across a distance of 75 mm or more;

Note:3B001.a.1. includes Atomic Layer Epitaxy (ALE) equipment.

2.Metal Organic Chemical Vapour Deposition (MOCVD) reactors designed for compound semiconductor epitaxial growth of material having two or more of the following elements: aluminium, gallium, indium, arsenic, phosphorus, antimony, or nitrogen;

3.Molecular beam epitaxial growth equipment using gas or solid sources;

b.Equipment designed for ion implantation and having any of the following:

1.Not used;

2.Being designed and optimized to operate at a beam energy of 20 keV or more and a beam current of 10 mA or more for hydrogen, deuterium or helium implant;

3.Direct write capability;

4.A beam energy of 65 keV or more and a beam current of 45 mA or more for high energy oxygen implant into a heated semiconductor material "substrate"; or

5.Being designed and optimized to operate at a beam energy of 20 keV or more and a beam current of 10 mA or more for silicon implant into a semiconductor material "substrate" heated to 600 °C or greater;

c.Anisotropic plasma dry etching equipment having all of the following:

1.Designed or optimised to produce critical dimensions of 65 nm or less; and

2.Within-wafer non-uniformity equal to or less than 10 % 3σ measured with an edge exclusion of 2 mm or less;

d.Not used;

e.Automatic loading multi-chamber central wafer handling systems having all of the following:

1.Interfaces for wafer input and output, to which more than two functionally different 'semiconductor process tools' specified in 3B001.a., 3B001.b. or 3B001.c. are designed to be connected; and

2.Designed to form an integrated system in a vacuum environment for 'sequential multiple wafer processing';

Note:3B001.e. does not control automatic robotic wafer handling systems specially designed for parallel wafer processing.

Technical Notes:

1.For the purpose of 3B001.e., 'semiconductor process tools' refers to modular tools that provide physical processes for semiconductor production that are functionally different, such as deposition, etch, implant or thermal processing.

2.For the purpose of 3B001.e., 'sequential multiple wafer processing' means the capability to process each wafer in different 'semiconductor process tools', such as by transferring each wafer from one tool to a second tool and on to a third tool with the automatic loading multi-chamber central wafer handling systems.

f.Lithography equipment as follows:

1.Align and expose step and repeat (direct step on wafer) or step and scan (scanner) equipment for wafer processing using photo-optical or X-ray methods and having any of the following:

a.A light source wavelength shorter than 193 nm; or

b.Capable of producing a pattern with a 'Minimum Resolvable Feature size' (MRF) of 45 nm or less;

Technical Note:

The 'Minimum Resolvable Feature size' (MRF) is calculated by the following formula:

MRF = (an exposure light source wavelength in nm) x (K factor)

numerical aperture

where the K factor = 0,35

2.Imprint lithography equipment capable of producing features of 45 nm or less;

Note:3B001.f.2. includes:

Micro contact printing tools

Hot embossing tools

Nano-imprint lithography tools

Step and flash imprint lithography (S-FIL) tools

3.Equipment specially designed for mask making or semiconductor device processing using direct writing methods, having all of the following:

a.Using deflected focussed electron beam, ion beam or "laser" beam; and

b.Having any of the following:

1.A spot size smaller than 0,2 μm;

2.Being capable of producing a pattern with a feature size of less than 1 μm; or

3.An overlay accuracy of better than ± 0,20 μm (3 sigma);

g.Masks and reticles, designed for integrated circuits specified in 3A001;

h.Multi-layer masks with a phase shift layer not specified by 3B001.g. and having any of the following:

1.Made on a mask "substrate blank" from glass specified as having less than 7 nm/cm birefringence; or

2.Designed to be used by lithography equipment having a light source wavelength less than 245 nm;

Note:3B001.h. does not control multi-layer masks with a phase shift layer designed for the fabrication of memory devices not controlled by 3A001.

i.Imprint lithography templates designed for integrated circuits specified in 3A001.

3B002    Test equipment specially designed for testing finished or unfinished semiconductor devices as follows and specially designed components and accessories therefor:

a.For testing S-parameters of transistor devices at frequencies exceeding 31,8 GHz;

b.Not used;

c.For testing microwave integrated circuits specified in 3A001.b.2.

3CMaterials

3C001    Hetero-epitaxial materials consisting of a "substrate" having stacked epitaxially grown multiple layers of any of the following:

a.Silicon (Si);

b.Germanium (Ge);

c.Silicon carbide (SiC); or

d."III/V compounds" of gallium or indium.

Note:    3C001.d. does not control a "substrate" having one or more P-type epitaxial layers of GaN, InGaN, AlGaN, InAlN, InAlGaN, GaP, InGaP, AlInP or InGaAlP, independent of the sequence of the elements, except if the P-type epitaxial layer is between N-type layers.

3C002    Resist materials as follows and "substrates" coated with the following resists:

a.Resists designed for semiconductor lithography as follows:

1.Positive resists adjusted (optimised) for use at wavelengths less than 245 nm but equal to or greater than 15 nm;

2.Resists adjusted (optimised) for use at wavelengths less than 15 nm but greater than 1 nm;

b.All resists designed for use with electron beams or ion beams, with a sensitivity of 0,01 μcoulomb/mm2 or better;

c.Not used;

d.All resists optimised for surface imaging technologies;

e.All resists designed or optimised for use with imprint lithography equipment specified in 3B001.f.2. that use either a thermal or photo-curable process.

3C003    Organo-inorganic compounds as follows:

a.Organo-metallic compounds of aluminium, gallium or indium, having a purity (metal basis) better than 99,999 %;

b.Organo-arsenic, organo-antimony and organo-phosphorus compounds, having a purity (inorganic element basis) better than 99,999 %.

Note:    3C003 only controls compounds whose metallic, partly metallic or non-metallic element is directly linked to carbon in the organic part of the molecule.

3C004    Hydrides of phosphorus, arsenic or antimony, having a purity better than 99,999 %, even diluted in inert gases or hydrogen.

Note:    3C004 does not control hydrides containing 20 % molar or more of inert gases or hydrogen.

3C005    Silicon carbide (SiC), gallium nitride (GaN), aluminium nitride (AlN) or aluminium gallium nitride (AlGaN) semiconductor "substrates", or ingots, boules, or other preforms of those materials, having resistivities greater than 10000 ohm-cm at 20 °C.

3C006    "Substrates" specified in 3C005 With at least one epitaxial layer of silicon carbide, gallium nitride, aluminium nitride or aluminium gallium nitride.

3DSoftware

3D001    "Software" specially designed for the "development" or "production" of equipment specified in 3A001.b. to 3A002.g. or 3B.

3D002    "Software" specially designed for the "use" of equipment specified in 3B001.a. to f., 3B002 or 3A225

3D003    'Physics-based' simulation "software" specially designed for the "development" of lithographic, etching or deposition processes for translating masking patterns into specific topographical patterns in conductors, dielectrics or semiconductor materials.

Technical Note:

'Physics-based' in 3D003 means using computations to determine a sequence of physical cause and effect events based on physical properties (e.g., temperature, pressure, diffusion constants and semiconductor materials properties).

Note:    Libraries, design attributes or associated data for the design of semiconductor devices or integrated circuits are considered as "technology".

3D004    "Software" specially designed for the "development" of the equipment specified in 3A003.

3D101    "Software" specially designed or modified for the "use" of equipment specified in 3A101.b.

3D225    "Software" specially designed to enhance or release the performance of frequency changers or gener