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Document 02012R0267-20170625

Council Regulation (EU) No 267/2012 of 23 March 2012 concerning restrictive measures against Iran and repealing Regulation (EU) No 961/2010

ELI: http://data.europa.eu/eli/reg/2012/267/2017-06-25

02012R0267 — EN — 25.06.2017 — 023.003


This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document

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COUNCIL REGULATION (EU) No 267/2012

of 23 March 2012

concerning restrictive measures against Iran and repealing Regulation (EU) No 961/2010

(OJ L 088 24.3.2012, p. 1)

Amended by:

 

 

Official Journal

  No

page

date

►M1

COUNCIL IMPLEMENTING REGULATION (EU) No 350/2012 of 23 April 2012

  L 110

17

24.4.2012

 M2

COUNCIL REGULATION (EU) No 708/2012 of 2 August 2012

  L 208

1

3.8.2012

►M3

COUNCIL IMPLEMENTING REGULATION (EU) No 709/2012 of 2 August 2012

  L 208

2

3.8.2012

►M4

COUNCIL IMPLEMENTING REGULATION (EU) No 945/2012 of 15 October 2012

  L 282

16

16.10.2012

 M5

COUNCIL IMPLEMENTING REGULATION (EU) No 1016/2012 of 6 November 2012

  L 307

5

7.11.2012

 M6

COUNCIL REGULATION (EU) No 1067/2012 of 14 November 2012

  L 318

1

15.11.2012

►M7

COUNCIL REGULATION (EU) No 1263/2012 of 21 December 2012

  L 356

34

22.12.2012

►M8

COUNCIL IMPLEMENTING REGULATION (EU) No 1264/2012 of 21 December 2012

  L 356

55

22.12.2012

►M9

COUNCIL IMPLEMENTING REGULATION (EU) No 522/2013 of 6 June 2013

  L 156

3

8.6.2013

 M10

COUNCIL REGULATION (EU) No 517/2013 of 13 May 2013

  L 158

1

10.6.2013

►M11

COUNCIL REGULATION (EU) No 971/2013 of 10 October 2013

  L 272

1

12.10.2013

►M12

COUNCIL IMPLEMENTING REGULATION (EU) No 1154/2013 of 15 November 2013

  L 306

3

16.11.2013

►M13

COUNCIL IMPLEMENTING REGULATION (EU) No 1203/2013 of 26 November 2013

  L 316

1

27.11.2013

►M14

COUNCIL IMPLEMENTING REGULATION (EU) No 1361/2013 of 17 December 2013

  L 343

7

19.12.2013

 M15

COUNCIL REGULATION (EU) No 42/2014 of 20 January 2014

  L 15

18

20.1.2014

►M16

COUNCIL IMPLEMENTING REGULATION (EU) No 397/2014 of 16 April 2014

  L 119

1

23.4.2014

►M17

COUNCIL IMPLEMENTING REGULATION (EU) No 1202/2014 of 7 November 2014

  L 325

3

8.11.2014

 M18

COUNCIL REGULATION (EU) 2015/229 of 12 February 2015

  L 39

1

14.2.2015

 M19

COUNCIL IMPLEMENTING REGULATION (EU) 2015/230 of 12 February 2015

  L 39

3

14.2.2015

 M20

COUNCIL IMPLEMENTING REGULATION (EU) 2015/549 of 7 April 2015

  L 92

12

8.4.2015

►M21

COUNCIL IMPLEMENTING REGULATION (EU) 2015/1001 of 25 June 2015

  L 161

1

26.6.2015

 M22

COUNCIL REGULATION (EU) 2015/1327 of 31 July 2015

  L 206

18

1.8.2015

 M23

COUNCIL REGULATION (EU) 2015/1328 of 31 July 2015

  L 206

20

1.8.2015

►M24

COUNCIL REGULATION (EU) 2015/1861 of 18 October 2015

  L 274

1

18.10.2015

►M25

COUNCIL IMPLEMENTING REGULATION (EU) 2015/1862 of 18 October 2015

  L 274

161

18.10.2015

 M26

COUNCIL IMPLEMENTING REGULATION (EU) 2015/2204 of 30 November 2015

  L 314

10

1.12.2015

 M27

COUNCIL REGULATION (EU) 2016/31 of 14 January 2016

  L 10

1

15.1.2016

►M28

COUNCIL IMPLEMENTING REGULATION (EU) 2016/74 of 22 January 2016

  L 16

6

23.1.2016

►M29

COUNCIL IMPLEMENTING REGULATION (EU) 2016/603 of 18 April 2016

  L 104

8

20.4.2016

►M30

COMMISSION IMPLEMENTING REGULATION (EU) 2016/1375 of 29 July 2016

  L 221

1

16.8.2016

►M31

COUNCIL IMPLEMENTING REGULATION (EU) 2017/77 of 16 January 2017

  L 12

24

17.1.2017

►M32

COUNCIL REGULATION (EU) 2017/964 of 8 June 2017

  L 146

1

9.6.2017

►M33

COUNCIL IMPLEMENTING REGULATION (EU) 2017/1124 of 23 June 2017

  L 163

4

24.6.2017


Corrected by:

►C1

Corrigendum, OJ L 332, 4.12.2012, p.  31 (267/2012)

 C2

Corrigendum, OJ L 041, 12.2.2013, p.  14 (709/2012)

 C3

Corrigendum, OJ L 268, 10.10.2013, p.  18 (1264/2012)

 C4

Corrigendum, OJ L 093, 28.3.2014, p.  85 (267/2012)


The presentation of this consolidated text takes into account judgments of the EU Courts concerning entries in the list of designated persons and entities.




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COUNCIL REGULATION (EU) No 267/2012

of 23 March 2012

concerning restrictive measures against Iran and repealing Regulation (EU) No 961/2010



CHAPTER I

DEFINITIONS

Article 1

For the purposes of this Regulation the following definitions shall apply:

(a) 'branch' of a financial or credit institution means a place of business which forms a legally dependent part of a financial or credit institution and which carries out directly all or some of the transactions inherent in the business of financial or credit institutions;

(b) 'brokering services' means:

(i) the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology or of financial and technical services, including from a third country to any other third country, or

(ii) the selling or buying of goods and technology or of financial and technical services, including where they are located in third countries for their transfer to another third country;

(c) 'claim' means any claim, whether asserted by legal proceedings or not, made before or after the date of entry into force of this Regulation, under or in connection with a contract or transaction, and includes in particular:

(i) a claim for performance of any obligation arising under or in connection with a contract or transaction;

(ii) a claim for extension or payment of a bond, financial guarantee or indemnity of whatever form;

(iii) a claim for compensation in respect of a contract or transaction;

(iv) a counterclaim;

(v) a claim for the recognition or enforcement, including by the procedure of exequatur, of a judgment, an arbitration award or an equivalent decision, wherever made or given;

(d) 'contract or transaction' means any transaction of whatever form and whatever the applicable law, whether comprising one or more contracts or similar obligations made between the same or different parties; for this purpose 'contract' includes a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, and credit, whether legally independent or not, as well as any related provision arising under, or in connection with, the transaction;

(e) 'competent authorities' refers to the competent authorities of the Member States as identified on the websites listed in Annex X;

(f) 'credit institution' means a credit institution as defined in Article 4(1) of Directive 2006/48/EC of the European Parliament and of the Council of 14 June 2006 relating to the taking up and pursuit of the business of credit institutions ( 1 ), including its branches inside or outside the Union;

(g) 'customs territory of the Union' means the territory as defined in Article 3 of Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code ( 2 ) and in Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Regulation (EEC) No 2913/92 ( 3 );

(h) 'economic resources' means assets of every kind, whether tangible or intangible, movable or immovable, which are not funds, but which may be used to obtain funds, goods or services;

(i) 'financial institution' means

(i) an undertaking, other than a credit institution, which carries out one or more of the operations included in points 2 to 12 and points 14 and 15 of Annex I to Directive 2006/48/EC, including the activities of currency exchange offices (bureaux de change);

(ii) an insurance company duly authorised in accordance with Directive 2009/138/EC of the European Parliament and of the Council of 25 November 2009 on the taking-up and pursuit of the business of Insurance and Reinsurance (Solvency II) ( 4 ), in so far as it carries out activities covered by that Directive;

(iii) an investment firm as defined in point 1 of Article 4(1) of Directive 2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments ( 5 );

(iv) a collective investment undertaking marketing its units or shares; or

(v) an insurance intermediary as defined in Article 2(5) of Directive 2002/92/EC of the European Parliament and of the Council of 9 December 2002 on insurance mediation ( 6 ), with the exception of intermediaries referred to in Article 2(7) of that Directive, when they act in respect of life insurance and other investment related services;

including its branches inside or outside the Union;

(j) 'freezing of economic resources' means preventing the use of economic resources to obtain funds, goods or services in any way, including, but not limited to, by selling, hiring or mortgaging them;

(k) 'freezing of funds' means preventing any move, transfer, alteration, use of, access to, or dealing with funds in any way that would result in any change in their volume, amount, location, ownership, possession, character, destination or other change that would enable the funds to be used, including portfolio management;

(l) 'funds' means financial assets and benefits of every kind, including, but not limited to:

(i) cash, cheques, claims on money, drafts, money orders and other payment instruments;

(ii) deposits with financial institutions or other entities, balances on accounts, debts and debt obligations;

(iii) publicly-and privately-traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts;

(iv) interest, dividends or other income on or value accruing from or generated by assets;

(v) credit, right of set-off, guarantees, performance bonds or other financial commitments;

(vi) letters of credit, bills of lading, bills of sale; and

(vii) documents showing evidence of an interest in funds or financial resources;

(m) 'goods' includes items, materials and equipment;

(n) 'insurance' means an undertaking or commitment whereby one or more natural or legal persons is or are obliged, in return for a payment, to provide one or more other persons, in the event of materialisation of a risk, with an indemnity or a benefit as determined by the undertaking or commitment;

(o) 'Iranian person, entity or body' means:

(i) the State of Iran or any public authority thereof;

(ii) any natural person in, or resident in, Iran;

(iii) any legal person, entity or body having its registered office in Iran;

(iv) any legal person, entity or body, inside or outside Iran, owned or controlled directly or indirectly by one or more of the above mentioned persons or bodies;

(p) 'reinsurance' means the activity consisting in accepting risks ceded by an insurance undertaking or by another reinsurance undertaking or, in the case of the association of underwriters known as Lloyd's, the activity consisting in accepting risks, ceded by any member of Lloyd's, by an insurance or reinsurance undertaking other than the association of underwriters known as Lloyd's;

(q) 'Sanctions Committee' means the Committee of the United Nations Security Council which was established pursuant to paragraph 18 of United Nations Security Council Resolution ("UNSCR") 1737 (2006);

(r) 'technical assistance' means 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;

(s) 'territory of the Union' means the territories of the Member States to which the Treaty is applicable, under the conditions laid down in the Treaty, including their airspace;

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(u) 'Joint Commission' means a joint commission consisting of representatives of Iran and of China, France, Germany, the Russian Federation, the United Kingdom and the United States with the High Representative of the Union for Foreign Affairs and Security Policy (‘High Representative’), that will be established to monitor the implementation of the Joint Comprehensive Plan of Action of 14 July 2015 (‘JCPOA’) and will carry out the functions provided for in the JCPOA, in accordance with point ix of the JCPOA's ‘Preamble and General Provisions’ and Annex IV to the JCPOA.

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CHAPTER II

EXPORT AND IMPORT RESTRICTIONS

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Article 2a

1.  A prior authorisation shall be required:

(a) for the sale, supply, transfer or export, directly or indirectly, of the goods and technology listed in Annex I, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran;

(b) for the provision of technical assistance or brokering services related to goods and technology listed in Annex I or related to the provision, manufacture, maintenance and use of goods and technology included in Annex I, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;

(c) for the provision of financing or financial assistance related to goods and technology listed Annex I, including in particular grants, loans and export credit insurance for any sale, supply, transfer or export of such items, or for any provision of related technical assistance or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;

(d) before entering into any arrangement with an Iranian person, entity or body, or any person or entity acting on their behalf or at their direction, including the acceptance of loans or credit made by such person, entity or body, that would enable such person, entity or body to participate in or increase its participation, be that independently or as part of a joint venture or other partnership, in commercial activities involving the following:

(i) uranium mining,

(ii) production or use of nuclear materials as listed in Part 1 of the Nuclear Suppliers Group list.

This shall include the making of loans or credit to such a person, entity or body;

(e) for the purchase, import or transport from Iran of goods and technology listed in Annex I, whether or not originating in Iran.

2.  Annex I shall list the items, including goods, technology and software, contained in the Nuclear Suppliers Group list.

3.  The Member State concerned shall submit the proposed authorisation under points (a) to (d) of paragraph 1 to the UN Security Council for approval on a case-by-case basis and shall not grant the authorisation until that approval has been received.

4.  The Member State concerned shall also submit the proposed authorisations of activities referred to in points (a) to (d) of paragraph 1 to the UN Security Council for approval on a case-by-case basis if the activities are related to any further goods and technology that, based on the determination by that Member State, could contribute to reprocessing- or enrichment-related or heavy water-related activities inconsistent with the JCPOA. The Member State shall not grant the authorisation until that approval has been received.

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5.  The Member State concerned shall notify the Joint Commission of authorisations granted under point (e) of paragraph 1 and authorisations concerning the purchase, import or transport from Iran of the further goods and technology referred to in paragraph 4, whether or not originating in Iran.

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6.  The Member State concerned shall notify the other Member States, the Commission and the High Representative of authorisations granted under paragraphs (1) and (5), or any refusal by the UN Security Council to approve an authorisation in accordance with paragraphs (3) or (4).

Article 2b

1.  Article 2a(3) and (4) do not apply in relation to proposed authorisations for the supply, sale or transfer to Iran of equipment referred to in paragraph 2(c), subparagraph 1 of Annex B to UNSCR 2231 (2015) for light water reactors.

2.  The Member State concerned shall inform the other Member States, the Commission and the High Representative, within four weeks, of authorisations granted under this Article.

Article 2c

1.  The competent authorities granting an authorisation in accordance with Article 2a(1)(a) and Article 2b shall ensure the following:

(a) the requirements, as appropriate, of the Guidelines as set out in the Nuclear Suppliers Group list have been met;

(b) the rights to verify the end-use and end-use location of any supplied item have been obtained from Iran and can be exercised effectively;

(c) the notification of the UN Security Council within ten days of the supply, sale or transfer; and

(d) in the case of supplied goods and technology referred to in Annex I, the notification of the IAEA within ten days of the supply, sale or transfer.

2.  For all exports for which an authorisation is required under Article 2a(1)(a), such authorisation shall be granted by the competent authorities of the Member State where the exporter is established. The authorisation shall be valid throughout the Union.

3.  Exporters shall supply the competent authorities with all relevant information, as set out in Article 14(1) of Regulation (EC) No 428/2009 and as specified by each competent authority, required for their application for an export authorisation.

Article 2d

1.  Article 2a(3) and (4) do not apply in relation to proposed authorisations for the supply, sale, or transfer of items, materials, equipment, goods and technology, and the provision of any related technical assistance, training, financial assistance, investment, brokering or other services where the competent authorities consider them to be directly related to the following:

(a) the necessary modification of two cascades at the Fordow facility for stable isotope production;

(b) the export of Iran's enriched uranium in excess of 300 kilograms in return for natural uranium; or

(c) the modernisation of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor.

2.  The competent authority granting an authorisation in accordance with paragraph 1 shall ensure the following:

(a) all activities are undertaken strictly in accordance with the JCPOA;

(b) the requirements, as appropriate, of the Guidelines as set out in the Nuclear Suppliers Group list have been met;

(c) rights to verify the end-use and end-use location of any supplied item have been obtained from Iran and can be exercised effectively.

3.  The Member State concerned shall notify:

(a) the UN Security Council and the Joint Commission ten days in advance of such activities;

(b) the IAEA within ten days of the supply, sale or transfer, in case of supplied items, materials, equipment, goods and technology included in the Nuclear Suppliers Group list.

4.  The Member State concerned shall inform the other Member States, the Commission and the High Representative, within four weeks, of authorisations granted under this Article.

Article 3a

1.  A prior authorisation shall be required, on a case-by-case basis:

(a) for the sale, supply, transfer or export, directly or indirectly, of the goods and technology listed in Annex II, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran;

(b) for the provision of technical assistance or brokering services related to goods and technology listed in Annex II or related to the provision, manufacture, maintenance and use of goods included in Annex II, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;

(c) for the provision of financing or financial assistance related to goods and technology listed Annex II, including in particular grants, loans and export credit insurance for any sale, supply, transfer or export of such items, or for any provision of related technical assistance or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;

(d) before entering into any arrangement with an Iranian person, entity or body, or any person or entity acting on their behalf or at their direction, including the acceptance of loans or credit made by such person, entity or body, that would enable such person, entity or body to participate in or increase its participation, be that independently or as part of a joint venture or other partnership, in commercial activities involving technologies listed in Annex II.;

(e) for the purchase, import or transport from Iran of goods and technology listed in Annex II, whether or not originating in Iran.

2.  Annex II shall list the goods and technology, other than those included in Annexes I and III, that could contribute to reprocessing- or enrichment-related or heavy water-related or other activities inconsistent with the JCPOA.

3.  Exporters shall supply the competent authorities with all relevant information required for their application for an authorisation.

4.  The competent authorities shall not grant any authorisation for the transactions referred to in paragraph 1(a) to (e), if they have reasonable grounds to determine that the actions concerned would contribute to reprocessing- or enrichment-related, heavy water-related or other nuclear related activities inconsistent with the JCPOA.

5.  The competent authorities shall exchange information on requests for authorisation received under this Article. The system referred to in Article 19(4) of Regulation (EC) No 428/2009 shall be used for this purpose.

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6.  The competent authority granting an authorisation in accordance with paragraph 1(a) shall ensure that, except for temporary exports, the applicant has submitted the end-use statement set out in Annex IIa or an end-use statement in an equivalent document containing information on the end-use and, as a basic principle, end-use location of any supplied item.

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6a.  If the competent authority decides to grant an authorisation in accordance with paragraph 1(a) in the absence of information on the end-use location, it may request the applicant to supply such information at a later stage. The applicant shall provide the information within a reasonable period of time.

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7.  The Member State concerned shall notify the other Member States, the Commission and the High Representative of its intention to grant an authorisation under this Article at least ten days prior to the authorisation.

Article 3b

1.  For all exports for which an authorisation is required under Article 3a, such authorisation shall be granted by the competent authorities of the Member State where the exporter is established and shall be in accordance with the detailed rules laid down in Article 11 of Regulation (EC) No 428/2009. The authorisation shall be valid throughout the Union.

2.  Under the conditions set out in Article 3a(4) and (5), the competent authorities may annul, suspend, modify or revoke an export authorisation which they have granted.

3.  Where a competent authority refuses to grant an authorisation, or annuls, suspends, substantively modifies or revokes an authorisation in accordance with Article 3a(4), the Member State concerned shall notify the other Member States, the Commission and the High Representative thereof and share the relevant information with them, while complying with the provisions concerning the confidentiality of such information of Council Regulation (EC) No 515/97 ( 7 ).

4.  Before a competent authority of a Member State grants an authorisation in accordance with Article 3a for a transaction which is essentially identical to a transaction which is the subject of a still valid denial issued by another Member State or by other Member States under Article 3a(4), it shall first consult the Member State or Member States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States, the Commission and the High Representative thereof, providing all relevant information to explain the decision.

Article 3c

1.  Article 3a does not apply in relation to proposed authorisations for the supply, sale or transfer to Iran of goods and technology listed in Annex II for light water reactors.

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2.  The competent authority granting an authorisation in accordance with paragraph 1 shall ensure that, except for temporary exports, the applicant has submitted the end-use statement set out in Annex IIa or an end-use statement in an equivalent document containing information on the end-use and, as a basic principle, end-use location of any supplied item.

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2a.  If the competent authority decides to grant an authorisation in accordance with paragraph 1(a) in the absence of information on the end-use location, it may request the applicant to supply such information at a later stage. The applicant shall provide the information within a reasonable period of time.

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3.  The Member State concerned shall inform the other Member States, the Commission and the High Representative, within four weeks, of authorisations granted under this Article.

Article 3d

1.  Article 3a does not apply in relation to proposed authorisations for the supply, sale, or transfer of items, materials, equipment, goods and technology, and the provision of any related technical assistance, training, financial assistance, investment, brokering or other services where the competent authorities consider them to be directly related to the following:

(a) the necessary modification of two cascades at the Fordow facility for stable isotope production;

(b) the export of Iran's enriched uranium in excess of 300 kilograms in return for natural uranium; or

(c) the modernisation of the Arak reactor based on the agreed conceptual design and, subsequently, on the agreed final design of such reactor.

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2.  The competent authority granting an authorisation in accordance with paragraph 1 shall ensure that:

(a) all activities are undertaken strictly in accordance with the JCPOA; and

(b) except for temporary exports, the applicant has submitted the end-use statement set out in Annex IIa or an end-use statement in an equivalent document containing information on the end-use and, as a basic principle, end-use location of any supplied item.

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2a.  If the competent authority decides to grant an authorisation in accordance with paragraph 1(a) in the absence of information on the end-use location, it may request the applicant to supply such information at a later stage. The applicant shall provide the information within a reasonable period of time.

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3.  The Member State concerned shall notify the other Member States and the Commission of its intention to grant an authorisation under this Article at least ten days prior to the authorisation.

Article 4a

1.  It shall be prohibited to sell, supply, transfer or export, directly or indirectly, the goods and technology listed in Annex III or any other item that the Member State determines could contribute to the development of nuclear weapon delivery systems, whether or not originating in the Union, to any Iranian person, entity or body or for use in Iran.

2.  Annex III shall list the items, including goods and technology, contained in the Missile Technology Control Regime list.

Article 4b

It shall be prohibited:

(a) to provide, directly or indirectly, technical assistance or brokering services related to the goods and technology listed in Annex III, or related to the provision, manufacture, maintenance and use of goods listed in Annex III, to any Iranian person, entity or body or for use in Iran;

(b) to provide financing or financial assistance related to the goods and technology listed in Annex III, including in particular grants, loans and export credit insurance for any sale, supply, transfer or export of such items, or for any provision of related technical assistance or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran;

(c) to enter into any arrangement with an Iranian person, entity or body, or any person or entity acting on their behalf or at their direction, including the acceptance of loans or credit made by such person, entity or body, that would enable such person, entity or body to participate in or increase its participation, be that independently or as part of a joint venture or other partnership, in commercial activities involving technologies listed in Annex III.

Article 4c

It shall be prohibited to purchase, import or transport from Iran, directly or indirectly, the goods and technology listed in Annex III whether the item concerned originates in Iran or not.

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Article 5

It shall be prohibited:

(a) to provide technical assistance, brokering services and other services related to the goods and technology listed in the Common Military List of the European Union (‘Common Military List’), and to the provision, manufacture, maintenance and use of goods and technology on that list, directly or indirectly to any Iranian person, entity or body or for use in Iran;

(b) to provide financing or financial assistance related to the goods and technology listed in the Common Military List, including in particular grants, loans and export credit insurance for any sale, supply, transfer or export of such items, or for any provision of related technical assistance or brokering services, directly or indirectly, to any Iranian person, entity or body, or for use in Iran.

(c) to enter into any arrangement for the participation or increase in participation in any Iranian person, entity or body engaged in the manufacture of goods or technology listed in the Common Military List, be that independently or as part of a joint venture or other partnership. This shall include the making of loans or credit to such a person, entity or body.

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Article 10d

1.  A prior authorisation shall be required for:

(a) the sale, supply, transfer or export of the software listed in Annex VIIA, to any Iranian person, entity or body or for use in Iran.

(b) the provision of technical assistance or brokering services related to the software listed in Annex VIIA or related to the provision, manufacture, maintenance and use of such items, to any Iranian person, entity or body, or for use in Iran;

(c) the provision of financing or financial assistance related to the software listed in Annex VIIA, including in particular grants, loans and export credit insurance for any sale, supply, transfer or export of such items, or for any provision of related technical assistance or brokering services to any Iranian person, entity or body, or for use in Iran.

2.  The competent authorities shall not grant any authorisation under this Article if:

(a) they have reasonable grounds to determine that the sale, supply, transfer or export of the software is or may be intended for use in connection with the following:

(i) reprocessing- or enrichment-related, heavy water-related, or other nuclear-related activities inconsistent with the JCPOA;

(ii) Iran's military or ballistic missile programme; or

(iii) the direct or indirect benefit of the Iranian Revolutionary Guard Corps;

(b) contracts for delivery of such items or assistance do not include appropriate end-user guarantees.

3.  The Member State concerned shall notify the other Member States and the Commission of its intention to grant an authorisation under this Article at least ten days prior to granting the authorisation.

4.  Where a competent authority refuses to grant an authorisation, or annuls, suspends, substantively modifies or revokes an authorisation in accordance with this Article, the Member State concerned shall notify the other Member States, the Commission and the High Representative thereof and share the relevant information with them.

5.  Before a competent authority of a Member State grants an authorisation in accordance with this Article for a transaction which is essentially identical to a transaction which is the subject of a still valid denial issued by another Member State or by other Member States, it shall first consult the Member State or Member States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States, the Commission and the High Representative thereof, providing all relevant information to explain the decision.

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Article 15a

1.  A prior authorisation shall be required for:

(a) the sale, supply, transfer or export of graphite and raw or semi-finished metals as listed in Annex VIIB, to any Iranian person, entity or body or for use in Iran;

(b) the provision of technical assistance or brokering services related to graphite and raw or semi-finished metals listed in Annex VIIB or related to the provision, manufacture, maintenance and use of such items, to any Iranian person, entity or body, or for use in Iran;

(c) the provision of financing or financial assistance related to graphite and raw or semi-finished metals listed in Annex VIIB, including in particular grants, loans and export credit insurance for any sale, supply, transfer or export of such items, or for any provision of related technical assistance or brokering services to any Iranian person, entity or body, or for use in Iran.

2.  The competent authorities shall not grant any authorisation under this Article if:

(a) they have reasonable grounds to determine that the sale, supply, transfer or export of the graphite and raw or semi-finished metals is or may be intended for use in connection with the following:

(i) reprocessing- or enrichment-related, heavy water-related, or other nuclear related activities inconsistent with the JCPOA;

(ii) Iran's military or ballistic missile programme; or

(iii) the direct or indirect benefit of the Iranian Revolutionary Guard Corps;

(b) contracts for delivery of such items or assistance do not include appropriate end-user guarantees.

3.  The Member State concerned shall notify the other Member States and the Commission of its intention to grant an authorisation under this Article at least ten days prior to granting the authorisation.

4.  Where a competent authority refuses to grant an authorisation, or annuls, suspends, substantively modifies or revokes an authorisation in accordance with this Article, the Member State concerned shall notify the other Member States, the Commission and the High Representative thereof and share the relevant information with them.

5.  Before a competent authority of a Member State grants an authorisation in accordance with this Article for a transaction which is essentially identical to a transaction which is the subject of a still valid denial issued by another Member State or by other Member States, it shall first consult the Member State or Member States which issued the denial. If, following such consultations, the Member State concerned decides to grant an authorisation, it shall inform the other Member States, the Commission and the High Representative thereof, providing all relevant information to explain the decision.

6.  The provisions in paragraphs 1 to 3 shall not apply in relation to the goods listed in Annexes I, II and III or in relation to Annex I to Regulation (EC) No 428/2009.

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CHAPTER III

RESTRICTIONS ON FINANCING OF CERTAIN ENTREPRISES

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CHAPTER IV

FREEZING OF FUNDS AND ECONOMIC RESOURCES

Article 23

1.  All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex VIII shall be frozen. Annex VIII includes the persons, entities and bodies designated by the United Nations Security Council or by the Sanctions Committee in accordance with paragraph 12 of UNSCR 1737 (2006), paragraph 7 of UNSCR 1803 (2008) or paragraph 11, 12 or 19 of UNSCR 1929 (2010).

2.  All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex IX shall be frozen. Annex IX shall include the natural and legal persons, entities and bodies who, in accordance with Article 20(1)(b) and (c) of Council Decision 2010/413/CFSP, have been identified as:

(a) being engaged in, directly associated with, or providing support for Iran's proliferation-sensitive nuclear activities or the development of nuclear weapon delivery systems by Iran, including through involvement in the procurement of prohibited goods and technology, or being owned or controlled by such a person, entity or body, including through illicit means, or acting on their behalf or at their direction;

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(b) being a natural or legal person, entity or body that has evaded or violated, or assisted a listed person, entity or body to evade or violate, the provisions of this Regulation, Council Decision 2010/413/CFSP or UNSCR 1737 (2006), UNSCR 1747 (2007), UNSCR 1803 (2008) and UNSCR 1929 (2010);

(c) being a member of the Islamic Revolutionary Guard Corps (IRGC) or a legal person, entity or body owned or controlled by the IRGC or by one or more of its members, or a natural or legal person, entity or body acting on their behalf, or a natural or legal person, entity or body providing insurance or other essential services to IRGC, or to entities owned or controlled by them or acting on their behalf;

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(d) being other persons, entities or bodies that provide support, such as material, logistical or financial support, to the Government of Iran and entities owned or controlled by them, or persons and entities associated with them;

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(e) being a legal person, entity or body owned or controlled by the Islamic Republic of Iran Shipping Lines (IRISL), or a natural or legal person, entity or body acting on its behalf, or a natural or legal person, entity or body providing insurance or other essential services to IRISL, or to entities owned or controlled by it or acting on its behalf.

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Pursuant to the obligation to freeze the funds and economic resources of IRISL and of designated entities owned or controlled by IRISL, it shall be prohibited to load and unload cargoes on and from vessels owned or chartered by IRISL or by such entities in ports of Member States.

The obligation to freeze the funds and economic resources of IRISL and of designated entities owned or controlled by IRISL shall not require the impounding or detention of vessels owned by such entities or the cargoes carried by them insofar as such cargoes belong to third parties, nor does it require the detention of the crew contracted by them.

3.  No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of the natural or legal persons, entities or bodies listed in Annexes VIII and IX or.

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4.  Without prejudice to the derogations provided for in Articles 24, 25, 26, 27, 28, 28a, 28b and 29, it shall be prohibited to supply specialised financial messaging services, which are used to exchange financial data, to the natural or legal persons, entities or bodies listed in Annexes VIII and IX.

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5.  Annexes VIII and IX shall include the grounds for listing of listed persons, entities and bodies, as provided by the Security Council or by the Sanctions Committee.

6.  Annexes VIII and IX shall also include, where available, information necessary to identify the natural or legal persons, entities and bodies concerned, as provided by the Security Council or by the Sanctions Committee. With regard to natural persons, such information may include names including aliases, date and place of birth, nationality, passport and ID card numbers, gender, adress, if known, and function or profession. With regard to legal persons, entities and bodies, such information may include names, place and date of registration, registration number and place of business. With regard to airlines and shipping companies, Annexes VIII and IX shall also include, where available, information necessary to identify each vessel or aircraft belonging to a listed company such as the original registration number or name. Annexes VIII and IX shall also include the date of designation.

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Article 23a

1.  All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex XIII shall be frozen. Annex XIII includes the natural and legal persons, entities and bodies designated by the UN Security Council in accordance with paragraph 6(c) of Annex B to UNSCR 2231 (2015).

2.  All funds and economic resources belonging to, owned, held or controlled by the persons, entities and bodies listed in Annex XIV shall be frozen. Annex XIV shall include the natural and legal persons, entities and bodies who, in accordance with Article 20(1)(e) of Council Decision 2010/413/CFSP, have been identified as:

(a) being engaged in, directly associated with, or provided support for, Iran's proliferation-sensitive nuclear activities undertaken contrary to Iran's commitments in the JCPOA or the development of nuclear weapon delivery systems by Iran, including through the involvement in procurement of prohibited items, goods, equipment, materials and technology specified in the statement set out in Annex B to UNSCR 2231 (2015), Decision 2010/413/CFSP or the Annexes to this Regulation;

(b) assisting designated persons or entities in evading or acting inconsistently with the JCPOA, UNSCR 2231 (2015), Decision 2010/413/CFSP or this Regulation;

(c) acting on behalf or at the direction of designated persons or entities; or

(d) being a legal person, entity or body owned or controlled by designated persons or entities.

3.  No funds or economic resources shall be made available, directly or indirectly, to or for the benefit of the natural or legal persons, entities or bodies listed in Annexes XIII and XIV.

4.  Without prejudice to the derogations provided for in Articles 24, 25, 26, 27, 28, 28a, 28b or 29, it shall be prohibited to supply specialised financial messaging services, which are used to exchange financial data, to the natural or legal persons, entities or bodies listed in Annexes XIII and XIV.

5.  Annexes XIII and XIV shall include the grounds for listing of listed natural or legal persons, entities or bodies.

6.  Annexes XIII and XIV shall also include, where available, the information necessary to identify the natural or legal persons, entities or bodies concerned. With regard to natural persons, such information may include names, including aliases, date and place of birth, nationality, passport and identity card numbers, gender, address if known, and function or profession. With regard to legal persons, entities or bodies, such information may include names, place and date of registration, registration number and place of business. Annexes XIII and XIV shall also include the date of designation.

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Article 24

By way of derogation from Article 23 or Article 23a, the competent authorities may authorise the release of certain frozen funds or economic resources, provided that the following conditions are met:

(a) the funds or economic resources are the subject of a judicial, administrative or arbitral lien established before the date on which the person, entity or body referred to in Article 23 or Article 23a has been designated by the Sanctions Committee, the UN Security Council or the Council or of a judicial, administrative or arbitral judgment rendered prior to that date;

(b) the funds or economic resources will be used exclusively to satisfy claims secured by such a lien or recognised as valid in such a judgment, within the limits set by applicable laws and regulations governing the rights of persons having such claims;

(c) the lien or judgment is not for the benefit of a person, entity or body listed in Annexes VIII, IX, XIII or XIV;

(d) recognising the lien or judgment is not contrary to public policy in the Member State concerned; and

(e) where Article 23(1) or Article 23a(1) applies, the UN Security Council has been notified by the Member State of the lien or judgment.

Article 25

By way of derogation from Article 23 or Article 23a and provided that a payment by a person, entity or body listed in Annexes VIII, IX, XIII or XIV is due under a contract or agreement that was concluded by, or an obligation that arose for the person, entity or body concerned, before the date on which that person, entity or body had been designated by the Sanctions Committee, the UN Security Council or by the Council, the competent authorities may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources, provided that the following conditions are met:

(a) the competent authority concerned has determined that:

(i) the funds or economic resources shall be used for a payment by a person, entity or body listed in Annexes VIII, IX, XIII or XIV;

(ii) the payment will not contribute to an activity prohibited under this Regulation. If the payment serves as consideration for a trade activity that has already been performed and the competent authority of another Member State had given prior confirmation that the activity was not prohibited at the time it was performed, it shall be deemed, prima facie, that the payment will not contribute to a prohibited activity; and

(iii) the payment is not in breach of Article 23(3) or Article 23a(3); and

(b) where Article 23(1) or Article 23a(1) applies, the Member State concerned has notified the UN Security Council of that determination and its intention to grant an authorisation, and the UN Security Council has not objected to that course of action within ten working days of notification.

Article 26

By way of derogation from Article 23 or Article 23a, the competent authorities may authorise the release of certain frozen funds or economic resources, or the making available of certain funds or economic resources, under such conditions as they deem appropriate, provided that the following conditions are met:

(a) the competent authority concerned has determined that the funds or economic resources concerned are:

(i) necessary to satisfy the basic needs of natural or legal persons, entities or bodies listed in Annexes VIII, IX, XIII or XIV and their dependent family members of such natural persons, including payments for foodstuffs, rent or mortgage, medicines and medical treatment, taxes, insurance premiums, and public utility charges;

(ii) intended exclusively for payment of reasonable professional fees and reimbursement of incurred expenses associated with the provision of legal services; or

(iii) intended exclusively for payment of fees or service charges for routine holding or maintenance of frozen funds or economic resources.

(b) where the authorisation concerns a person, entity or body listed in Annex XIII, the Member State concerned has notified the UN Security Council of the determination referred to in point (a) and its intention to grant an authorisation, and the UN Security Council has not objected to that course of action within five working days of notification.

Article 27

By way of derogation from Article 23(2) and (3) or Article 23a(2) and (3), the competent authorities may authorise the release of certain frozen funds or economic resources or the making available of certain funds or economic resources, under such conditions as they deem appropriate, after having determined that the funds or economic resources concerned are to be paid into or from an account of a diplomatic mission or consular post or an international organisation enjoying immunities in accordance with international law, insofar as such payments are intended to be used for official purposes of the diplomatic mission or consular post or international organisation.

Article 28

By way of derogation from Article 23 or Article 23a, the competent authorities may authorise the release of certain frozen funds or economic resources or the making available of certain funds or economic resources, after having determined that the funds or economic resources concerned are necessary for extraordinary expenses provided that, where the authorisation concerns a person, entity or body listed in Annex XIII, the UN Security Council has been notified of that determination by the Member State concerned and the determination has been approved by the UN Security Council.

Article 28a

By way of derogation from Article 23(2) and (3) or Article 23a(2) and (3), the competent authorities may authorise, under such conditions as they deem appropriate, the release of certain frozen funds or economic resources or the making available of certain funds or economic resources, after having determined that the funds or economic resources concerned are necessary for activities directly related to equipment referred to in paragraph 2(c), subparagraph 1 of Annex B to UNSCR 2231 (2015) for light water reactors.

Article 28b

By way of derogation from Article 23 or Article 23a, the competent authorities may authorise the release of certain frozen funds or economic resources or the making available of certain funds or economic resources, under such conditions as they deem appropriate, provided that the following conditions are met:

(a) the competent authority concerned has determined that the funds or economic resources concerned are:

(i) necessary for the civil nuclear cooperation projects described in Annex III of the JCPOA;

(ii) necessary for activities directly related to the items specified in Articles 2a and 3a, or to any other activity required for the implementation of the JCPOA; and

(b) where the authorisation concerns a person, entity or body listed in Annex XIII, the UN Security Council has been notified of that determination by the Member State concerned and the determination has been approved by the UN Security Council.

Article 29

1.  Article 23(3) or Article 23a(3) shall not prevent the crediting of the frozen accounts by financial or credit institutions that receive funds transferred by third parties to the account of a listed person, entity or body, provided that any additions to such accounts shall also be frozen. The financial or credit institution shall inform the competent authorities about such transactions without delay.

2.  Provided that any such interest or other earnings and payments are frozen in accordance with Article 23(1) or (2) or Article 23a(1) or (2), Article 23(3) or Article 23a(3) shall not apply to the addition to frozen accounts of:

(a) interest or other earnings on those accounts; or

(b) payments due under contracts, agreements or obligations that were concluded or arose before the date on which the person, entity or body referred to in Article 23 or Article 23a has been designated by the Sanctions Committee, the UN Security Council or by the Council.

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CHAPTER V

RESTRICTIONS ON TRANSFERS OF FUNDS AND ON FINANCIAL SERVICES

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CHAPTER VI

RESTRICTIONS ON TRANSPORT

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Article 36

The person providing advance information as determined in the relevant provisions concerning summary declarations as well as customs declarations in Regulation (EEC) No 2913/92 and in Regulation (EEC) No 2454/93 shall also present any authorisations if required by this Regulation.

Article 37

1.  The provision of bunkering or ship supply services, or any other servicing of vessels, to vessels owned or controlled, directly or indirectly, by an Iranian person, entity or body shall be prohibited where the providers of the service have information, including from the competent customs authorities on the basis of the advance information referred to in Article 36, that provides reasonable grounds to determine that the vessels carry goods covered by the Common Military List or goods whose supply, sale, transfer or export is prohibited under this Regulation, unless the provision of such services is necessary for humanitarian and safety purposes.

2.  The provision of engineering and maintenance services to cargo aircraft owned or controlled, directly or indirectly, by an Iranian person, entity or body shall be prohibited, where the providers of the service have information, including from the competent customs authorities on the basis of the advance information referred to in Article 36, that provides reasonable grounds to determine that the cargo aircraft carry goods covered by the Common Military List or goods the supply, sale, transfer or export of which is prohibited under this Regulation, unless the provision of such services is necessary for humanitarian and safety purposes.

3.  The prohibitions in paragraphs 1 and 2 of this Article shall apply until the cargo has been inspected and, where necessary, seized or disposed of, as the case may be.

Any seizure and disposal may, in accordance with national legislation or the decision of a competent authority, be carried out at the expense of the importer or be recovered from any other person or entity responsible for the attempted illicit supply, sale, transfer or export.

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CHAPTER VII

GENERAL AND FINAL PROVISIONS

Article 38

1.  No claims in connection with any contract or transaction the performance of which has been affected, directly or indirectly, in whole or in part, by the measures imposed under this Regulation, including claims for indemnity or any other claim of this type, such as a claim for compensation or a claim under a guarantee, notably a claim for extension or payment of a bond, guarantee or indemnity, particularly a financial guarantee or financial indemnity, of whatever form, shall be satisfied, if they are made by:

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(a) designated persons, entities or bodies listed in Annexes VIII, IX, XIII and XIV;

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(b) any other Iranian person, entity or body, including the Iranian government;

(c) any person, entity or body acting through or on behalf of one of the persons, entities or bodies referred to in points (a) and (b).

2.  The performance of a contract or transaction shall be regarded as having been affected by the measures imposed under this Regulation where the existence or content of the claim results directly or indirectly from those measures.

3.  In any proceedings for the enforcement of a claim, the onus of proving that satisfying the claim is not prohibited by paragraph 1 shall be on the person seeking the enforcement of that claim.

4.  This Article is without prejudice to the right of the persons, entities and bodies referred to in paragraph 1 to judicial review of the legality of the non-performance of contractual obligations in accordance with this Regulation.

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Article 40

1.  Without prejudice to the applicable rules concerning reporting, confidentiality and professional secrecy, natural and legal persons, entities and bodies shall:

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(a) supply immediately any information which would facilitate compliance with this Regulation, such as information on accounts and amounts frozen in accordance with Article 23 or 23a, to the competent authorities of the Member States where they are resident or located, and shall transmit such information, directly or through the Member States, to the Commission;

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(b) cooperate with the competent authorities in any verification of this information.

2.  Any additional information received directly by the Commission shall be made available to the Member State concerned.

3.  Any information provided or received in accordance with this Article shall be used only for the purposes for which it was provided or received.

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Article 41

It shall be prohibited to participate, knowingly and intentionally, in activities the object or effect of which is to circumvent the measures in Article 2a, 2b, 2c, 2d, 3a, 3b, 3c, 3d, 4a, 4b, 5, 10d, 15a, 23, 23a and 37 of this Regulation.

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Article 42

1.  The freezing of funds and economic resources or the refusal to make funds or economic resources available, carried out in good faith on the basis that such action is in accordance with this Regulation, shall not give rise to liability of any kind on the part of the natural or legal person, entity or body implementing it, or its directors or employees, unless it is proved that the funds and economic resources were frozen or withheld as a result of negligence.

2.  The measures set out in the present Regulation shall not give rise to liability of any kind on the part of the natural or legal persons, entities or bodies concerned, if they did not know, and had no reasonable cause to suspect, that their actions would infringe these prohibitions.

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Article 44

1.  The Commission and Member States shall inform each other of the measures taken under this Regulation and share any other relevant information at their disposal in connection with this Regulation at three-monthly intervals, in particular information

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(a) in respect of funds frozen under Articles 23 and 23a and authorisations granted under Articles 24, 25, 26, 27, 28, 28a and 28b;

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(b) in respect of violations and enforcement problems and judgments issued by national courts.

2.  The Member States shall immediately inform each other and the Commission of any other relevant information at their disposal which might affect the effective implementation of this Regulation.

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Article 45

The Commission shall amend Annexes I, II, III, VIIA, VIIB and X on the basis of information supplied by Member States.

Article 46

1.  Where the UN Security Council lists a natural or legal person, entity or body, the Council shall include such natural or legal person, entity or body in Annex VIII.

2.  Where the Council decides to subject a natural or legal person, entity or body to the measures referred to in Article 23(2) and (3), it shall amend Annex IX accordingly.

3.  Where the Council decides to subject a natural or legal person, entity or body to the measures referred to in Article 23a(2) and (3), it shall amend Annex XIV accordingly.

4.  The Council shall communicate its decision, including the grounds for listing, to the natural or legal person, entity or body referred to in paragraphs 1 to 3, either directly, if the address is known, or through the publication of a notice, providing such natural or legal person, entity or body with an opportunity to present observations.

5.  Where observations are submitted, or where substantial new evidence is presented, the Council shall review its decision and inform the natural or legal person, entity or body accordingly.

6.  Where the United Nations decides to delist a natural or legal person, entity or body, or to amend the identifying data of a listed natural or legal person, entity or body, the Council shall amend Annex VIII or XIII accordingly.

7.  The lists in Annexes IX and XIV shall be reviewed in regular intervals and at least every 12 months.

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Article 47

1.  Member States shall lay down the rules on penalties applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive.

2.  Member States shall notify the Commission of those rules without delay after the entry into force of this Regulation and shall notify it of any subsequent amendment.

Article 48

1.  Member States shall designate the competent authorities referred to in this Regulation and identify them on the websites listed in Annex X. Member States shall notify the Commission of any changes in the addresses of their websites listed in Annex X.

2.  Member States shall notify the Commission of their competent authorities, including the contact details of those competent authorities, without delay after the entry into force of this Regulation, and shall notify it of any subsequent amendment.

3.  Where this Regulation sets out a requirement to notify, inform or otherwise communicate with the Commission, the address and other contact details to be used for such communication shall be those indicated in Annex X.

Article 49

This Regulation shall apply:

(a) within the territory of the Union, including its airspace;

(b) on board any aircraft or any vessel under the jurisdiction of a Member State;

(c) to any person inside or outside the territory of the Union who is a national of a Member State;

(d) to any legal person, entity or body, inside or outside the territory of the Union, which is incorporated or constituted under the law of a Member State;

(e) to any legal person, entity or body in respect of any business done in whole or in part within the Union.

Article 50

Regulation (EU) No 961/2010 is hereby repealed. References to the repealed regulation shall be construed as references to this Regulation.

Article 51

This Regulation shall enter into force on the day 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.

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ANNEX I

CATEGORY 0 — NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT

0A    Systems, Equipment and Components



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.12/Part 1 (1)

0A001

“Nuclear reactors” and specially designed or prepared equipment and components therefor, as follows:

TLB1.1

Complete nuclear reactors

0A001.a

“Nuclear reactors”;

TLB1.1

Nuclear reactors capable of operation so as to maintain a controlled self-sustaining fission chain reaction.

EXPLANATORY NOTE A “nuclear reactor” basically includes 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 or come in direct contact with or control the primary coolant of the reactor core. EXPORTS The export of the whole set of major items within this boundary will take place only in accordance with the procedures of the Guidelines. Those individual items within this functionally defined boundary which will be exported only in accordance with the procedures of the Guidelines are listed in paragraphs 1.2. to 1.11. The Government reserves to itself the right to apply the procedures of the Guidelines to other items within the functionally defined boundary

0A001.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”;

TLB1.2

Nuclear reactor vessels

Metal vessels, or major shop-fabricated parts therefor, especially designed or prepared to contain the core of a nuclear reactor as defined in paragraph 1.1. above, as well as relevant reactor internals as defined in paragraph 1.8. below.

EXPLANATORY NOTE Item 1.2 covers nuclear reactor vessels regardless of pressure rating and includes reactor pressure vessels and calandrias. The reactor vessel head is covered by item 1.2. as a major shop-fabricated part of a reactor vessel.

0A001.c

Manipulative equipment specially designed or prepared for inserting or removing fuel in a “nuclear reactor”;

TLB1.3

Nuclear reactor fuel charging and discharging machines

Manipulative equipment especially designed or prepared for inserting or removing fuel in a nuclear reactor as defined in paragraph 1.1. above.

EXPLANATORY NOTE The items noted above are capable of on-load operation or at employing technically sophisticated positioning or alignment features to allow complex off-load fueling operations such as those in which direct viewing of or access to the fuel is not normally available.

0A001.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;

TLB1.4

Nuclear reactor control rods and equipment

Especially designed or prepared rods, support or suspension structures therefor, rod drive mechanisms or rod guide tubes to control the fission process in a nuclear reactor as defined in paragraph 1.1. above.

0A001.e

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

TLB1.5

Nuclear reactor pressure tubes

Tubes which are especially designed or prepared to contain both fuel elements and the primary coolant in a reactor as defined in paragraph 1.1. above.

EXPLANATORY NOTE Pressure tubes are parts of fuel channels designed to operate at elevated pressure, sometimes in excess of 5 MPa.

0A001.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.

TLB1.6

Nuclear fuel cladding

Zirconium metal tubes or zirconium alloy tubes (or assemblies of tubes) especially designed or prepared for use as fuel cladding in a reactor as defined in paragraph 1.1. above, and in quantities exceeding 10 kg.

N.B.:  For zirconium pressure tubes see 1.5. For calandria tubes see 1.8.

EXPLANATORY NOTE Zirconium metal tubes or zirconium alloy tubes for use in a nuclear reactor consist of zirconium in which the relation of hafnium to zirconium is typically less than 1:500 parts by weight

0A001.g

Coolant pumps or circulators specially designed or prepared for circulating the primary coolant of “nuclear reactors”;

TLB1.7

Primary coolant pumps or circulators

Pumps or circulators especially designed or prepared for circulating the primary coolant for nuclear reactors as defined in paragraph 1.1. above.

EXPLANATORY NOTE: Especially designed or prepared pumps or circulators include pumps for water-cooled reactors, circulators for gas-cooled reactors, and electromagnetic and mechanical pumps for liquid-metal-cooled reactors. This equipment may include pumps with elaborate sealed or multi-sealed systems to prevent leakage of primary coolant, canned-driven pumps, and pumps with inertial mass systems. This definition encompasses pumps certified to Section III, Division I, Subsection NB (Class 1 components) of the American Society of Mechanical Engineers (ASME) Code, or equivalent standards.

0A001.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.

TLB1.8

Nuclear reactor internals

“Nuclear reactor internals” especially designed or prepared for use in a nuclear reactor as defined in paragraph 1.1 above. This includes, for example, support columns for the core, fuel channels, calandria tubes, thermal shields, baffles, core grid plates, and diffuser plates.

EXPLANATORY NOTE “Nuclear reactor internals” are major structures within a reactor vessel which have 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.

0A001.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.

TLB1.9

Heat exchangers

(a) Steam generators especially designed or prepared for the primary, or intermediate, coolant circuit of a nuclear reactor as defined in paragraph 1.1 above. (b) Other heat exchangers especially designed or prepared for use in the primary coolant circuit of a nuclear reactor as defined in paragraph 1.1 above.

EXPLANATORY NOTE Steam generators are especially designed or prepared to transfer the heat generated in the reactor to the feed water for steam generation. In the case of a fast reactor for which an intermediate coolant loop is also present, the steam generator is in the intermediate circuit. In a gas-cooled reactor, a heat exchanger may be utilized to transfer heat to a secondary gas loop that drives a gas turbine. The scope of control for this entry does not include heat exchangers for the supporting systems of the reactor, e.g., the emergency cooling system or the decay heat cooling system.

0A001.j

Neutron detectors specially designed or prepared for determining neutron flux levels within the core of a “nuclear reactor”;

TLB1.10

Neutron detectors

Especially designed or prepared neutron detectors for determining neutron flux levels within the core of a reactor as defined in paragraph 1.1. above.

EXPLANATORY NOTE The scope of this entry encompasses in-core and ex-core detectors which measure flux levels in a large range, typically from 104 neutrons per cm2 per second to 1010 neutrons per cm2 per second or more. Ex-core refers to those instruments outside the core of a reactor as defined in paragraph 1.1. above, but located within the biological shielding.

0A001.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.

TLB1.11

External thermal shields

“External thermal shields” especially designed or prepared for use in a nuclear reactor as defined in paragraph 1.1 for reduction of heat loss and also for containment vessel protection.

EXPLANATORY NOTE “External thermal shields” are major structures placed over the reactor vessel which reduce heat loss from the reactor and reduce temperature within the containment vessel.

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:

TLB5

Plants for the separation of isotopes of natural uranium, depleted uranium or special fissionable material and equipment, other than analytical instruments, especially designed or prepared therefor

0B001.a

Plant specially designed for separating isotopes of “natural uranium”, “depleted uranium”, or “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;

TLB5

 

0B001.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;

TLB5.1

5.1.  Gas centrifuges and assemblies and components especially designed or prepared for use in gas centrifuges

INTRODUCTORY NOTE

The gas centrifuge normally consists of a thin-walled cylinder(s) of between 75 mm and 650 mm diameter contained in a vacuum environment and spun at high peripheral speed of the order of 300 m/s or more with its central axis vertical. In order to achieve high speed the materials of construction for the rotating components have to be of a high strength to density ratio and the rotor assembly, and hence its individual components, have to be manufactured to very close tolerances in order to minimize the unbalance. In contrast to other centrifuges, the gas centrifuge for uranium enrichment is characterized by having within the rotor chamber a rotating disc-shaped baffle(s) and a stationary tube arrangement for feeding and extracting the UF6 gas and featuring at least three separate channels, of which two are connected to scoops extending from the rotor axis towards the periphery of the rotor chamber. Also contained within the vacuum environment are a number of critical items which do not rotate and which although they are especially designed are not difficult to fabricate nor are they fabricated out of unique materials. A centrifuge facility however requires a large number of these components, so that quantities can provide an important indication of end use.

0B001.b

 

TLB5.1.1

Rotating components

0B001.b.

2.  Complete rotor assemblies;

TLB5.1.1a

(a)  Complete rotor assemblies:

Thin-walled cylinders, or a number of interconnected thin-walled cylinders, manufactured from one or more of the high strength to density ratio materials described in the EXPLANATORY NOTE to this Section. If interconnected, the cylinders are joined together by flexible bellows or rings as described in section 5.1.1.(c) following. The rotor is fitted with an internal baffle(s) and end caps, as described in section 5.1.1.(d) and (e) following, if in final form. However the complete assembly may be delivered only partly assembled.

0B001.b.

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’;

TLB5.1.1b

(b)  Rotor tubes:

Especially designed or prepared thin-walled cylinders with thickness of 12 mm or less, a diameter of between 75 mm and 650 mm, and manufactured from one or more of the high strength to density ratio materials described in the EXPLANATORY NOTE to this Section.

0B001.b.

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’;

TLB5.1.1c

(c)  Rings or Bellows:

Components especially designed or prepared to give localized support to the rotor tube or to join together a number of rotor tubes. The bellows is a short cylinder of wall thickness 3 mm or less, a diameter of between 75 mm and 650 mm, having a convolute, and manufactured from one of the high strength to density ratio materials described in the EXPLANATORY NOTE to this Section.

0B001.b.

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

TLB5.1.1d

(d)  Baffles:

Disc-shaped components of between 75 mm and 650 mm diameter especially designed or prepared to be mounted inside the centrifuge rotor tube, in order to isolate the take-off chamber from the main separation chamber and, in some cases, to assist the UF6 gas circulation within the main separation chamber of the rotor tube, and manufactured from one of the high strength to density ratio materials described in the EXPLANATORY NOTE to this Section.

0B001.b.

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’;

TLB5.1.1e

(e)  Top caps/Bottom caps:

Disc-shaped components of between 75 mm and 650 mm diameter especially designed or prepared to fit to the ends of the rotor tube, and so contain the UF6 within the rotor tube, and in some cases to support, retain or contain as an integrated part an element of the upper bearing (top cap) or to carry the rotating elements of the motor and lower bearing (bottom cap), and manufactured from one of the high strength to density ratio materials described in the EXPLANATORY NOTE to this Section.

 

 

TLB5.1.1

EXPLANATORY NOTE

The materials used for centrifuge rotating components include the following:

(a)  Maraging steel capable of an ultimate tensile strength of 1,95 GPa or more;

(b)  Aluminium alloys capable of an ultimate tensile strength of 0,46 GPa or more;

(c)  Filamentary materials suitable for use in composite structures and having a specific modulus of 3,18 × 106 m or greater and a specific ultimate tensile strength of 7,62 × 104 m or greater (‘Specific Modulus’ is the Young's Modulus in N/m2 divided by the specific weight in N/m3; ‘Specific Ultimate Tensile Strength’ is the ultimate tensile strength in N/m2 divided by the specific weight in N/m3).

0B001.b

 

TLB5.1.2

Static components

0B001.b.

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.

TLB5.1.2A.1

(a)  Magnetic suspension bearings:

1.  Especially designed or prepared bearing assemblies consisting of an annular magnet suspended within a housing containing a damping medium. The housing will be manufactured from a UF6-resistant material (see EXPLANATORY NOTE to Section 5.2.). The magnet couples with a pole piece or a second magnet fitted to the top cap described in Section 5.1.1.(e).

The magnet may be ring-shaped with a relation between outer and inner diameter smaller or equal to 1,6:1. The magnet may be in a form having an initial permeability of 0,15 H/m or more, or a remanence of 98,5 % or more, or an energy product of greater than 80 kJ/m3. In addition to the usual material properties, it is a prerequisite that the deviation of the magnetic axes from the geometrical axes is limited to very small tolerances (lower than 0,1 mm) or that homogeneity of the material of the magnet is specially called for.

0B001.b.

 

TLB5.1.2a2

2.  Active magnetic bearings especially designed or prepared for use with gas centrifuges.

EXPLANATORY NOTE

These bearings usually have the following characteristics:

— Designed to keep centred a rotor spinning at 600 Hz or more, and

— Associated to a reliable electrical power supply and/or to an uninterruptible power supply (UPS) unit in order to function for more than one hour.

0B001.b.

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

TLB5.1.2b

(b)  Bearings/Dampers:

Especially designed or prepared bearings comprising a pivot/cup assembly mounted on a damper. The pivot is normally a hardened steel shaft with a hemisphere at one end with a means of attachment to the bottom cap described in section 5.1.1.(e) at the other. The shaft may however have a hydrodynamic bearing attached. The cup is pellet-shaped with a hemispherical indentation in one surface.

These components are often supplied separately to the damper.

0B001.b.

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

TLB5.1.2c

(c)  Molecular pumps:

Especially designed or prepared cylinders having internally machined or extruded helical grooves and internally machined bores. Typical dimensions are as follows:

75 mm to 650 mm internal diameter, 10 mm or more wall thickness, with the length equal to or greater than the diameter. The grooves are typically rectangular in cross-section and 2 mm or more in depth.

0B001.b.

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;

TLB5.1.2d

(d)  Motor stators:

Especially designed or prepared ring-shaped stators for high speed multiphase AC hysteresis (or reluctance) motors for synchronous operation within a vacuum at a frequency of 600 Hz or greater and a power of 40 VA or greater. The stators may consist of multi-phase windings on a laminated low loss iron core comprised of thin layers typically 2,0 mm thick or less.

0B001.b.

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;

TLB5.1.2e

(e)  Centrifuge housing/recipients:

Components especially designed or prepared to contain the rotor tube assembly of a gas centrifuge. The housing consists of a rigid cylinder of wall thickness up to 30 mm with precision machined ends to locate the bearings and with one or more flanges for mounting. The machined ends are parallel to each other and perpendicular to the cylinder's longitudinal axis to within 0,05 degrees or less. The housing may also be a honeycomb type structure to accommodate several rotor assemblies.

0B001.b.

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;

TLB5.1.2f

(f)  Scoops:

Especially designed or prepared tubes for the extraction of UF6 gas from within the rotor tube by a Pitot tube action (that is, with an aperture facing into the circumferential gas flow within the rotor tube, for example by bending the end of a radially disposed tube) and capable of being fixed to the central gas extraction system.

0B001.b.

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 %);

TLB5.2.5

5.2.5.  Frequency changers

Frequency changers (also known as converters or inverters) especially designed or prepared to supply motor stators as defined under 5.1.2.(d), or parts, components and sub-assemblies of such frequency changers having all of the following characteristics:

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

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

0B001.b.

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;

TLB5.2.3

5.2.3  Special shut-off and control valves

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

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

EXPLANATORY NOTE

Typical especially designed or prepared valves include bellow-sealed valves, fast acting closure-types, fast acting valves and others.

0B001.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;

TLB5.3.1a

Gaseous diffusion barriers and barrier materials

(a)  Especially designed or prepared thin, porous filters, with a pore size of 10 — 100 nm, a thickness of 5 mm or less, and for tubular forms, a diameter of 25 mm or less, made of metallic, polymer or ceramic materials resistant to corrosion by UF6 (see EXPLANATORY NOTE to section 5.4), and

0B001.c

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

TLB5.3.2

Diffuser housings

Especially designed or prepared hermetically sealed vessels for containing the gaseous diffusion barrier, made of or protected by UF6-resistant materials (see EXPLANATORY NOTE to section 5.4).

0B001.c

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”;

TLB5.3.3

Compressors and gas blowers

Especially designed or prepared compressors or gas blowers with a suction volume capacity of 1 m3 per minute or more of UF6, and with a discharge pressure of up to 500 kPa, designed for long-term operation in the UF6 environment, as well as separate assemblies of such compressors and gas blowers. These compressors and gas blowers have a pressure ratio of 10:1 or less and are made of, or protected by, materials resistant to UF6 (see EXPLANATORY NOTE to section 5.4).

0B001.c

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 1 000  cm3/min.;

TLB5.3.4

Rotary shaft seals

Especially designed or prepared vacuum seals, with seal feed and seal exhaust connections, for sealing the shaft connecting the compressor or the gas blower rotor with the driver motor so as to ensure a reliable seal against in-leaking of air into the inner chamber of the compressor or gas blower which is filled with UF6. Such seals are normally designed for a buffer gas in-leakage rate of less than 1 000  cm3 per minute.

0B001.c

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

TLB5.3.5

Heat exchangers for cooling UF6

Especially designed or prepared heat exchangers made of or protected by UF6-resistant materials (see EXPLANATORY NOTE to section 5.4), and intended for a leakage pressure change rate of less than 10 Pa per hour under a pressure difference of 100 kPa.

0B001.c

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

TLB5.4.4

Special shut-off and control valves

Especially designed or prepared bellows-sealed valves, manual or automated, shut-off or control, made of or protected by materials resistant to corrosion by UF6, for installation in main and auxiliary systems of gaseous diffusion enrichment plants.

0B001.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;

TLB5.5.1

Separation nozzles

Especially designed or prepared separation nozzles and assemblies thereof. The separation nozzles consist of slit-shaped, curved channels having a radius of curvature less than 1 mm, resistant to corrosion by UF6 and having a knife-edge within the nozzle that separates the gas flowing through the nozzle into two fractions.

0B001.d

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;

TLB5.5.2

Vortex tubes

Especially designed or prepared vortex tubes and assemblies thereof. The vortex tubes are cylindrical or tapered, made of or protected by materials resistant to corrosion by UF6, and with one or more tangential inlets. The tubes may be equipped with nozzletype appendages at either or both ends.

EXPLANATORY NOTE The feed gas enters the vortex tube tangentially at one end or through swirl vanes or at numerous tangential positions along the periphery of the tube.

0B001.d

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

TLB5.5.3

TLB5.5.4

Compressors and gas blowers

Especially designed or prepared compressors or gas blowers made of or protected by materials resistant to corrosion by the UF6/carrier gas (hydrogen or helium) mixture.

Rotary shaft seals

Especially designed or prepared rotary shaft seals, with seal feed and seal exhaust connections, for sealing the shaft connecting the compressor rotor or the gas blower rotor with the driver motor so as to ensure a reliable seal against out-leakage of process gas or in-leakage of air or seal gas into the inner chamber of the compressor or gas blower which is filled with a UF6/carrier gas mixture.

0B001.d

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

TLB5.5.5

Heat exchangers for gas cooling

Especially designed or prepared heat exchangers made of or protected by materials resistant to corrosion by UF6.

0B001.d

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

TLB5.5.6

Separation element housings

Especially designed or prepared separation element housings, made of or protected by materials resistant to corrosion by UF6, for containing vortex tubes or separation nozzles.

0B001.d

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;

TLB5.5.10

UF6 mass spectrometers/Ion sources

Especially designed or prepared mass spectrometers 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 ionization sources;

4.  Having a collector system suitable for isotopic analysis.

0B001.d

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;

TLB5.5.12

UF6/carrier gas separation systems

Especially designed or prepared process systems for separating UF6 from carrier gas (hydrogen or helium).

EXPLANATORY NOTE These systems are designed to reduce the UF6 content in the carrier gas to 1 ppm or less and may incorporate equipment such as:

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

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

(c)  Separation nozzle or vortex tube units for the separation of UF6 from carrier gas, or

(d)  UF6 cold traps capable of freezing out UF6.

0B001.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)

TLB5.6.1

Liquid-liquid exchange columns (Chemical exchange)

Countercurrent liquid-liquid exchange columns having mechanical power input, especially designed or prepared for uranium enrichment using the chemical exchange process. For corrosion resistance to concentrated hydrochloric acid solutions, these columns and their internals are normally made of or protected by suitable plastic materials (such as fluorinated hydrocarbon polymers) or glass. The stage residence time of the columns is normally designed to be 30 seconds or less.

0B001.e

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);

TLB5.6.2

Liquid-liquid centrifugal contactors (Chemical exchange)

Liquid-liquid centrifugal contactors especially designed or prepared for uranium enrichment using the chemical exchange process. Such contactors use rotation to achieve dispersion of the organic and aqueous streams and then centrifugal force to separate the phases. For corrosion resistance to concentrated hydrochloric acid solutions, the contactors are normally made of or protected by suitable plastic materials (such as fluorinated hydrocarbon polymers) or glass. The stage residence time of the centrifugal contactors is normally designed to be 30 seconds or less.

0B001.e

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

TLB5.6.3a

Uranium reduction systems and equipment (Chemical exchange)

(a)  Especially designed or prepared electrochemical reduction cells to reduce uranium from one valence state to another for uranium enrichment using the chemical exchange process. The cell materials in contact with process solutions must be corrosion resistant to concentrated hydrochloric acid solutions.

EXPLANATORY NOTE The cell cathodic compartment must be designed to prevent re-oxidation of uranium to its higher valence state. To keep the uranium in the cathodic compartment, the cell may have an impervious diaphragm membrane constructed of special cation exchange material. The cathode consists of a suitable solid conductor such as graphite.

0B001.e

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);

TLB5.6.3b

(b)  Especially designed or prepared systems at the product end of the cascade for taking the U+4 out of the organic stream, adjusting the acid concentration and feeding to the electrochemical reduction cells.

EXPLANATORY NOTE These systems consist of solvent extraction equipment for stripping the U+4 from the organic stream into an aqueous solution, evaporation and/or other equipment to accomplish solution pH adjustment and control, and pumps or other transfer devices for feeding to the electrochemical reduction cells. A major design concern is to avoid contamination of the aqueous stream with certain metal ions. Consequently, for those parts in contact with the process stream, the system is constructed of equipment made of or protected by suitable materials (such as glass, fluorocarbon polymers, polyphenyl sulfate, polyether sulfone, and resinimpregnated graphite).

0B001.e

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;

TLB5.6.4

Feed preparation systems (Chemical exchange)

Especially designed or prepared systems for producing high-purity uranium chloride feed solutions for chemical exchange uranium isotope separation plants.

EXPLANATORY NOTE These systems consist 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. These systems produce uranium chloride solutions having only a few parts per million of metallic impurities such as chromium, iron, vanadium, molybdenum and other bivalent or higher multi-valent cations. Materials of construction for portions of the system processing high-purity U+3 include glass, fluorinated hydrocarbon polymers, polyphenyl sulfate or polyether sulfone plastic-lined and resin-impregnated graphite. NSG Part 1 June 2013 - 39 - 5.6.5. Uranium

0B001.e

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

TLB5.6.5

Uranium oxidation systems (Chemical exchange)

Especially designed or prepared systems for oxidation of U+3 to U+4 for return to the uranium isotope separation cascade in the chemical exchange enrichment process.

EXPLANATORY NOTE These systems may incorporate equipment such as: (a) Equipment for contacting chlorine and oxygen with the aqueous effluent from the isotope separation equipment and extracting the resultant U+4 into the stripped organic stream returning from the product end of the cascade, (b) Equipment that separates water from hydrochloric acid so that the water and the concentrated hydrochloric acid may be reintroduced to the process at the proper locations.

0B001.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);

TLB5.6.6

Fast-reacting ion exchange resins/adsorbents (Ion exchange)

Fast-reacting ion-exchange resins or adsorbents especially designed or prepared for uranium enrichment using the ion exchange process, including porous macroreticular resins, and/or pellicular structures 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. These ion exchange resins/adsorbents have diameters of 0,2 mm or less and must be chemically resistant to concentrated hydrochloric acid solutions as well as physically strong enough so as not to degrade in the exchange columns. The resins/adsorbents are especially designed to achieve very fast uranium isotope exchange kinetics (exchange rate half-time of less than 10 seconds) and are capable of operating at a temperature in the range of 373 K (100 °C) to 473 K (200 °C).

0B001.f

2.  Ion exchange columns (cylindrical) with a diameter greater than 1 000  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;

TLB5.6.7

Ion exchange columns (Ion exchange)

Cylindrical columns greater than 1 000  mm in diameter for containing and supporting packed beds of ion exchange resin/adsorbent, especially designed or prepared for uranium enrichment using the ion exchange process. These columns are made of or protected by materials (such as titanium or fluorocarbon plastics) resistant to corrosion by concentrated hydrochloric acid solutions and are capable of operating at a temperature in the range of 373 K (100 °C) to 473 K (200 °C) and pressures above 0,7 MPa.

0B001.f

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;

TLB5.6.8

Ion exchange reflux systems (Ion exchange)

(a) Especially designed or prepared chemical or electrochemical reduction systems for regeneration of the chemical reducing agent(s) used in ion exchange uranium enrichment cascades. (b) Especially designed or prepared chemical or electrochemical oxidation systems for regeneration of the chemical oxidizing agent(s) used in ion exchange uranium enrichment cascades.

0B001.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;

TLB5.7.1

Uranium vaporization systems (atomic vapour based methods)

Especially designed or prepared uranium metal vaporization systems for use in laser enrichment.

EXPLANATORY NOTE These systems may contain electron beam guns and are designed to achieve a delivered power (1 kW or greater) on the target sufficient to generate uranium metal vapour at a rate required for the laser enrichment function.

0B001.g

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.

TLB5.7.2

Liquid or vapour uranium metal handling systems and components (atomic vapour based methods)

Especially designed or prepared systems for handling molten uranium, molten uranium alloys or uranium metal vapour for use in laser enrichment or especially designed or prepared components therefore.

EXPLANATORY NOTE The liquid uranium metal handling systems may consist of crucibles and cooling equipment for the crucibles. The crucibles and other parts of this system that come into contact with molten uranium, molten uranium alloys or uranium metal vapour are made of or protected by materials of suitable corrosion and heat resistance. Suitable materials may include tantalum, yttria-coated graphite, graphite coated with other rare earth oxides (see INFCIRC/254/Part 2 — (as amended)) or mixtures thereof.

0B001.g

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;

TLB5.7.3

Uranium metal ‘product’ and ‘tails’ collector assemblies (atomic vapour based methods)

Especially designed or prepared ‘product’ and ‘tails’ collector assemblies for uranium metal in liquid or solid form.

EXPLANATORY NOTE Components for these assemblies are 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) and may include pipes, valves, fittings, ‘gutters’, feed-throughs, heat exchangers and collector plates for magnetic, electrostatic or other separation methods.

0B001.g

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;

TLB5.7.4

Separator module housings (atomic vapour based methods)

Especially designed or prepared cylindrical or rectangular vessels for containing the uranium metal vapour source, the electron beam gun, and the ‘product’ and ‘tails’ collectors.

EXPLANATORY NOTE These housings have multiplicity of ports for electrical and water feed-throughs, laser beam windows, vacuum pump connections and instrumentation diagnostics and monitoring. They have provisions for opening and closure to allow refurbishment of internal components.

0B001.g

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.

TLB5.7.13

Laser systems

Lasers or laser systems especially designed or prepared for the separation of uranium isotopes.

EXPLANATORY NOTE The lasers and laser components of importance in laser-based enrichment processes include those identified in INFCIRC/254/Part 2 — (as amended). The laser system typically contains both optical and electronic components for the management of the laser beam (or beams) and the transmission to the isotope separation chamber. The laser system for atomic vapour based methods usually consists of tunable dye lasers pumped by another type of laser (e.g., copper vapour lasers or certain solid-state lasers). The laser system for molecular based methods may consist of CO2 lasers or excimer lasers and a multi-pass optical cell. Lasers or laser systems for both methods require spectrum frequency stabilization for operation over extended periods of time.

0B001.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”;

TLB5.7.5

Supersonic expansion nozzles (molecular based methods)

Especially designed or prepared supersonic expansion nozzles for cooling mixtures of UF6 and carrier gas to 150 K (–123 °C) or less and which are corrosion resistant to UF6.

0B001.h

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”;

TLB5.7.6

‘Product’ or ‘tails’ collectors (molecular based methods)

Especially designed or prepared components or devices for collecting uranium product material or uranium tails material following illumination with laser light.

EXPLANATORY NOTE In one example of molecular laser isotope separation, the product collectors serve to collect enriched uranium pentafluoride (UF5) solid material. The product collectors may consist of filter, impact, or cyclone-type collectors, or combinations thereof, and must be corrosion resistant to the UF5/ UF6 environment.

0B001.h

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

TLB5.7.7

UF6/carrier gas compressors (molecular based methods)

Especially designed or prepared compressors for UF6/carrier gas mixtures, designed for long term operation in a UF6 environment. The components of these compressors that come into contact with process gas are made of or protected by materials resistant to corrosion by UF6.

TLB5.7.8

Rotary shaft seals (molecular based methods)

Especially designed or prepared rotary shaft seals, with seal feed and seal exhaust connections, for sealing the shaft connecting the compressor rotor with the driver motor so as to ensure a reliable seal against out-leakage of process gas or in-leakage of air or seal gas into the inner chamber of the compressor which is filled with a UF6/carrier gas mixture.

0B001.h

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

TLB5.7.9

Fluorination systems (molecular based methods)

Especially designed or prepared systems for fluorinating UF5 (solid) to UF6 (gas).

EXPLANATORY NOTE These systems are designed to fluorinate the collected UF5 powder to UF6 for subsequent collection in product containers or for transfer as feed for additional enrichment. In one approach, the fluorination reaction may be accomplished within the isotope separation system to react and recover directly off the ‘product’ collectors. In another approach, the UF5 powder may be removed/transferred from the ‘product’ collectors into a suitable reaction vessel (e.g., fluidized-bed reactor, screw reactor or flame tower) for fluorination. In both approaches, equipment for storage and transfer of fluorine (or other suitable fluorinating agents) and for collection and transfer of UF6 are used.

0B001.h

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;

TLB5.7.12

UF6/carrier gas separation systems (molecular based methods)

Especially designed or prepared process systems for separating UF6 from carrier gas. EXPLANATORY NOTE These systems may incorporate equipment such as: (a) Cryogenic heat exchangers or cryoseparators capable of temperatures of 153 K (– 120 °C) or less, or (b) Cryogenic refrigeration units capable of temperatures of 153 K (–120 °C) or less, or (c) UF6 cold traps capable of freezing out UF6. The carrier gas may be nitrogen, argon, or other gas.

0B001.h

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.

TLB5.7.13

Laser systems

Lasers or laser systems especially designed or prepared for the separation of uranium isotopes.

EXPLANATORY NOTE The lasers and laser components of importance in laser-based enrichment processes include those identified in INFCIRC/254/Part 2 — (as amended). The laser system typically contains both optical and electronic components for the management of the laser beam (or beams) and the transmission to the isotope separation chamber. The laser system for atomic vapour based methods usually consists of tunable dye lasers pumped by another type of laser (e.g., copper vapour lasers or certain solid-state lasers). The laser system for molecular based methods may consist of CO2 lasers or excimer lasers and a multi-pass optical cell. Lasers or laser systems for both methods require spectrum frequency stabilization for operation over extended periods of time.

0B001.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;

TLB5.8.1

Microwave power sources and antennae

Especially designed or prepared microwave power sources and antennae for producing or accelerating ions and having the following characteristics: greater than 30 GHz frequency and greater than 50 kW mean power output for ion production.

0B001.i

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

TLB5.8.2

Ion excitation coils

Especially designed or prepared radio frequency ion excitation coils for frequencies of more than 100 kHz and capable of handling more than 40 kW mean power.

0B001.i

3.  Uranium plasma generation systems;

TLB5.8.3

Uranium plasma generation systems

Especially designed or prepared systems for the generation of uranium plasma for use in plasma separation plants.

0B001.i

4.  Not used;

TLB5.8.4

No longer used — since 14 June 2013

0B001.i

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;

TLB5.8.5

Uranium metal ‘product’ and ‘tails’ collector assemblies

Especially designed or prepared ‘product’ and ‘tails’ collector assemblies for uranium metal in solid form. These collector assemblies are made of or protected by materials resistant to the heat and corrosion of uranium metal vapor, such as yttria-coated graphite or tantalum.

0B001.i

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);

TLB.5.8.6

Separator module housings Cylindrical vessels especially designed or prepared for use in plasma separation enrichment plants for containing the uranium plasma source, radio-frequency drive coil and the “product” and “tails” collectors. EXPLANATORY NOTE These housings have a multiplicity of ports for electrical feed-throughs, diffusion pump connections and instrumentation diagnostics and monitoring. They have provisions for opening and closure to allow for refurbishment of internal components and are constructed of a suitable non-magnetic material such as stainless steel.

0B001.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;

TLB5.9.1a

Electromagnetic isotope separators

Electromagnetic isotope separators especially designed or prepared for the separation of uranium isotopes, and equipment and components therefor, including:

(a)  Ion sources Especially designed or prepared single or multiple uranium ion sources consisting of a vapour source, ionizer, and beam accelerator, constructed of suitable materials such as graphite, stainless steel, or copper, and capable of providing a total ion beam current of 50 mA or greater.

0B001.j

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);

TLB5.9.1b

Ion collectors

Collector plates consisting of two or more slits and pockets especially designed or prepared for collection of enriched and depleted uranium ion beams and constructed of suitable materials such as graphite or stainless steel.

0B001.j

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;

TLB5.9.1c

Vacuum housings

Especially designed or prepared vacuum housings for uranium electromagnetic separators, constructed of suitable non-magnetic materials such as stainless steel and designed for operation at pressures of 0,1 Pa or lower.

EXPLANATORY NOTE The housings are specially designed to contain the ion sources, collector plates and water-cooled liners and have provision for diffusion pump connections and opening and closure for removal and reinstallation of these components.

0B001.j

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

TLB5.9.1d

Magnet pole pieces

Especially designed or prepared magnet pole pieces having a diameter greater than 2 m used to maintain a constant magnetic field within an electromagnetic isotope separator and to transfer the magnetic field between adjoining separators.

0B001.j

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

a.  Capable of continuous operation;

b.  Output voltage of 20 000  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.

TLB5.9.2

High voltage power supplies

Especially designed or prepared high-voltage power supplies for ion sources, having all of the following characteristics: capable of continuous operation, output voltage of 20 000  V or greater, output current of 1 A or greater, and voltage regulation of better than 0,01 % over a time period of 8 hours.

0B001.j

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.

TLB5.9.3

Magnet power supplies

Especially designed or prepared high-power, direct current magnet power supplies having all of the following characteristics: capable of continuously producing a current output of 500 A or greater at a voltage of 100 V or greater and with a current or voltage regulation better than 0,01 % over a period of 8 hours.

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”:

 

 

0B002.a

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

TLB5.2.1

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (a) Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process; (b) Desublimers, cold traps or pumps used to remove UF6 from the enrichment process for subsequent transfer upon heating; (c) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

TLB5.4.1

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (a) Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process; (b) Desublimers, cold traps or pumps used to remove UF6 from the enrichment process for subsequent transfer upon heating; (c) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

TLB5.5.7

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (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) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers

TLB5.7.11

Feed systems/product and tails withdrawal systems (molecular based methods)

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (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) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

0B002.b

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

TLB5.2.1

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (a) Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process; (b) Desublimers, cold traps or pumps used to remove UF6 from the enrichment process for subsequent transfer upon heating; (c) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

TLB5.4.1

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (a) Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process; (b) Desublimers, cold traps or pumps used to remove UF6 from the enrichment process for subsequent transfer upon heating; (c) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

TLB5.5.7

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (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) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

TLB5.7.11

Feed systems/product and tails withdrawal systems (molecular based methods)

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (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) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

0B002.c

Product and tails stations for transferring UF6 into containers;

TLB5.2.1

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (a) Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process; (b) Desublimers, cold traps or pumps used to remove UF6 from the enrichment process for subsequent transfer upon heating; (c) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

TLB5.4.1

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (a) Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process; (b) Desublimers, cold traps or pumps used to remove UF6 from the enrichment process for subsequent transfer upon heating; (c) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

TLB5.5.7

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (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) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

TLB5.7.11

Feed systems/product and tails withdrawal systems (molecular based methods)

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (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) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

0B002.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;

TLB5.2.1

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (a) Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process; (b) Desublimers, cold traps or pumps used to remove UF6 from the enrichment process for subsequent transfer upon heating; (c) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

TLB5.4.1

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (a) Feed autoclaves, ovens, or systems used for passing UF6 to the enrichment process; (b) Desublimers, cold traps or pumps used to remove UF6 from the enrichment process for subsequent transfer upon heating; (c) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

TLB5.5.7

Feed systems/product and tails withdrawal systems

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (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) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

TLB5.7.11

Feed systems/product and tails withdrawal systems (molecular based methods)

Especially designed or prepared process systems or equipment for enrichment plants made of or protected by materials resistant to corrosion by UF6, including: (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) Solidification or liquefaction stations used to remove UF6 from the enrichment process by compressing and converting UF6 to a liquid or solid form; (d) ‘Product’ or ‘tails’ stations used for transferring UF6 into containers.

0B002.e

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

TLB5.2.2

Machine header piping systems

Especially designed or prepared piping systems and header systems for handling UF6 within the centrifuge cascades. The piping network is normally of the ‘triple’ header system with each centrifuge connected to each of the headers. There is thus a substantial amount of repetition in its form. It is wholly made of or protected by UF6-resistant materials (see EXPLANATORY NOTE to this section) and is fabricated to very high vacuum and cleanliness standards.

TLB5.4.2

Header piping systems

Especially designed or prepared piping systems and header systems for handling UF6 within the gaseous diffusion cascades.

EXPLANATORY NOTE This piping network is normally of the “double” header system with each cell connected to each of the headers.

TLB5.5.8

Header piping systems

Especially designed or prepared header piping systems, made of or protected by materials resistant to corrosion by UF6, for handling UF6 within the aerodynamic cascades. This piping network is normally of the ‘double’ header design with each stage or group of stages connected to each of the headers.

0B002.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;

TLB5.4.3a

Vacuum systems

(a)  Especially designed or prepared vacuum manifolds, vacuum headers and vacuum pumps having a suction capacity of 5 m3 per minute or more.

TLB5.4.3b

(b)  Vacuum pumps especially designed for service in UF6-bearing atmospheres made of, or protected by, materials resistant to corrosion by UF6 (see EXPLANATORY NOTE to this section). These pumps may be either rotary or positive, may have displacement and fluorocarbon seals, and may have special working fluids present.

TLB5.5.9b

Vacuum systems and pumps

Vacuum pumps especially designed or prepared for service in UF6-bearing atmospheres and made of or protected by materials resistant to corrosion by UF6. These pumps may use fluorocarbon seals and special working fluids.

TLB5.5.9a

Especially designed or prepared vacuum systems consisting of vacuum manifolds, vacuum headers and vacuum pumps, and designed for service in UF6-bearing atmospheres

0B002.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.

TLB5.2.4

UF6 mass spectrometers/ion sources

Especially designed or prepared mass spectrometers 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 ionization sources;

4.  Having a collector system suitable for isotopic analysis.

TLB5.4.5

UF6 mass spectrometers/ion sources

Especially designed or prepared mass spectrometers 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 ionization sources;

4.  Having a collector system suitable for isotopic analysis.

TLB5.5.11

UF6 mass spectrometers/Ion sources

Especially designed or prepared mass spectrometers 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 ionization sources;

4.  Having a collector system suitable for isotopic analysis.

TLB5.7.10

Special shut-off and control valves

Especially designed or prepared 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 greater, for installation in main and auxiliary systems of aerodynamic enrichment plants.

0B003

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

TLB7.1

Especially designed or prepared systems for the conversion of uranium ore concentrates to UO3

0B003.a

Systems for the conversion of uranium ore concentrates to UO3;

TLB7.1.1

EXPLANATORY NOTE Conversion of uranium ore concentrates to UO3 can be performed by first dissolving the ore in nitric acid and extracting purified uranyl nitrate using a solvent such as tributyl phosphate. Next, the uranyl nitrate is converted to UO3 either by concentration and denitration or by neutralization with gaseous ammonia to produce ammonium diuranate with subsequent filtering, drying, and calcining

0B003.b

Systems for the conversion of UO3 to UF6;

TLB7.1.2

Especially designed or prepared systems for the conversion of UO3 to UF6 EXPLANATORY NOTE

EXPLANATORY NOTE Conversion of UO3 to UO2 can be performed through reduction of UO3 with cracked ammonia gas or hydrogen.

0B003.c

Systems for the conversion of UO3 to UO2;

TLB7.1.3

Especially designed or prepared systems for the conversion of UO3 to UO2

EXPLANATORY NOTE Conversion of UO3 to UO2 can be performed through reduction of UO3 with cracked ammonia gas or hydrogen.

0B003.d

Systems for the conversion of UO2 to UF4;

TLB7.1.4

Especially designed or prepared systems for the conversion of UO2 to UF4

EXPLANATORY NOTE Conversion of UO2 to UF4 can be performed by reacting UO2 with hydrogen fluoride gas (HF) at 300-500 °C.

0B003.e

Systems for the conversion of UF4 to UF6;

TLB7.1.5

Especially designed or prepared systems for the conversion of UF4 to UF6

EXPLANATORY NOTE Conversion of UF4 to UF6 is performed by exothermic reaction with fluorine in a tower reactor. UF6 is condensed from the hot effluent gases by passing the effluent stream through a cold trap cooled to –10 °C. The process requires a source of fluorine gas

0B003.f

Systems for the conversion of UF4 to uranium metal;

TLB7.1.6

Especially designed or prepared systems for the conversion of UF4 to U metal

EXPLANATORY NOTE Conversion of UF4 to U metal is performed by reduction with magnesium (large batches) or calcium (small batches). The reaction is carried out at temperatures above the melting point of uranium (1 130  °C).

0B003.g

Systems for the conversion of UF6 to UO2;

TLB7.1.7

Especially designed or prepared systems for the conversion of UF6 to UO2

EXPLANATORY NOTE Conversion of UF6 to UO2 can be performed by one of three processes. In the first, UF6 is reduced and hydrolyzed to UO2 using hydrogen and steam. In the second, UF6 is hydrolyzed by solution in water, ammonia is added to precipitate ammonium diuranate, and the diuranate is reduced to UO2 with hydrogen at 820 °C. In the third process, gaseous UF6, CO2, and NH3 are combined in water, precipitating ammonium uranyl carbonate. The ammonium uranyl carbonate is combined with steam and hydrogen at 500-600 °C to yield UO2. UF6 to UO2 conversion is often performed as the first stage of a fuel fabrication plant.

0B003.h

Systems for the conversion of UF6 to UF4;

TLB7.1.8

Especially designed or prepared systems for the conversion of UF6 to UF4

EXPLANATORY NOTE Conversion of UF6 to UF4 is performed by reduction with hydrogen.

0B003.i

Systems for the conversion of UO2 to UCl4.

TLB7.1.9

Especially designed or prepared systems for the conversion of UO2 to UCl4

EXPLANATORY NOTE Conversion of UO2 to UCl4 can be performed by one of two processes. In the first, UO2 is reacted with carbon tetrachloride (CCl4) at approximately 400 °C. In the second, UO2 is reacted at approximately 700 °C in the presence of carbon black (CAS 1333-86-4), carbon monoxide, and chlorine to yield 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:

TLB6

Plants for the production or concentration of heavy water, deuterium and deuterium compounds and equipment especially designed or prepared therefor:

0B004.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;

 

 

0B004.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;

TLB6.1

Water — Hydrogen Sulphide Exchange Towers Exchange towers with diameters of 1,5 m or greater and capable of operating at pressures greater than or equal to 2 MPa (300 psi), especially designed or prepared for heavy water production utilizing the water-hydrogen sulphide exchange process.

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;

TLB6.2

Blowers and Compressors

Single stage, low head (i.e., 0,2 MPa or 30 psi) centrifugal blowers or compressors for hydrogen-sulphide gas circulation (i.e., gas containing more than 70 % H2S) especially designed or prepared for heavy water production utilizing the water-hydrogen sulphide exchange process. These blowers or compressors have a throughput capacity greater than or equal to 56 m3/second (120 000 SCFM) while operating at pressures greater than or equal to 1,8 MPa (260 psi) suction and have 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;

TLB6.3

Ammonia-Hydrogen Exchange Towers

Ammonia-hydrogen exchange towers greater than or equal to 35 m (114,3 ft) in height with diameters of 1,5 m (4,9 ft) to 2,5 m (8,2 ft) capable of operating at pressures greater than 15 MPa (2 225 psi) especially designed or prepared for heavy water production utilizing the ammonia-hydrogen exchange process. These towers also have at least one flanged, axial opening of the same diameter as the cylindrical part through which the tower internals can be inserted or withdrawn.

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

TLB6.4

Tower Internals and Stage Pumps

Tower internals and stage pumps especially designed or prepared for towers for heavy water production utilizing the ammonia-hydrogen exchange process. Tower internals include especially designed stage contactors which promote intimate gas/liquid contact. Stage pumps include especially designed submersible pumps for circulation of liquid ammonia within a contacting stage internal to the stage towers.

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

TLB6.5

Ammonia Crackers

Ammonia crackers with operating pressures greater than or equal to 3 MPa (450 psi) especially designed or prepared for heavy water production utilizing the ammoniahydrogen exchange process.

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

TLB6.6

Infrared Absorption Analyzers

Infrared absorption analyzers 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;

TLB6.7

Catalytic Burners

Catalytic burners for the conversion of enriched deuterium gas into heavy water especially designed or prepared for heavy water production utilizing the ammoniahydrogen exchange process.

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

TLB6.8

Complete heavy water upgrade systems or columns therefor

Complete heavy water upgrade systems, or columns therefor, especially designed or prepared for the upgrade of heavy water to reactor-grade deuterium concentration.

EXPLANATORY NOTE These systems, which usually employ water distillation to separate heavy water from light water, are especially designed or prepared to produce reactor-grade heavy water (i.e., typically 99,75 % deuterium oxide) from heavy water feedstock of lesser concentration.

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

TLB6.9

Ammonia synthesis converters or synthesis units

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

EXPLANATORY NOTE These converters or units take synthesis gas (nitrogen and hydrogen) from an ammonia/hydrogen high-pressure exchange column (or columns), and the synthesized ammonia is returned to the exchange column (or columns).

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.

 

Plants for the fabrication of nuclear reactor fuel elements, and equipment especially designed or prepared therefor

INTRODUCTORY NOTE Nuclear fuel elements are manufactured from one or more of the source or special fissionable materials mentioned in MATERIAL AND EQUIPMENT of this annex. For oxide fuels, the most common type of fuel, equipment for pressing pellets, sintering, grinding and grading will be present. Mixed oxide fuels are handled in glove boxes (or equivalent containment) until they are sealed in the cladding. In all cases, the fuel is hermetically sealed inside a suitable cladding which is designed to be the primary envelope encasing the fuel so as to provide suitable performance and safety during reactor operation. Also, in all cases, precise control of processes, procedures and equipment to extremely high standards is necessary in order to ensure predictable and safe fuel performance.

EXPLANATORY NOTE Items of equipment that are considered to fall within the meaning of the phrase “and equipment especially designed or prepared” for the fabrication of fuel elements include equipment which: (a) normally comes in direct contact with, or directly processes, or controls, the production flow of nuclear material; (b) seals the nuclear material within the cladding; (c) checks the integrity of the cladding or the seal; (d) checks the finish treatment of the sealed fuel; or (e) is used for assembling reactor fuel elements. Such equipment or systems of equipment may include, for example: 1) fully automatic pellet inspection stations especially designed or prepared for checking final dimensions and surface defects of the fuel pellets; 2) automatic welding machines especially designed or prepared for welding end caps onto the fuel pins (or rods); 3) automatic test and inspection stations especially designed or prepared for checking the integrity of completed fuel pins (or rods); 4) systems especially designed or prepared to manufacture nuclear fuel cladding. Item 3 typically includes equipment for: a) x-ray examination of pin (or rod) end cap welds, b) helium leak detection from pressurized pins (or rods), and c) gamma-ray scanning of the pins (or rods) to check for correct loading of the fuel pellets inside.

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;

TLB3

Plants for the reprocessing of irradiated fuel elements, and equipment especially designed or prepared therefor

INTRODUCTORY NOTE

Reprocessing irradiated nuclear fuel separates plutonium and uranium from intensely radioactive fission products and other transuranic elements. Different technical processes can accomplish this separation. However, over the years Purex has become the most commonly used and accepted process. Purex involves the dissolution of irradiated nuclear fuel in nitric acid, followed by separation of the uranium, plutonium, and fission products by solvent extraction using a mixture of tributyl phosphate in an organic diluent. Purex facilities have process functions similar to each other, including: irradiated fuel element chopping, fuel dissolution, solvent extraction, and process liquor storage. There may also be equipment for thermal denitration of uranium nitrate, conversion of plutonium nitrate to oxide or metal, and treatment of fission product waste liquor to a form suitable for long term storage or disposal. However, the specific type and configuration of the equipment performing these functions may differ between Purex facilities for several reasons, including the type and quantity of irradiated nuclear fuel to be reprocessed and the intended disposition of the recovered materials, and the safety and maintenance philosophy incorporated into the design of the facility. A “plant for the reprocessing of irradiated fuel elements”, includes the equipment and components which normally come in direct contact with and directly control the irradiated fuel and the major nuclear material and fission product processing streams. These processes, including the complete systems for plutonium conversion and plutonium metal production, may be identified by the measures taken to avoid criticality (e.g. by geometry), radiation exposure (e.g. by shielding), and toxicity hazards (e.g. by containment).

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;

TLB3.1

Irradiated fuel element chopping machines

Remotely operated equipment especially designed or prepared for use in a reprocessing plant as identified above and intended to cut, chop or shear irradiated nuclear fuel assemblies, bundles or rods.

EXPLANATORY NOTE This equipment breaches the cladding of the fuel to expose the irradiated nuclear material to dissolution. Especially designed metal cutting shears are the most commonly employed, although advanced equipment, such as lasers, may be used.

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;

TLB3.2

Dissolvers

Critically safe tanks (e.g. small diameter, annular or slab tanks) especially designed or prepared for use in a reprocessing plant as identified above, intended for dissolution of irradiated nuclear fuel and which are capable of withstanding hot, highly corrosive liquid, and which can be remotely loaded and maintained.

EXPLANATORY NOTE Dissolvers normally receive the chopped-up spent fuel. In these critically safe vessels, the irradiated nuclear material is dissolved in nitric acid and the remaining hulls removed from the process stream.

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”;

TLB3.3

Solvent extractors and solvent extraction equipment

Especially designed or prepared solvent extractors such as packed or pulse columns, mixer settlers or centrifugal contactors for use in a plant for the reprocessing of irradiated fuel. Solvent extractors must be resistant to the corrosive effect of nitric acid. Solvent extractors are normally fabricated to extremely high standards (including special welding and inspection and quality assurance and quality control techniques) out of low carbon stainless steels, titanium, zirconium, or other high quality materials.

EXPLANATORY NOTE Solvent extractors both receive the solution of irradiated fuel from the dissolvers and the organic solution which separates the uranium, plutonium, and fission products. Solvent extraction equipment is normally designed to meet strict operating parameters, such as long operating lifetimes with no maintenance requirements or adaptability to easy replacement, simplicity of operation and control, and flexibility for variations in process conditions.

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.

TLB3.4

Chemical holding or storage vessels

Especially designed or prepared holding or storage vessels for use in a plant for the reprocessing of irradiated fuel. The holding or storage vessels must be resistant to the corrosive effect of nitric acid. The holding or storage vessels are normally fabricated of materials such as low carbon stainless steels, titanium or zirconium, or other high quality materials. Holding or storage vessels may be designed for remote operation and maintenance and may have the following features for control of nuclear criticality:

(1)  walls or internal structures with a boron equivalent of at least two per cent, or

(2)  a maximum diameter of 175 mm (7 in) for cylindrical vessels, or

(3)  a maximum width of 75 mm (3 in) for either a slab or annular vessel.

EXPLANATORY NOTE Three main process liquor streams result from the solvent extraction step. Holding or storage vessels are used in the further processing of all three streams, as follows:

(a)  The pure uranium nitrate solution is concentrated by evaporation and passed to a denitration process where it is converted to uranium oxide. This oxide is re-used in the nuclear fuel cycle.

(b)  The intensely radioactive fission products solution is normally concentrated by evaporation and stored as a liquor concentrate. This concentrate may be subsequently evaporated and converted to a form suitable for storage or disposal.

(c)  The pure plutonium nitrate solution is concentrated and stored pending its transfer to further process steps. In particular, holding or storage vessels for plutonium solutions are designed to avoid criticality problems resulting from changes in concentration and form of this stream.

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”.

TLB3.5

Neutron measurement systems for process control

Neutron measurement systems especially designed or prepared for integration and use with automated process control systems in a plant for the reprocessing of irradiated fuel elements.

EXPLANATORY NOTE These systems involve the capability of active and passive neutron measurement and discrimination in order to determine the fissile material quantity and composition. The complete system is composed of a neutron generator, a neutron detector, amplifiers, and signal processing electronics. The scope of this entry does not include neutron detection and measurement instruments that are designed for nuclear material accountancy and safeguarding or any other application not related to integration and use with automated process control systems in a plant for the reprocessing of irradiated fuel elements.

0B007

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

TLB7.2.1

Especially designed or prepared systems for the conversion of plutonium nitrate to oxide

0B007.a

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

 

EXPLANATORY NOTE The main functions involved in this process are: process feed storage and adjustment, precipitation and solid/liquor separation, calcination, product handling, ventilation, waste management, and process control. The process systems are particularly adapted so as to avoid criticality and radiation effects and to minimize toxicity hazards. In most reprocessing facilities, this process involves the conversion of plutonium nitrate to plutonium dioxide. Other processes can involve the precipitation of plutonium oxalate or plutonium peroxide.

0B007.b

b.  Systems for plutonium metal production.

TLB7.2.2

Especially designed or prepared systems for plutonium metal production

EXPLANATORY NOTE This process usually involves the fluorination of plutonium dioxide, normally with highly corrosive hydrogen fluoride, to produce plutonium fluoride which is subsequently reduced using high purity calcium metal to produce metallic plutonium and a calcium fluoride slag. The main functions involved in this process are fluorination (e.g. involving equipment fabricated or lined with a precious metal), metal reduction (e.g. employing ceramic crucibles), slag recovery, product handling, ventilation, waste management and process control. The process systems are particularly adapted so as to avoid criticality and radiation effects and to minimize toxicity hazards. Other processes include the fluorination of plutonium oxalate or plutonium peroxide followed by a reduction to metal.

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.

TLA.1.1

1.1.  “Source material”

The term “source material” means uranium containing the mixture of isotopes occurring in nature; uranium depleted in the isotope 235; thorium; any of the foregoing in the form of metal, alloy, chemical compound, or concentrate; any other material containing one or more of the foregoing in such concentration as the Board of Governors shall from time to time determine; and such other material as the Board of Governors shall from time to time determine.

0C002

“Special fissile materials”

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

TLA.1.2

1.2.  “Special fissionable material”

i)  The term “special fissionable material” means plutonium-239; uranium-233; “uranium enriched in the isotopes 235 or 233”; any material containing one or more of the foregoing; and such other fissionable material as the Board of Governors shall from time to time determine; but the term “special fissionable material” does not include source material.

ii)  The term “uranium enriched in the isotopes 235 or 233” 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 greater than the ratio of the isotope 235 to the isotope 238 occurring in nature.

However, for the purposes of the Guidelines, items specified in subparagraph (a) below, and exports of source or special fissionable material to a given recipient country, within a period of 12 months, below the limits specified in subparagraph (b) below, shall not be included:

(a)  Plutonium with an isotopic concentration of plutonium-238 exceeding 80 %.

Special fissionable material when used in gram quantities or less as a sensing component in instruments; and

Source material which the Government is satisfied is to be used only in non-nuclear activities, such as the production of alloys or ceramics;

(b)  

Special fissionable material 50 effective grams;

Natural uranium 500 kilograms;

Depleted uranium 1 000 kilograms; and

Thorium 1 000 kilograms.

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 1:5 000 .

TLB2.1

2.1.  Deuterium and heavy water

Deuterium, heavy water (deuterium oxide) and any other deuterium compound in which the ratio of deuterium to hydrogen atoms exceeds 1:5 000 for use in a nuclear reactor as defined in paragraph 1.1. above in quantities exceeding 200 kg of deuterium atoms for any one recipient country in any period of 12 months.

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;

image

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.

TLB2.2

2.2.  Nuclear grade graphite

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 as defined in paragraph 1.1 above, in quantities exceeding 1 kilogram.

EXPLANATORY NOTE

For the purpose of export control, the Government will determine whether or not the exports of graphite meeting the above specifications are for nuclear reactor use.

Boron equivalent (BE) may be determined xperimentally or is calculated 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);

CF is the conversion factor: (σZ × AB) divided by (σB × Az);

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.

TLB5.3.1b

Gaseous diffusion barriers and barrier materials

(b)  especially prepared compounds or powders for the manufacture of such filters.

Such compounds and powders include nickel or alloys containing 60 % or more nickel, aluminium oxide, or UF6-resistant fully fluorinated hydrocarbon polymers having a purity of 99,9 % by weight or more, a particle size less than 10 μm, and a high degree of particle size uniformity, which are especially prepared for the manufacture of gaseous diffusion barriers.

OD001

T*“Software” specially designed or modified for the “development”, “production” or “use” of goods specified in this Category.

II*

IV*

TLB*

“software” means a collection of one or more “programs” or “microprograms” fixed in any tangible medium of expression. “technical assistance” may take forms such as: instruction, skills, training, working knowledge, consulting services.

0E001

T* “Technology” according to the Nuclear Technology Note for the “development”, “production” or “use” of goods specified in this Category.

II*

IV

TLB*

“technology” means specific information required for the “development”, “production”, or “use” of any item contained in the List. This information may take the form of “technical data”, or “technical assistance”.

(1)   Item codes marked with a “TLB” refer to items listed in Annex B of the NSG Part 1 Trigger List. Item codes marked with “TLA” refer to items listed in Annex A of NSG Part 1 Trigger List. Item codes marked with neither “TLB” nor “TLA” refer to items listed in the NSG Dual Use List, referenced in the Categories 1, 2 and 6.

CATEGORY 1 — SPECIAL MATERIALS AND RELATED EQUIPMENT

1A    Systems, Equipment and Components



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

1A007

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

3.  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.

6.A.1.

Detonators and multipoint initiation systems, as follows:

a.  Electrically driven explosive detonators, as follows:

1.  Exploding bridge (EB);

2.  Exploding bridge wire (EBW);

3.  Slapper;

4.  Exploding foil initiators (EFI);

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.;

6.A.2.

Firing sets and equivalent high-current pulse generators, as follows:

a.  Detonator firing sets (initiation systems, firesets), including electronically-charged, explosively-driven and optically-driven firing sets designed to drive multiple controlled detonators specified by Item 6.A.1. above;

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.

2.A.3.

Composite structures in the form of tubes having both of the following characteristics:

a.  An inside diameter of between 75 and 400 mm; and

b.  Made with any of the “fibrous or filamentary materials” specified in Item 2.C.7.a. or carbon prepreg materials specified in Item 2.C.7.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.

2.A.2.

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.

4.A.1.

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.

1.A.1.

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 Item 1.A.1.a. the term ‘cold area’ means the viewing area of the window exposed to the lowest level of radiation in the design application.

1B    Test, Inspection and Production Equipment



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

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.

3.B.4.

Filament winding machines and related equipment, as follows:

a.  Filament winding machines having all of the following characteristics:

1.  Having motions for positioning, wrapping, and winding fibers 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 Item 3.B.4.a.;

c.  Precision mandrels for the filament winding machines specified in Item 3.B.4.a.

1B225

Electrolytic cells for fluorine production with an output capacity greater than 250 g of fluorine per hour.

3.B.1.

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.

3.B.5.

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.

Notes:

1.  Item 3.B.5. includes separators capable of enriching stable isotopes as well as those for uranium.

N.B.:  A separator capable of separating the isotopes of lead with a one-mass unit difference is inherently capable of enriching the isotopes of uranium with a three-unit mass difference.

2.  Item 3.B.5. includes separators with the ion sources and collectors both in the magnetic field and those configurations in which they are external to the field.

Technical Note:

A single 50 mA ion source cannot produce more than 3 g of separated highly enriched uranium (HEU) per year from natural abundance feed.

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.

4.B.2.

Hydrogen-cryogenic distillation columns having all of the following characteristics:

a.  Designed for operation at internal temperatures of 35 K (–238 °C) or less;

b.  Designed for operation at internal pressures of 0,5 to 5 MPa;

c.  Constructed of either:

1.  Stainless steel of the 300 series with low sulfur 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:

The term ‘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.

4.B.1.

Water-hydrogen sulfide exchange tray columns and internal contactors, as follows:

N.B.:  For columns which are especially designed or prepared for the production of heavy water, see INFCIRC/254/Part 1 (as amended).

a.  Water-hydrogen sulfide 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 sulfide exchange tray columns specified in Item 4.B.1.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.

4.A.2.

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.

2.B.1.

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 1 000  kg/h or greater.

4.A.3.

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 1 000  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.

2.B.2.

Lithium isotope separation facilities or plants, and systems and equipment therefor, as follows:

N.B.:  Certain lithium isotope separation equipment and components for the plasma separation process (PSP) are also directly applicable to uranium isotope separation and are controlled under INFCIRC/254 Part 1 (as amended).

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 component parts therefor;

d.  Chemical exchange systems (employing crown ethers, cryptands, or lariat ethers) specially designed for lithium isotope separation, and specially designed component parts 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.

5.B.7.

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:

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.

1C    Materials



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

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;

2.C.1.

Aluminium alloys having both of the following characteristics:

a.  ‘Capable of’ an ultimate tensile strength of 460 MPa or more at 293 K (20 °C);

b.  and b. In the form of tubes or cylindrical solid forms (including forgings) with an outside diameter of more than 75 mm

Technical Note:

In Item 2.C.1. the phrase ‘capable of’ encompasses aluminium alloys before or after heat treatment.

1C202

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.

2.C.13.

Titanium alloys having both of the following characteristics:

a.  ‘Capable of’ an ultimate tensile strength of 900 MPa or more at 293 K (20 °C);

In the form of tubes or cylindrical solid forms (including forgings) with an outside diameter of more than 75 mm.

Technical Note:

In Item 2.C.13. the phrase ‘capable of’ encompasses titanium 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 23,5 × 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;

2.C.7.a

“Fibrous or filamentary materials”, and prepregs, 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 23,5 × 104 m or greater;

Note:  Item 2.C.7.a. does not control aramid “fibrous or filamentary materials” having 0,25 % or more by weight of an ester based fiber 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;

2.C.7.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”.

2.C.7.c

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 Item 2.C.7.a. or Item 2.C.7.b.

Technical Note:

The resin forms the matrix of the composite.

Technical Notes:

1.  In Item 2.C.7. “Specific modulus” is the Young's modulus in N/m2 divided by the specific weight in N/m3 when measured at a temperature of 296 ± 2 K (23 ± 2 °C) and a relative humidity of 50 ± 5 %.

2.  In Item 2.C.7. “Specific tensile strength” is the ultimate tensile strength in N/m2 divided by the specific weight in N/m3 when measured at a temperature of 296 ± 2 K (23 ± 2 °C) and a relative humidity of 50 ± 5 %.

1C216

Maraging steel, other than that specified in 1C116, ‘capable of’ an ultimate tensile strength of 1 950 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.

2.C.11.

Maraging steel ‘capable of’ an ultimate tensile strength of 1 950 MPa or more at 293 K (20 °C).

Note:  Item 2.C.11. does not control forms in which all linear dimensions are 75 mm or less.

Technical Note:

In Item 2.C.11. the phrase ‘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).

2.C.4.

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 Item 2.C.4. mixtures containing boron include boron loaded materials.

Technical Note:

The natural isotopic abundance of boron-10 is approximately 18,5 weight percent (20 atom percent).

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.

2.C.14.

Tungsten, tungsten carbide, and alloys containing more than 90 % tungsten by weight, 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.

Note:  Item 2.C.14. does not control manufactures specially designed as weights or gamma-ray collimators.

1C227

Calcium having both of the following characteristics:

a.  Containing less than 1 000 parts per million by weight of metallic impurities other than magnesium; and

b.  Containing less than 10 parts per million by weight of boron.

2.C.5.

Calcium having both of the following characteristics:

a.  Containing less than 1 000 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.

2.C.10.

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.

2.C.3.

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.

2.C.2.

Beryllium metal, alloys containing more than 50 % beryllium by weight, beryllium compounds, manufactures thereof, and waste or scrap of any of the foregoing.

Note:  Item 2.C.2. 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.

2.C.8.

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.

2.C.18.

Helium-3 (3He), mixtures containing helium-3, and products or devices containing any of the foregoing.

Note:  Item 2.C.18. 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).

2.C.9.

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:  Item 2.C.9. does not control thermoluminescent dosimeters.

Technical Note:

The natural isotopic abundance of lithium-6 is approximately 6,5 weight percent (7,5 atom percent).

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.

2.C.15.

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.

Note:  Item 2.C.15. 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 1 000 , 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.

2.C.17.

Tritium, tritium compounds, mixtures containing tritium in which the ratio of tritium to hydrogen atoms exceeds 1 part in 1 000 , and products or devices containing any of the foregoing.

Note:  Item 2.C.17. does not control a product or device containing less than 1,48 × 103 GBq 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 37 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)

2.C.19.

Radionuclides appropriate for making neutron sources based on alpha-n reaction:

Actinium 225

Curium 244

Polonium 209

Actinium 227

Einsteinium 253

Polonium 210

Californium 253

Einsteinium 254

Radium 223

Curium 240

Gadolinium 148

Thorium 227

Curium 241

Plutonium 236

Thorium 228

Curium 242

Plutonium 238

Uranium 230

Curium 243

Polonium 208

Uranium 232

In the following forms:

a.  Elemental;

b.  Compounds having a total activity of 37 GBq per kg or greater;

c.  Mixtures having a total activity of 37 GBq per kg or greater;

d.  Products or devices containing any of the foregoing.

Note:  Item 2.C.19. does not control a product or device containing less than 3,7 GBq of activity.

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.

2.C.12.

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:  Item 2.C.12. does not control the following:

a.  Medical applicators;

b.  A product or device containing less than 0,37 GBq of radium-226.

1C238

Chlorine trifluoride (ClF3).

2.C.6.

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 8 000  m/s.

6.C.1.o

Any explosive with a crystal density greater than 1,8 g/cm3 and having a detonation velocity greater than 8 000  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 1 000  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.

2.C.16.

Nickel powder and porous nickel metal, as follows:

N.B.:  For nickel powders which are especially prepared for the manufacture of gaseous diffusion barriers see INFCIRC/254/Part 1 (as amended).

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 the ASTM B 330 standard;

b.  Porous nickel metal produced from materials specified in Item 2.C.16.a.

Note:  Item 2.C.16. does not control the following:

a.  Filamentary nickel powders;

b.  Single porous nickel metal sheets with an area of 1 000  cm2 per sheet or less.

Technical Note:

Item 2.C.16.b. refers to porous metal formed by compacting and sintering the material in Item 2.C.16.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.

2.C.20.

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, 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.

1D    Software



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

1D001

“Software” specially designed or modified for the “development”, “production” or “use” of equipment specified in 1B001 to 1B003.

1.D.2.

“software” means a collection of one or more “programs” or “microprograms” fixed in any tangible medium of expression

1D201

“Software” specially designed for the “use” of goods specified in 1B201.

1.D.3.

“software” means a collection of one or more “programs” or “microprograms” fixed in any tangible medium of expression

1E    Technology



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

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.

1.E.1.

“Technology” -- means specific information required for the “development”, “production”, or “use” of any item contained in the List. This information may take the form of “technical data” or “technical assistance”.

1E202

“Technology” according to the General Technology Note for the “development” or “production” of goods specified in 1A007, 1A202 or 1A225 to 1A227.

1.E.1.

“Technology” -- means specific information required for the “development”, “production”, or “use” of any item contained in the List. This information may take the form of “technical data” or “technical assistance”.

1E203

“Technology” according to the General Technology Note for the “development” or “production” of goods specified in 1A007, 1A202 or 1A225 to 1A227.

1.E.1.

“Technology” -- means specific information required for the “development”, “production”, or “use” of any item contained in the List. This information may take the form of “technical data” or “technical assistance”.

CATEGORY 2 — MATERIALS PROCESSING

2A    Systems, Equipment and Components



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

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 8 000  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 2 000  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 2 000  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.

2.A.1

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 (150 ml) and 8 000  cm3 (8 l (litres)); 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 sulfide (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 (50 ml) and 2 000  cm3 (2 liters); 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 (50 ml) and 2 000  cm3 (2 liters);

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.

3.A.3.

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 diameter, the nominal size parameter in Item 3.A.3.a. refers to the smallest diameter.

2B    Test, Inspection and Production Equipment



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

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.

1.B.2.

Machine tools, as follows, and any combination thereof, for removing or cutting metals, ceramics, or composites, which, according to the manufacturer's technical specifications, can be equipped with electronic devices for simultaneous “contouring control” in two or more axes:

N.B.:  For “numerical control” units controlled by their associated “software”, see Item 1.D.3.

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 waxis, 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.

 

a.  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:  Item 1.B.2.a. 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.

2B006

Dimensional inspection or measuring systems, equipment and “electronic assemblies”, as follows:

1.B.3.

 

2B006.b.

Linear and angular displacement measuring instruments, as follows:

1.B.3.

1.B.3.  Dimensional inspection machines, instruments, or systems, as follows:

2B006.b.

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 5 mm 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/2 000 ) μm (L is the measured length in mm) at any point within a measuring range, when compensated for the refractive index of air; or

1.B.3.b.

b.  Linear displacement measuring instruments, as follows:

1.  Non-contact type measuring systems with a “resolution” equal to or better (less) than 0,2 μm within a measuring range up to 0,2 mm;

2.  Linear variable differential transformer (LVDT) systems having both of the following characteristics:

a.  

1.  “Linearity” equal to or less (better) than 0,1 % measured from 0 to the full operating range, for LVDTs with an operating range up to 5 mm; or

2.  “Linearity” equal to or less (better) than 0,1 % measured from 0 to 5 mm for LVDTs with an operating range greater than 5 mm; and

b.  Drift equal to or better (less) than 0,1 % per day at a standard ambient test room temperature ± 1 K;

3.  Measuring systems having both of the following characteristics:

a.  Contain a laser; and

b.  Maintain for at least 12 hours, over a temperature range of ± 1 K around a standard temperature and a standard pressure:

1.  A “resolution” over their full scale of 0,1 μm or better; and

2.  With a “measurement uncertainty” equal to or better (less) than (0,2 + L/2 000 ) μm (L is the measured length in millimeters);

Note:  Item 1.B.3.b.3. does not control measuring interferometer systems, without closed or open loop feedback, containing a laser to measure slide movement errors of machine tools, dimensional inspection machines, or similar equipment.

Technical Note:

In Item 1.B.3.b. ‘linear displacement’ means the change of distance between the measuring probe and the measured object.

2B006.b.

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.

1.B.3.c

c.  Angular displacement measuring instruments having an “angular position deviation” equal to or better (less) than 0,00025°;

Note:  Item 1.B.3.c. does not control optical instruments, such as autocollimators, using collimated light (e.g., laser light) to detect angular displacement of a mirror.

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.

1.B.6.

Vibration test systems, equipment, and components as follows:

a.  Electrodynamic vibration test systems, having all of the following characteristics:

1.  Employing feedback or closed loop control techniques and incorporating a digital control

2.  unit;

3.  Capable of vibrating at 10 g RMS or more between 20 and 2 000  Hz; and

4.  Capable of imparting forces of 50 kN or greater measured “bare table”;

b.  b. Digital control units, combined with “software” specially designed for vibration testing, with a real-time bandwidth greater than 5 kHz and being designed for a system specified in Item 1.B.6.a.;

c.  c. Vibration thrusters (shaker units), with or without associated amplifiers, capable of imparting

d.  a force of 50 kN or greater measured “bare table”, which are usable for the systems specified in Item 1.B.6.a.;

e.  d. Test piece support structures and electronic units designed to combine multiple shaker units into a complete shaker system capable of providing an effective combined force of 50 kN or greater, measured “bare table”, which are usable for the systems specified in Item 1.B.6.a.

Technical Note:

In Item 1.B.6. “bare table” means a flat table, or surface, with no fixtures or fittings.

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 Notes:

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. Stated ‘positioning accuracy’ are to be derived as follows:

1.  Select five machines of a model to be evaluated;

2.  Measure the linear axis accuracies according to ISO 230/2 (1988) (1) ;

3.  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) (1) standard;

4.  Determine the average accuracy value of each axis. This average value becomes the stated ‘positioning accuracy’ of each axis for the model (Âx Ây...);

5.  Since Item 2B201 refers to each linear axis, there will be as many stated ‘positioning accuracy’ values as there are linear axes;

6.  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) (1) , then the builder should be required to reaffirm the accuracy level once every eighteen months.

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.

1.B.2.

1.B.2.  Machine tools, as follows, and any combination thereof, for removing or cutting metals, ceramics, or composites, which, according to the manufacturer's technical specifications, can be equipped with electronic devices for simultaneous “contouring control” in two or more axes:

N.B.:  For “numerical control” units controlled by their associated “software”, see Item 1.D.3.

2B201.

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) (1) 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.

1.B.2.b

b.  Machine tools for milling, having any of the following characteristics:

1.  “Positioning accuracies” with all compensations available better (less) than 6 μm according to ISO 230/2 (1988) along any linear axis (overall positioning);

2.  Two or more contouring rotary axes; or

3.  Five or more axes which can be coordinated simultaneously for “contouring control”.

Note:  Item 1.B.2.b. does not control milling machines having both of the following characteristics:

1.  X-axis travel greater than 2 m; and

2.  Overall “positioning accuracy” on the x-axis worse (more) than 30 μm according to ISO 230/2 (1988)

2B201

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) (1) 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) (1) 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) (1) 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.

1.B.2.c

c.  Machine tools for grinding, having any of the following characteristics:

1.  “Positioning accuracies” with all compensations available better (less) than 4 μm according to ISO 230/2 (1988) along any linear axis (overall positioning);

2.  Two or more contouring rotary axes; or

3  Five or more axes which can be coordinated simultaneously for “contouring control”.

Note:  Item 1.B.2.c. does not control grinding machines as follows:

1.  Cylindrical external, internal, and external-internal grinding machines having all the following characteristics:

a.  Limited to a maximum workpiece capacity of 150 mm outside diameter or length; and

b.  Axes limited to x, z and c.

2.  Jig grinders that do not have a z-axis or a w-axis with an overall positioning accuracy less (better) than 4 microns. Positioning accuracy is according to ISO 230/2 (1988).

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.

1.B.5.

1.B.5.  “Isostatic presses”, 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, molds, and controls specially designed for the “isostatic presses” specified in Item 1.B.5.a.

Technical Notes:

1.  In Item 1.B.5. “Isostatic presses” means equipment capable of pressurizing 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.

2.  In Item 1.B.5. 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:

1.B.3.

1.B.3.  Dimensional inspection machines, instruments, or systems, as follows:

2B206.

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/1 000 ) 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.

1.B.3.a

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 E0zMPE, equal to or less(better) than (1,25 + L/1 000 ) 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, environment) and with all compensations available shall be compared to the 1,7 + L/ 800 μm threshold.

2B206.

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.

1.B.3.d

d.  Systems for simultaneous linear-angular inspection of hemishells, having both of the following characteristics:

1.  “Measurement uncertainty” along any linear axis equal to or better (less) than 3,5 μm per 5 mm; and

2.  “Angular position deviation” equal to or less than 0,02°.

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);

1.A.3.a1

‘Robots’, ‘end-effectors’ and control units as follows: a. ‘Robots’ or ‘end-effectors’ having either of the following characteristics: 1. 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.

1.A.3.b

Control units specially designed for any of the ‘robots’ or ‘end-effectors’ specified in Item 1.A.3.a.

Note:  Item 1.A.3. does not control ‘robots’ specially designed for non-nuclear industrial applications such as automobile paint-spraying booths.

Technical Notes:

1.  ‘Robots’ In Item 1.A.3. ‘robot’ means a manipulation mechanism, which may be of the continuous path or of the point-to-point variety, may use “sensors”, and has all of 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.1:  In the above definition “sensors” means detectors of a physical phenomenon, the output of which (after conversion into a signal that can be interpreted by a control unit) is able to generate “programs” or modify programmed instructions or numerical “program” data. This includes “sensors” with machine vision, infrared imaging, acoustical imaging, tactile feel, inertial position measuring, optical or acoustic ranging or force or torque measuring capabilities.

N.B.2:  In the above definition “user-accessible programmability” means the facility allowing a user to insert, modify or replace “programs” by means other than:

(a)  a physical change in wiring or interconnections; or

(b)  the setting of function controls including entry of parameters.

N.B.3:  The above definition does not include the following devices:

(a)  Manipulation mechanisms which are only manually/teleoperator controllable;

(b)  Fixed sequence manipulation mechanisms which are automated moving devices operating according to mechanically fixed programmed motions. The “program” 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;

(c)  Mechanically controlled variable sequence manipulation mechanisms which are automated moving devices operating according to mechanically fixed programmed motions. The “program” 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 “program” pattern. Variations or modifications of the “program” pattern (e.g., changes of pins or exchanges of cams) in one or more motion axes are accomplished only through mechanical operations;

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

(e)  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. 2. ‘End-effectors’ In Item 1.A.3. ‘end-effectors’ are grippers, ‘active tooling units’, and any other tooling that is attached to the baseplate on the end of a ‘robot’ manipulator arm.

N.B.:  In the above definition ‘active tooling units’ is a device for applying motive power, process energy or sensing to the workpiece.

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.

1.B.1.

Flow-forming machines, spin-forming machines capable of flow-forming functions, and mandrels, as follows:

1.  Machines having both of the following characteristics:

a.  Three or more rollers (active or guiding); and

b.  Which, according to the manufacturer's technical specification, can be equipped with “numerical control” units or a computer control;

2.  Rotor-forming mandrels designed to form cylindrical rotors of inside diameter between 75 and 400 mm.

Note:  Item 1.B.1.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 5 000 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.

3.B.3.

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 5 000 rpm;

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 0,010 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.

1.A.4.

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 a 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.

1.B.4.

Controlled atmosphere (vacuum or inert gas) induction furnaces, and power supplies therefor, as follows:

a.  Furnaces having all of the following characteristics:

1.  Capable of operation at temperatures 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;

Note:  Item 1.B.4.a. does not control furnaces designed for the processing of semiconductor wafers.

b.  Power supplies, with a specified output power of 5 kW or more, specially designed for furnaces specified in Item 1.B.4.a.

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 1 000  cm3 and 20 000  cm3; and

2.  Capable of operating with melting temperatures above 1 973 K (1 700  °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 1 473 K (1 200  °C).

c.  Computer control and monitoring systems specially configured for any of the furnaces specified in 2B227.a. or b.

1.B.7.

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 1 000 and 20 000  cm3; and

2.  Capable of operating with melting temperatures above 1 973 K (1 700  °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 1 473 K (1 200  °C);

c.  Computer control and monitoring systems specially configured for any of the furnaces specified in Item 1.B.7.a. or 1.B.7.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”.

3.B.2.

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:  Item 3.B.2.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 Item 3.B.2.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:

The bellows referred to in Item 3.B.2.c. have all of the following characteristics:

1.  Inside diameter between 75 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.

3.A.7.

All types of pressure transducers capable of measuring absolute pressures and having all of the following characteristics:

a.  Pressure sensing elements made of or protected by aluminium, aluminium alloy, aluminium 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, aluminium 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 measuring at 13 kPa. Technical

Notes:

1.  In Item 3.A.7. pressure transducers are devices that convert pressure measurements into a signal.

2.  In Item 3.A.7. “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.

3.A.8.

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 13,3 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.

5.B.2.

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.

Note:  This item does not control guns specially designed for high velocity weapon systems.

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.

3.A.9.

Bellows-sealed scroll-type compressors and bellows-sealed scroll-type vacuum pumps having all of the following characteristics:

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.

Technical Notes:

1.  In a scroll compressor or vacuum pump, crescent-shaped pockets of gas are trapped between one or more pairs of intermeshed spiral vanes, or scrolls, one of which moves while the other remains stationary. The moving scroll orbits the stationary scroll; it does not rotate. As the moving scroll orbits the stationary scroll, the gas pockets diminish in size (i.e., they are compressed) as they move toward the outlet port of the machine.

2.  In a bellows-sealed scroll compressor or vacuum pump, the process gas is totally isolated from the lubricated parts of the pump and from the external atmosphere by a metal bellows. One end of the bellows is attached to the moving scroll and the other end is attached to the stationary housing of the pump.

3.  Fluoropolymers include, but are not limited to, the following materials: a. Polytetrafluoroethylene (PTFE), b. Fluorinated Ethylene Propylene (FEP), c. Perfluoroalkoxy (PFA), d. Polychlorotrifluoroethylene (PCTFE); and e. Vinylidene fluoride-hexafluoropropylene copolymer.

(1)   Manufacturers calculating positioning accuracy in accordance with ISO 230/2 (1997) or (2006) should consult the competent authorities of the Member State in which they are established.

2D    Software



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

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.

1.D.2.

“Software” specially designed or modified for the “use” of equipment specified in Item 1.A.3., 1.B.1., 1.B.3., 1.B.5., 1.B.6.a., 1.B.6.b., 1.B.6.d. or 1.B.7.

Note:  “Software” specially designed or modified for systems specified in Item 1.B.3.d. includes “software” for simultaneous measurements of wall thickness and contour.

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.

1.D.3.

“Software” for any combination of electronic devices or system enabling such device(s) to function as a “numerical control” unit for machine tools, that is capable of controlling five or more interpolating axes that can be coordinated simultaneously for “contouring control”.

Notes:

1.  “Software” is controlled whether exported separately or residing in a “numerical control” unit or any electronic device or system.

2.  Item 1.D.3. does not control “software” specially designed or modified by the manufacturers of the control unit or machine tool to operate a machine tool that is not specified in Item 1.B.2.

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.

1.D.1.

“Software” specially designed or modified for the “use” of equipment specified in Item 1.A.3., 1.B.1., 1.B.3., 1.B.5., 1.B.6.a., 1.B.6.b., 1.B.6.d. or 1.B.7.

Note:  “Software” specially designed or modified for systems specified in Item 1.B.3.d. includes “software” for simultaneous measurements of wall thickness and contour.

2D201

“Software” specially designed for the “use” of equipment specified in 2B204, 2B206, 2B207, 2B209, 2B219 or 2B227.

1.D.1.

“Software” specially designed or modified for the “use” of equipment specified in Item 1.A.3., 1.B.1., 1.B.3., 1.B.5., 1.B.6.a., 1.B.6.b., 1.B.6.d. or 1.B.7.

Note:  “Software” specially designed or modified for systems specified in Item 1.B.3.d. includes “software” for simultaneous measurements of wall thickness and contour.

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.

1.D.2.

“Software” specially designed or modified for the “development”, “production”, or “use” of equipment specified in Item 1.B.2.

Note:  Item 1.D.2. does not control part programming “software” that generates “numerical control” command codes but does not allow direct use of equipment for machining various parts.

2E    Technology



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

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.

1.E.1

“Technology” according to the Technology Controls for the “development”, “production” or “use” of equipment, material or “software” specified in 1.A. through 1.D.

2E002

“Technology” according to the General Technology Note for the “production” of equipment specified in 2A or 2B

1.E.1

“Technology” according to the Technology Controls for the “development”, “production” or “use” of equipment, material or “software” specified in 1.A. through 1.D.

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.

1.E.1

“Technology” according to the Technology Controls for the “development”, “production” or “use” of equipment, material or “software” specified in 1.A. through 1.D.

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.

1.E.1

“Technology” according to the Technology Controls for the “development”, “production” or “use” of equipment, material or “software” specified in 1.A. through 1.D.

CATEGORY 3 — ELECTRONICS

3A    Systems, Equipment and Components



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

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;

6.A.4.

Pulse discharge capacitors having either of the following sets of characteristics:

a.  

1.  Voltage rating greater than 1,4 kV;

2.  Energy storage greater than 10 J;

3.  Capacitance greater than 0,5 μF; and

4.  Series inductance less than 50 nH; or

b.  

1.  Voltage rating greater than 750 V;

2.  Capacitance greater than 0,25 μF; and

3.  Series inductance less than 10 nH.

3A201

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.

3.A.4.

Superconducting solenoidal electromagnets having all of the following characteristics:

a.  Capable of creating magnetic fields greater than 2 T;

b.  A ratio of length to inner diameter greater than 2;

c.  Inner diameter greater than 300 mm; and

d.  Magnetic field uniform to better than 1 % over the central 50 % of the inner volume.

Note:  Item 3.A.4. does not control magnets specially designed for and exported as part of medical nuclear magnetic resonance (NMR) imaging systems.

N.B.:  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 the as part of relationship.

3A201

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.

5.B.1.

Flash X-ray generators or pulsed electron accelerators having either of the following sets of characteristics:

a.  

1.  An accelerator peak electron energy of 500 keV or greater but less than 25 MeV; and

2.  With a figure of merit (K) of 0,25 or greater; or

b.  

1.  An accelerator peak electron energy of 25 MeV or greater; and

2.  A peak power greater than 50 MW.

Note:  Item 5.B.1. 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 × 103 V2,65Q. 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 ms, 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 ms or the time duration of the beam pulse (Q = ∫ idt ) where i is beam current in amperes and t is the 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 ms 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).

3.A.1.

Frequency changers or generators, usable as a variable frequency or fixed frequency motor drive, having all of the following characteristics:

N.B.1:  Frequency changers and generators especially designed or prepared for the gas centrifuge process are controlled under INFCIRC/254/Part 1 (as amended).

N.B.2:  “Software” specially designed to enhance or release the performance of frequency changers or generators to meet the characteristics below is controlled in 3.D.2 and 3.D.3.

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 %.

Notes:

1.  Item 3.A.1. only controls frequency changers intended for specific industrial machinery and/or consumer goods (machine tools, vehicles, etc.) if the frequency changers can meet the characteristics above when removed, and subject to General Note 3.

2.  For the purpose of export control, the Government will determine whether or not a particular frequency changer meets the characteristics above, taking into account hardware and software constraints.

Technical Notes:

1.  Frequency changers in Item 3.A.1. are also known as converters or inverters.

2.  The characteristics specified in item 3.A.1. may be met by certain equipment marketed such as: Generators, Electronic Test Equipment, AC Power Supplies, Variable Speed Motor 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.

3.A.5.

High-power direct current power supplies 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.

3.A.6.

High-voltage direct current power supplies 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.

6.A.3.

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:  Item 6.A.3.a. includes gas krytron tubes and vacuum sprytron tubes.

b.  Triggered spark-gaps having both of the following characteristics:

1.  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 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.

6.A.2.

Firing sets and equivalent high-current pulse generators, as follows:

a.  Detonator firing sets (initiation systems, firesets), including electronically-charged, explosively-driven and optically-driven firing sets designed to drive multiple controlled detonators specified by Item 6.A.1. above;

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 to operate over an extended temperature range of 223 to 373 K (–50 °C to 100 °C) or specified as suitable for aerospace applications.

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.

Note:  Optically driven firing sets include both those employing laser initiation and laser charging. Explosively-driven firing sets include both explosive ferroelectric and explosive ferromagnetic firing set types. Item 6.A.2.b. includes xenon flashlamp drivers.

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.

5.B.6.

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 Item 5.B.6.b. ‘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.

6.A.5.

Neutron generator systems, including tubes, having both of the following characteristics:

a.  Designed for operation without an external vacuum system; and

b.  

1.  Utilizing electrostatic acceleration to induce a tritium-deuterium nuclear reaction; or

2.  Utilizing 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.

6.A.1.

Detonators and multipoint initiation systems, as follows:

a.  Electrically driven explosive detonators, as follows:

1.  Exploding bridge (EB);

2.  Exploding bridge wire (EBW);

3.  Slapper;

4.  Exploding foil initiators (EFI);

(see 3A232)

b.  Arrangements using single or multiple detonators designed to nearly simultaneously initiate an explosive surface over an area 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:  Item 6.A.1. does not control detonators using only primary explosives, such as lead azide.

Technical Note:

In Item 6.A.1. the detonators of concern all utilize a small electrical conductor (bridge, bridge wire, or foil) that explosively vaporizes when a fast, high-current electrical pulse is passed through it. In nonslapper types, the exploding conductor starts a chemical detonation in a contacting highexplosive 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. Also, the word initiator is sometimes used in place of the word detonator.

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’.

3.B.6.

Mass spectrometers 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:

N.B.:  Mass spectrometers especially designed or prepared for analyzing on-line samples of uranium hexafluoride are controlled under INFCIRC/254/Part 1 (as amended).

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) or less in order to trap analyte molecules that are not ionized by the electron beam;

e.  Mass spectrometers equipped with a microfluorination ion source designed for actinides or actinide fluorides.

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.

6.A.6.

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.

3D    Software



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

3D002

“Software” specially designed for the “use” of equipment specified in 3B001.a. to f., 3B002 or 3A225

3.D.1.

“Software” specially designed for the “use” of equipment specified in Items 3.A.1., 3.B.3. or 3.B.4.

3D225

“Software” specially designed to enhance or release the performance of frequency changers or generators to meet the characteristics of 3A225.

3.D.3.

“Software” specially designed to enhance or release the performance characteristics of equipment controlled in Item 3.A.1.

3E    Technology



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

3E001

“Technology” according to the General Technology Note for the “development” or “production” of equipment or materials specified in 3A, 3B or 3C;

Note 1:   3E001 does not control “technology” for the “production” of equipment or components controlled by 3A003.

Note 2:   3E001 does not control “technology” for the “development” or “production” of integrated circuits specified in 3A001.a.3. to 3A001.a.12., having all of the following:

a.  Using “technology” at or above 0,130 μm; and

b.  Incorporating multi-layer structures with three or fewer metal layers.

3.E.1

“Technology” according to the Technology Controls for the “development”, “production” or “use” of equipment, material or “software” specified in 3.A. through 3.D.

3E201

“Technology” according to the General Technology Note for the “use” of equipment specified in 3A001.e.2., 3A001.e.3., 3A001.g., 3A201, 3A225 to 3A234.

3.E.1

“Technology” according to the Technology Controls for the “development”, “production” or “use” of equipment, material or “software” specified in 3.A. through 3.D.

3E225

“Technology”, in the form of codes or keys, to enhance or release the performance of frequency changers or generators to meet the characteristics of 3A225.

3.E.1

“Technology” according to the Technology Controls for the “development”, “production” or “use” of equipment, material or “software” specified in 3.A. through 3.D.

CATEGORY 6 — SENSORS AND LASERS

6A    Systems, Equipment and Components



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

6A005

“Lasers”, other than those specified in 0B001.g.5. or 0B001.h.6., components and optical equipment, as follows:

N.B.:  SEE ALSO 6A205.

Note 1:   Pulsed “lasers” include those that run in a continuous wave (CW) mode with pulses superimposed.

Note 2:   Excimer, semiconductor, chemical, CO, CO2, and ‘non-repetitive pulsed’ Nd:glass “lasers” are only specified in 6A005.d.

Technical Note:

‘Non-repetitive pulsed’ refers to “lasers” that produce either a single output pulse or that have a time interval between pulses exceeding one minute.

Note 3:   6A005 includes fibre “lasers”.

Note 4:   The control status of “lasers” incorporating frequency conversion (i.e., wavelength change) by means other than one “laser” pumping another “laser” is determined by applying the control parameters for both the output of the source “laser” and the frequency-converted optical output.

Note 5:   6A005 does not control “lasers” as follows:

a.  Ruby with output energy below 20 J;

b.  Nitrogen;

c.  Krypton.

Technical Note:

In 6A005 ‘Wall-plug efficiency’ is defined as the ratio of “laser” output power (or “average output power”) to total electrical input power required to operate the “laser”, including the power supply/conditioning and thermal conditioning/heat exchanger.

a.  Non-“tunable” continuous wave “(CW) lasers” having any of the following:

1.  Output wavelength less than 150 nm and output power exceeding 1 W;

2.  Output wavelength of 150 nm or more but not exceeding 510 nm and output power exceeding 30 W;

Note:   6A005.a.2. does not control Argon “lasers” having an output power equal to or less than 50 W.

3.  Output wavelength exceeding 510 nm but not exceeding 540 nm and any of the following:

a.  Single transverse mode output and output power exceeding 50 W; or

b.  Multiple transverse mode output and output power exceeding 150 W;

4.  Output wavelength exceeding 540 nm but not exceeding 800 nm and output power exceeding 30 W;

5.  Output wavelength exceeding 800 nm but not exceeding 975 nm and any of the following:

a.  Single transverse mode output and output power exceeding 50 W; or

b.  Multiple transverse mode output and output power exceeding 80 W;

6.  Output wavelength exceeding 975 nm but not exceeding 1 150  nm and any of the following:

a.  Single transverse mode and output power exceeding 200 W; or

b.  Multiple transverse mode output and any of the following:

1.  ‘Wall-plug efficiency’ exceeding 18 % and output power exceeding 500 W; or

2.  Output power exceeding 2 kW;

Note 1:   6A005.a.6.b. does not control multiple transverse mode, industrial “lasers” with output power exceeding 2 kW and not exceeding 6 kW with a total mass greater than 1 200  kg. For the purpose of this note, total mass includes all components required to operate the “laser”, e.g., “laser”, power supply, heat exchanger, but excludes external optics for beam conditioning and/or delivery.

Note 2:   6A005.a.6.b. does not control multiple transverse mode, industrial “lasers” having any of the following:

a.  Output power exceeding 500 W but not exceeding 1 kW and having all of the following:

1.  Beam Parameter Product (BPP) exceeding 0,7 mm•mrad; and

2.  ‘Brightness’ not exceeding 1 024 W/( mm•mrad)2;

b.  Output power exceeding 1 kW but not exceeding 1,6 kW and having a BPP exceeding 1,25 mm•mrad

c.  Output power exceeding 1,6 kW but not exceeding 2,5 kW and having a BPP exceeding 1,7 mm•mrad;

d.  Output power exceeding 2,5 kW but not exceeding 3,3 kW and having a BPP exceeding 2,5 mm•mrad;

e.  Output power exceeding 3,3 kW but not exceeding 4 kW and having a BPP exceeding 3,5 mm•mrad;

f.  Output power exceeding 4 kW but not exceeding 5 kW and having a BPP exceeding 5 mm•mrad;

g.  Output power exceeding 5 kW but not exceeding 6 kW and having a BPP exceeding 7,2 mm•mrad;

h.  Output power exceeding 6 kW but not exceeding 8 kW and having a BPP exceeding 12 mm•mrad; or

i.  Output power exceeding 8 kW but not exceeding 10 kW and having a BPP exceeding 24 mm•mrad.

Technical Note:

For the purpose of 6A005.a.6.b. Note 2.a., ‘brightness’ is defined as the output power of the “laser” divided by the squared Beam Parameter Product (BPP), i.e., (output power)/BPP2.

7.  Output wavelength exceeding 1 150  nm but not exceeding 1 555  nm and of the following:

a.  Single transverse mode and output power exceeding 50 W; or

b.  Multiple transverse mode and output power exceeding 80 W; or

8.  Output wavelength exceeding 1 555  nm and output power exceeding 1 W;

3.A.2

N. B.  See also in correspondence to 6A205

b.  Non-“tunable”“pulsed lasers” having any of the following:

1.  Output wavelength less than 150 nm and any of the following:

a.  Output energy exceeding 50 mJ per pulse and “peak power” exceeding 1 W; or

b.  “Average output power” exceeding 1 W;

2.  Output wavelength of 150 nm or more but not exceeding 510 nm and any of the following:

a.  Output energy exceeding 1,5 J per pulse and “peak power” exceeding 30 W; or

b.  “Average output power” exceeding 30 W;

Note:   6A005.b.2.b. does not control Argon “lasers” having an “average output power” equal to or less than 50 W.

3.  Output wavelength exceeding 510 nm but not exceeding 540 nm and any of the following:

a.  Single transverse mode output and any of the following:

1.  Output energy exceeding 1,5 J per pulse and “peak power” exceeding 50 W; or

2.  “Average output power” exceeding 50 W; or

b.  Multiple transverse mode output and any of the following:

1.  Output energy exceeding 1,5 J per pulse and “peak power” exceeding 150 W; or

2.  “Average output power” exceeding 150 W;

4.  Output wavelength exceeding 540 nm but not exceeding 800 nm and any of the following:

a.  “Pulse duration” less than 1 ps and any of the following:

1.  Output energy exceeding 0,005 J per pulse and “peak power” exceeding 5 GW; or

2.  “Average output power” exceeding 20 W; or

b.  “Pulse duration” equal to or exceeding 1 ps and any of the following:

1.  Output energy exceeding 1,5 J per pulse and “peak power” exceeding 30 W; or

2.  “Average output power” exceeding 30 W;

5.  Output wavelength exceeding 800 nm but not exceeding 975 nm and any of the following:

a.  “Pulse duration” less than 1 ps and any of the following:

1.  Output energy exceeding 0,005 J per pulse and “peak power” exceeding 5 GW; or

2.  Single transverse mode output and “average output power” exceeding 20 W;

b.  “Pulse duration” equal to or exceeding 1 ps and not exceeding 1 μs and any of the following:

1.  Output energy exceeding 0,5 J per pulse and “peak power” exceeding 50 W;

2.  Single transverse mode output and “average output power” exceeding 20 W; or

3.  Multiple transverse mode output and “average output power” exceeding 50 W; or

c.  “Pulse duration” exceeding 1 μs and any of the following:

1.  Output energy exceeding 2 J per pulse and “peak power” exceeding 50 W;

2.  Single transverse mode output and “average output power” exceeding 50 W; or

3.  Multiple transverse mode output and “average output power” exceeding 80 W;

6.  Output wavelength exceeding 975 nm but not exceeding 1 150  nm and any of the following:

a.  “Pulse duration” of less than 1 ps, and any of following:

1.  Output “peak power” exceeding 2 GW per pulse;

2.  “Average output power” exceeding 10 W; or

3.  Output energy exceeding 0,002 J per pulse;

b.  “Pulse duration” equal to or exceeding 1 ps and less than 1 ns and any of the following:

1.  Output “peak power” exceeding 5 GW per pulse;

2.  “Average output power” exceeding 10 W; or

3.  Output energy exceeding 0,1 J per pulse;

c.  “Pulse duration” equal to or exceeding 1 ns but not exceeding 1 μs, and any of the following:

1.  Single transverse mode output and any of the following:

a.  “Peak power” exceeding 100 MW;

b.  “Average output power” exceeding 20 W limited by design to a maximum pulse repetition frequency less than or equal to 1 kHz;

c.  ‘Wall-plug efficiency’ exceeding 12 %, “average output power” exceeding 100 W and capable of operating at a pulse repetition frequency greater than 1 kHz;

d.  “Average output power” exceeding 150 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or

e.  Output energy exceeding 2 J per pulse; or

2.  Multiple transverse mode output and any of the following:

a.  “Peak power” exceeding 400 MW;

b.  ‘Wall-plug efficiency’ exceeding 18 % and “average output power” exceeding 500 W;

c.  “Average output power” exceeding 2 kW; or

d.  Output energy exceeding 4 J per pulse; or

d.  “Pulse duration” exceeding 1 μs and any of the following:

1.  Single transverse mode output and any of the following:

a.  “Peak power” exceeding 500 kW;

b.  ‘Wall-plug efficiency’ exceeding 12 % and “average output power” exceeding 100 W; or

c.  “Average output power” exceeding 150 W; or

2.  Multiple transverse mode output and any of the following:

a.  “Peak power” exceeding 1 MW;

b.  ‘Wall-plug efficiency’ exceeding 18 % and “average output power” exceeding 500 W; or

c.  “Average output power” exceeding 2 kW;

7.  Output wavelength exceeding 1 150  nm but not exceeding 1 555  nm, and any of the following:

a.  “Pulse duration” not exceeding 1 μs and any of the following:

1.  Output energy exceeding 0,5 J per pulse and “peak power” exceeding 50 W;

2.  Single transverse mode output and “average output power” exceeding 20 W; or

3.  Multiple transverse mode output and “average output power” exceeding 50 W; or

b.  “Pulse duration” exceeding 1 μs and any of the following:

1.  Output energy exceeding 2 J per pulse and “peak power” exceeding 50 W;

2.  Single transverse mode output and “average output power” exceeding 50 W; or

3.  Multiple transverse mode output and “average output power” exceeding 80 W; or

8.  Output wavelength exceeding 1 555  nm and any of the following:

a.  Output energy exceeding 100 mJ per pulse and “peak power” exceeding 1 W; or

b.  “Average output power” exceeding 1 W;

c.  “Tunable”“lasers” having any of the following:

1.  Output wavelength less than 600 nm and any of the following:

a.  Output energy exceeding 50 mJ per pulse and “peak power” exceeding 1 W; or

b.  Average or CW output power exceeding 1 W;

Note:   6A005.c.1. does not control dye lasers or other liquid lasers, having a multimode output and a wavelength of 150 nm or more but not exceeding 600 nm and all of the following:

1.  Output energy less than 1,5 J per pulse or a “peak power” less than 20 W; and

2.  Average or CW output power less than 20 W.

2.  Output wavelength of 600 nm or more but not exceeding 1 400  nm, and any of the following:

a.  Output energy exceeding 1 J per pulse and “peak power” exceeding 20 W; or

b.  Average or CW output power exceeding 20 W; or

3.  Output wavelength exceeding 1 400  nm and any of the following:

a.  Output energy exceeding 50 mJ per pulse and “peak power” exceeding 1 W; or

b.  Average or CW output power exceeding 1 W;

d.  Other “lasers”, not specified in 6A005.a., 6A005.b. or 6A005.c. as follows:

1.  Semiconductor “lasers” as follows:

Note 1:   6A005.d.1. includes semiconductor “lasers” having optical output connectors (e.g., fibre optic pigtails).

Note 2:   The control status of semiconductor “lasers” specially designed for other equipment is determined by the control status of the other equipment.

a.  Individual single-transverse mode semiconductor “lasers” having any of the following:

1.  Wavelength equal to or less than 1 510  nm and average or CW output power, exceeding 1,5 W; or

2.  Wavelength greater than 1 510  nm and average or CW output power, exceeding 500 mW;

b.  Individual, multiple-transverse mode semiconductor “lasers” having any of the following:

1.  Wavelength of less than 1 400  nm and average or CW output power, exceeding 15W;

2.  Wavelength equal to or greater than 1 400  nm and less than 1 900  nm and average or CW output power, exceeding 2,5 W; or

3.  Wavelength equal to or greater than 1 900  nm and average or CW output power, exceeding 1 W;

c.  Individual semiconductor “laser”‘bars’, having any of the following:

1.  Wavelength of less than 1 400  nm and average or CW output power, exceeding 100 W;

2.  Wavelength equal to or greater than 1 400  nm and less than 1 900  nm and average or CW output power, exceeding 25 W; or

3.  Wavelength equal to or greater than 1 900  nm and average or CW output power, exceeding 10 W;

d.  Semiconductor “laser”‘stacked arrays’ (two-dimensional arrays) having any of the following:

1.  Wavelength less than 1 400  nm and having any of the following:

a.  Average or CW total output power less than 3 kW and having average or CW output ‘power density’ greater than 500 W/cm2;

b.  Average or CW total output power equal to or exceeding 3 kW but less than or equal to 5 kW, and having average or CW output ‘power density’ greater than 350 W/cm2;

c.  Average or CW total output power exceeding 5 kW;

d.  Peak pulsed ‘power density’ exceeding 2 500 W/cm2; or

e.  Spatially coherent average or CW total output power, greater than 150 W;

2.  Wavelength greater than or equal to 1 400  nm but less than 1 900  nm, and having any of the following:

a.  Average or CW total output power less than 250 W and average or CW output ‘power density’ greater than 150 W/cm2;

b.  Average or CW total output power equal to or exceeding 250 W but less than or equal to 500 W, and having average or CW output ‘power density’ greater than 50 W/cm2;

c.  Average or CW total output power exceeding 500 W;

d.  Peak pulsed ‘power density’ exceeding 500 W/cm2; or

e.  Spatially coherent average or CW total output power, exceeding 15 W;

3.  Wavelength greater than or equal to 1 900  nm and having any of the following:

a.  Average or CW output ‘power density’ greater than 50 W/cm2;

b.  Average or CW output power greater than 10 W; or

c.  Spatially coherent average or CW total output power, exceeding 1,5 W; or

4.  At least one “laser”‘bar’ specified in 6A005.d.1.c.;

Technical Note:

For the purposes of 6A005.d.1.d., ‘power density’ means the total “laser” output power divided by the emitter surface area of the ‘stacked array’.

e.  Semiconductor “laser”‘stacked arrays’, other than those specified in 6A005.d.1.d., having all of the following:

1.  Specially designed or modified to be combined with other ‘stacked arrays’ to form a larger ‘stacked array’; and

2.  Integrated connections, common for both electronics and cooling;

Note 1:   ‘Stacked arrays’, formed by combining semiconductor “laser”‘stacked arrays’ specified by 6A005.d.1.e., that are not designed to be further combined or modified are specified by 6A005.d.1.d.

Note 2:   ‘Stacked arrays’, formed by combining semiconductor “laser”‘stacked arrays’ specified by 6A005.d.1.e., that are designed to be further combined or modified are specified by 6A005.d.1.e.

Note 3:   6A005.d.1.e. does not control modular assemblies of single ‘bars’ designed to be fabricated into end-to-end stacked linear arrays.

Technical Notes:

1.  Semiconductor “lasers” are commonly called “laser” diodes.

2.  A ‘bar’ (also called a semiconductor “laser”‘bar’, a “laser” diode ‘bar’ or diode ‘bar’) consists of multiple semiconductor “lasers” in a one-dimensional array.

3.  A ‘stacked array’ consists of multiple ‘bars’ forming a two-dimensional array of semiconductor “lasers”.

2.  Carbon monoxide (CO) “lasers” having any of the following:

a.  Output energy exceeding 2 J per pulse and “peak power” exceeding 5 kW; or

b.  Average or CW output power exceeding 5 kW;

3.  Carbon dioxide (CO2) “lasers” having any of the following:

a.  CW output power exceeding 15 kW;

b.  Pulsed output with a “pulse duration” exceeding 10 μs and any of the following:

1.  “Average output power” exceeding 10 kW; or

2.  “Peak power” exceeding 100 kW; or

c.  Pulsed output with a “pulse duration” equal to or less than 10 μs and any of the following:

1.  Pulse energy exceeding 5 J per pulse; or

2.  “Average output power” exceeding 2,5 kW;

3.A.2

a.  Copper vapor lasers having both of the following characteristics:

1.  Operating at wavelengths between 500 and 600 nm; and

2.  An average output power equal to or greater than 30 W;

4.  Excimer “lasers” having any of the following:

a.  Output wavelength not exceeding 150 nm and any of the following:

1.  Output energy exceeding 50 mJ per pulse; or

2.  “Average output power” exceeding 1 W;

b.  Output wavelength exceeding 150 nm but not exceeding 190 nm and any of the following:

1.  Output energy exceeding 1,5 J per pulse; or

2.  “Average output power” exceeding 120 W;

c.  Output wavelength exceeding 190 nm but not exceeding 360 nm and any of the following:

1.  Output energy exceeding 10 J per pulse; or

2.  “Average output power” exceeding 500 W; or

d.  Output wavelength exceeding 360 nm and any of the following:

1.  Output energy exceeding 1,5 J per pulse; or

2.  “Average output power” exceeding 30 W;

N.B.:   For excimer “lasers” specially designed for lithography equipment, see 3B001.

5.  “Chemical lasers” as follows:

a.  Hydrogen Fluoride (HF) “lasers”;

b.  Deuterium Fluoride (DF) “lasers”;

c.  “Transfer lasers” as follows:

1.  Oxygen Iodine (O2-I) “lasers”;

2.  Deuterium Fluoride-Carbon dioxide (DF-CO2) “lasers”;

6.  ‘Non-repetitive pulsed’ Nd: glass “lasers” having any of the following:

a.  “Pulse duration” not exceeding 1 μs and output energy exceeding 50 J per pulse; or

b.  “Pulse duration” exceeding 1 μs and output energy exceeding 100 J per pulse;

Note:   ‘Non-repetitive pulsed’ refers to “lasers” that produce either a single output pulse or that have a time interval between pulses exceeding one minute.

e.  Components as follows:

1.  Mirrors cooled either by ‘active cooling’ or by heat pipe cooling;

Technical Note:

‘Active cooling’ is a cooling technique for optical components using flowing fluids within the subsurface (nominally less than 1 mm below the optical surface) of the optical component to remove heat from the optic.

2.  Optical mirrors or transmissive or partially transmissive optical or electro-optical components, other than fused tapered fibre combiners and Multi-Layer Dielectric gratings (MLDs), specially designed for use with specified “lasers”;

Note:   Fibre combiners and MLDs are specified in 6A005.e.3.

3.  Fibre laser components as follows:

a.  Multimode to multimode fused tapered fibre combiners having all of the following:

1.  An insertion loss better (less) than or equal to 0,3 dB maintained at a rated total average or CW output power (excluding output power transmitted through the single mode core if present) exceeding 1 000 W; and

2.  Number of input fibres equal to or greater than 3;

b.  Single mode to multimode fused tapered fibre combiners having all of the following:

1.  An insertion loss better (less) than 0,5 dB maintained at a rated total average or CW output power exceeding 4 600 W;

2.  Number of input fibres equal to or greater than 3; and

3.  Having any of the following:

a.  A Beam Parameter Product (BPP) measured at the output not exceeding 1,5 mm mrad for a number of input fibres less than or equal to 5; or

b.  A BPP measured at the output not exceeding 2,5 mm mrad for a number of input fibres greater than 5;

c.  MLDs having all of the following:

1.  Designed for spectral or coherent beam combination of 5 or more fibre lasers; and

2.  CW Laser Induced Damage Threshold (LIDT) greater than or equal to 10 kW/cm2.

f.  Optical equipment as follows:

N.B.:   For shared aperture optical elements, capable of operating in “Super-High Power Laser” (“SHPL”) applications, see the Military Goods Controls.

1.  Dynamic wavefront (phase) measuring equipment capable of mapping at least 50 positions on a beam wavefront and any of the following:

a.  Frame rates equal to or more than 100 Hz and phase discrimination of at least 5 % of the beam's wavelength; or

b.  Frame rates equal to or more than 1 000  Hz and phase discrimination of at least 20 % of the beam's wavelength;

2.  “Laser” diagnostic equipment capable of measuring “SHPL” system angular beam steering errors of equal to or less than 10 μrad;

3.  Optical equipment and components, specially designed for a phased-array “SHPL” system for coherent beam combination to an accuracy of λ/10 at the designed wavelength, or 0,1 μm, whichever is the smaller;

4.  Projection telescopes specially designed for use with “SHPL” systems;

g.  ‘Laser acoustic detection equipment’ having all of the following:

1.  CW laser output power equal to or exceeding 20 mW;

2.  Laser frequency stability equal to or better (less) than 10 MHz;

3.  Laser wavelengths equal to or exceeding 1 000  nm but not exceeding 2 000  nm;

4.  Optical system resolution better (less) than 1 nm; and

5.  Optical Signal to Noise ratio equal to or exceeding 103.

Technical Note:

‘Laser acoustic detection equipment’ is sometimes referred to as a Laser Microphone or Particle Flow Detection Microphone.

3.A.2

h.  Pulsed excimer lasers (XeF, XeCl, KrF) having all of the following characteristics:

1.  Operating at wavelengths between 240 and 360 nm;

2.  A repetition rate greater than 250 Hz; and

3.  An average output power greater than 500 W;

6A202

Photomultiplier tubes having both of the following characteristics:

a.  Photocathode area of greater than 20 cm2; and

b.  Anode pulse rise time of less than 1 ns.

5.A.1.

Photomultiplier tubes having both of the following characteristics:

a.  Photocathode area of greater than 20 cm2; and

b.  Anode pulse rise time of less than 1 ns.

6A203

Cameras and components, other than those specified in 6A003, as follows:

N.B. 1:   “Software” specially designed to enhance or release the performance of a camera or imaging device to meet the characteristics of 6A203.a., 6A203.b. or 6A203.c. is specified in 6D203.

N.B. 2:   “Technology” in the form of codes or keys to enhance or release the performance of a camera or imaging device to meet the characteristics of 6A203.a., 6A203.b. or 6A203.c is specified in 6E203.

Note:

6A203.a. to 6A203.c. does not control cameras or imaging devices 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 6D203 to enhance or release the performance to meet the characteristics of 6A203; or

3.  They require “technology” in the form of keys or codes as specified in 6E203 to enhance or release the performance to meet the characteristics of 6A203.

5.B.3.

High-speed cameras and imaging devices and components therefor, as follows:

N.B.:  “Software” specially designed to enhance or release the performance of cameras or imaging devices to meet the characteristics below is controlled in 5.D.1 and 5.D.2.

6A203

a.  Streak cameras, and specially designed components therefor, as follows:

1.  Streak cameras with writing speeds greater than 0,5 mm/μs;

2.  Electronic streak cameras capable of 50 ns or less time resolution;

3.  Streak tubes for cameras specified in 6A203.a.2.;

4.  Plug-ins specially designed for use with streak cameras which have modular structures and that enable the performance specifications in 6A203.a.1. or 6A203.a.2.;

5.  Synchronizing electronics units, rotor assemblies consisting of turbines, mirrors and bearings specially designed for cameras specified in 6A203.a.1.;

5.B.3.a

a.  Streak cameras, and specially designed components therefor, as follows:

1.  Streak cameras with writing speeds greater than 0,5 mm/μs;

2.  Electronic streak cameras capable of 50 ns or less time resolution;

3.  Streak tubes for cameras specified in 5.B.3.a.2.;

4.  Plug-ins specially designed for use with streak cameras which have modular structures and that enable the performance specifications in 5.B.3.a.1 or 5.B.3.a.2.;

5.  Synchronizing electronics units, rotor assemblies consisting of turbines, mirrors and bearings specially designed for cameras specified in 5.B.3.a.1.

6A203

b.  Framing cameras, and specially designed components therefor, as follows:

1.  Framing cameras with recording rates greater than 225 000 frames per second;

2.  Framing cameras capable of 50 ns or less frame exposure time;

3.  Framing tubes and solid-state imaging devices having a fast image gating (shutter) time of 50ns or less specially designed for cameras specified in 6A203.b.1 or 6A203.b.2.;

4.  Plug-ins specially designed for use with framing cameras which have modular structures and that enable the performance specifications in 6A203.b.1 or 6A203.b.2.;

5.  Synchronizing electronics units, rotor assemblies consisting of turbines, mirrors and bearings specially designed for cameras specified in 6A203.b.1 or 6A203.b.2.;

Technical Note:

In 6A203.b., high speed single frame cameras can be used alone to produce a single image of a dynamic event, or several such cameras can be combined in a sequentially-triggered system to produce multiple images of an event.

5.B.3.b

b.  Framing cameras and specially designed components therefor as follows:

1.  Framing cameras with recording rates greater than 225 000 frames per second;

2.  Framing cameras capable of 50 ns or less frame exposure time;

3.  Framing tubes and solid-state imaging devices having a fast image gating (shutter) time of 50ns or less specially designed for cameras specified in 5.B.3.b.1 or 5.B.3.b.2.;

4.  Plug-ins specially designed for use with framing cameras which have modular structures and that enable the performance specifications in 5.B.3.b.1 or 5.B.3.b.2.;

5.  Synchronizing electronics units, rotor assemblies consisting of turbines, mirrors and bearings specially designed for cameras specified in 5.B.3.b.1 or 5.B.3.b.2.

6A203

c.  Solid state or electron tube cameras, and specially designed components therefor, as follows:

1.  Solid-state cameras or electron tube cameras with a fast image gating (shutter) time of 50 ns or less;

2.  Solid-state imaging devices and image intensifiers tubes having a fast image gating (shutter) time of 50 ns or less specially designed for cameras specified in 6A203.c.1.;

3.  Electro-optical shuttering devices (Kerr or Pockels cells) with a fast image gating (shutter) time of 50 ns or less;

4.  Plug-ins specially designed for use with cameras which have modular structures and that enable the performance specifications in 6A203.c.1.

5.B.3.c

c.  Solid state or electron tube cameras and specially designed components therefor as follows:

1.  Solid-state cameras or electron tube cameras with a fast image gating (shutter) time of 50 ns or less;

2.  Solid-state imaging devices and image intensifiers tubes having a fast image gating (shutter) time of 50 ns or less specially designed for cameras specified in 5.B.3.c.1.;

3.  Electro-optical shuttering devices (Kerr or Pockels cells) with a fast image gating (shutter) time of 50 ns or less;

4.  Plug-ins specially designed for use with cameras which have modular structures and that enable the performance specifications in 5.B.3.c.1.

Technical Note:

High speed single frame cameras can be used alone to produce a single image of a dynamic event, or several such cameras can be combined in a sequentially-triggered system to produce multiple images of an event.

6A203

d.  Radiation-hardened TV cameras, or lenses therefor, specially designed or rated as radiation hardened to withstand a total radiation dose greater than 50 × 103 Gy(silicon) (5 × 106 rad (silicon)) without operational degradation.

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.

1.A.2.

Radiation-hardened TV cameras, or lenses therefor, specially designed or rated as radiation hardened to withstand a total radiation dose greater than 5 × 104 Gy (silicon) without operational degradation.

Technical Note:

The term Gy (silicon) refers to the energy in Joules per kilogram absorbed by an unshielded silicon sample when exposed to ionizing radiation.

6A205

“Lasers”, “laser” amplifiers and oscillators, other than those specified in 0B001.g.5., 0B001.h.6. and 6A005; as follows:

N.B.:  For copper vapour lasers, see 6A005.b.

3.A.2.

Lasers, laser amplifiers and oscillators as follows:

N.B.  See also in correspondence to 6A005

6A205

a.  Argon ion “lasers” having both of the following characteristics:

1.  Operating at wavelengths between 400 nm and 515 nm; and

2.  An average output power greater than 40 W;

3.A.2.b

Argon ion lasers having both of the following characteristics:

1.  Operating at wavelengths between 400 and 515 nm; and

2.  An average output power greater than 40 W;

6A205

b.  Tunable pulsed single-mode dye laser oscillators having all of the following characteristics:

1.  Operating at wavelengths between 300 nm and 800 nm;

2.  An average output power greater than 1 W;

3.  A repetition rate greater than 1 kHz; and

4.  Pulse width less than 100 ns;

3.A.2.d

Tunable pulsed single-mode dye laser oscillators having all of the following characteristics:

1.  Operating at wavelengths between 300 and 800 nm;

2.  An average output power greater than 1 W;

3.  A repetition rate greater than 1 kHz; and

4.  Pulse width less than 100 ns;

6A205

c.  Tunable pulsed dye laser amplifiers and oscillators, having all of the following characteristics:

1.  Operating at wavelengths between 300 nm and 800 nm;

2.  An average output power greater than 30 W;

3.  A repetition rate greater than 1 kHz; and

4.  Pulse width less than 100 ns;

Note:   6A205.c. does not control single mode oscillators;

3.A.2.e

Tunable pulsed dye laser amplifiers and oscillators having all of the following characteristics:

1.  Operating at wavelengths between 300 and 800 nm;

2.  An average output power greater than 30 W;

3.  A repetition rate greater than 1 kHz; and

4.  Pulse width less than 100 ns;

Note:  Item 3.A.2.e. does not control single mode oscillators.

6A205

d.  Pulsed carbon dioxide “lasers” having all of the following characteristics:

1.  Operating at wavelengths between 9 000  nm and 11 000  nm;

2.  A repetition rate greater than 250 Hz;

3.  An average output power greater than 500 W; and

4.  Pulse width of less than 200 ns;

3.A.2.g

Pulsed carbon dioxide lasers having all of the following characteristics:

1.  Operating at wavelengths between 9 000 and 11 000  nm;

2.  A repetition rate greater than 250 Hz;

3.  An average output power greater than 500 W; and

4.  Pulse width of less than 200 ns;

Note:  Item 3.A.2.g. does not control the higher power (typically 1 to 5 kW) industrial CO2 lasers used in applications such as cutting and welding, as these latter lasers are either continuous wave or are pulsed with a pulse width greater than 200 ns.

6A205

e.  Para-hydrogen Raman shifters designed to operate at 16 μm output wavelength and at a repetition rate greater than 250 Hz;

3.A.2.i.

Para-hydrogen Raman shifters designed to operate at 16 mm output wavelength and at a repetition rate greater than 250 Hz.

6A205

f.  Neodymium-doped (other than glass) “lasers” with an output wavelength between 1 000 and 1 100  nm having either of the following

1.  Pulse-excited and Q-switched with a pulse duration equal to or more than 1 ns, and having either of the following:

a.  A single–transverse mode output with an average output power greater than 40 W; or

b.  A multiple-transverse mode output having an average power greater than 50 W; or

2.  Incorporating frequency doubling to give an output wavelength between 500 and 550 nm with an average output power of more than 40 W;

3.A.2.c.

Neodymium-doped (other than glass) lasers with an output wavelength between 1 000 and 1 100  nm having either of the following:

1.  Pulse-excited and Q-switched with a pulse duration equal to or greater than 1 ns, and having either of the following:

a.  A single-transverse mode output with an average output power greater than 40 W; or

b.  A multiple-transverse mode output with an average output power greater than 50 W;

or

2.  Incorporating frequency doubling to give an output wavelength between 500 and 550 nm with an average output power of greater than 40 W;

6A205

g.  Pulsed carbon monoxide lasers, other than those specified in 6A005.d.2., having all of the following:

1.  Operating at wavelengths between 5 000 and 6 000  nm;

2.  A repetition rate greater than 250 Hz;

3.  An average output power greater than 200 W; and

4.  Pulse width of less than 200 ns.

3.A.2.j

Pulsed carbon monoxide lasers having all of the following characteristics:

1.  Operating at wavelengths between 5 000 and 6 000  nm;

2.  A repetition rate greater than 250 Hz;

3.  An average output power greater than 200 W; and

4.  Pulse width of less than 200 ns;

Note:  Item 3.A.2.j. does not control the higher power (typically 1 to 5 kW) industrial CO lasers used in applications such as cutting and welding, as these latter lasers are either continuous wave or are pulsed with a pulse width greater than 200 ns

6A225

Velocity interferometers for measuring velocities exceeding 1 km/s during time intervals of less than 10 microseconds.

Note:   6A225 includes velocity interferometers such as VISARs (Velocity Interferometer Systems for Any Reflector), DLIs (Doppler Laser Interferometers) and PDV (Photonic Doppler Velocimeters) also known as Het-V (Heterodyne Velocimeters).

5.B.5.a

Specialized instrumentation for hydrodynamic experiments, as follows:

a.  Velocity interferometers for measuring velocities exceeding 1 km/s during time intervals of less than 10 ms;

6A226

Pressure sensors, as follows:

a.  Shock pressure gauges capable of measuring pressures greater than 10 GPa, including gauges made with manganin, ytterbium, and polyvinylidene bifluoride (PVBF, PVF2);

b.  Quartz pressure transducers for pressures greater than 10 GPa.

5.B.5.b.

b.  Shock pressure gauges capable of measuring pressures greater than 10 GPa, including gauges made with manganin, ytterbium, and polyvinylidene bifluoride (PVBF, PVF2);

5.B.5.c.

c.  Quartz pressure transducers for pressures greater than 10 GPa.

Note:  Item 5.B.5.a. includes velocity interferometers such as VISARs (Velocity Interferometer Systems for Any Reflector), DLIs (Doppler Laser Interferometers) and PDV (Photonic Doppler Velocimeters) also known as Het-V (Heterodyne Velocimeters).

6D    Software



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

6D203

“Software” specially designed to enhance or release the performance of cameras or imaging devices to meet the characteristics of 6A203.a. to 6A203.c.

5.D.2.

“Software” or encryption keys/codes specially designed to enhance or release the performance characteristics of equipment controlled in Item 5.B.3.

6E    Technology



The corresponding systems, equipment and components as identified in 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

Nuclear Suppliers Group's control list as in INFCIRC/254/Rev.9/Part 2

6E201

“Technology” according to the General Technology Note for the “use” of equipment specified in 6A003, 6A005.a.2., 6A005.b.2., 6A005.b.3., 6A005.b.4., 6A005.b.6., 6A005.c.2., 6A005.d.3.c., 6A005.d.4.c., 6A202, 6A203, 6A205, 6A225 or 6A226.

5.D.1.

“Technology” according to the Technology Controls for the “development”, “production” or “use” of equipment, material or “software” specified in 5.A. through 5.D.

6E203

“Technology”, in the form of codes or keys, to enhance or release the performance of cameras or imaging devices to meet the characteristics of 6A203a. to 6A203.c.

5.D.1.

“Technology” according to the Technology Controls for the “development”, “production” or “use” of equipment, material or “software” specified in 5.A. through 5.D.

▼M24




ANNEX II

List of other goods and technology, including software, referred to in Article 3a

INTRODUCTORY NOTES

1. Unless otherwise stated, reference numbers used in the column entitled “Description” refer to the descriptions of dual-use items set out in Annex I to Regulation (EC) No 428/2009.

2. A reference number in the column entitled “Related item from Annex I to Regulation (EC) No 428/2009” means that the characteristics of the item described in the column “Description” lie outside the parameters set out in the description of the dual-use entry referred to.

3. Definitions of terms between ‘single quotation marks’ are given in a technical note to the relevant item.

4. Definitions of terms between “double quotation marks” can be found in Annex I to Regulation (EC) No 428/2009.

GENERAL NOTES

1. 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.

2. The goods specified in this Annex include both new and used goods.

GENERAL TECHNOLOGY NOTE (GTN)

(To be read in conjunction with section II.B.)

1. The sale, supply, transfer or export of “technology” which is “required” for the “development”, “production” or “use” of goods the sale, supply, transfer or export of which is controlled in Part A (Goods) below, is controlled in accordance with the provisions of Section II.B.

2. The “technology”“required” for the “development”, “production” or “use” of goods under control remains under control even when applicable to non-controlled goods.

3. Controls do not apply to that “technology” which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which are not controlled or the export of which has been authorised in accordance with Regulation (EC) No 423/2007 or this Regulation.

4. 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.

II.A.   GOODS



A0.  Nuclear Materials, Facilities, and Equipment

No

Description

Related item from Annex I to Regulation (EC) No 428/2009

II.A0.001

Hollow cathode lamps as follows:

a.  Iodine hollow cathode lamps with windows in pure silicon or quartz

b.  Uranium hollow cathode lamps

II.A0.002

Faraday isolators in the wavelength range 500 nm – 650 nm

II.A0.003

Optical gratings in the wavelength range 500 nm – 650 nm

II.A0.004

Optical fibres in the wavelength range 500 nm – 650 nm coated with anti-reflecting layers in the wavelength range 500 nm – 650 nm and having a core diameter greater than 0,4 mm but not exceeding 2 mm

II.A0.005

Nuclear reactor vessel components and testing equipment, other than those specified in 0A001, as follows:

1.  Seals

2.  Internal components

3.  Sealing, testing and measurement equipment

0A001

II.A0.006

Nuclear detection systems for detection, identification or quantification of radioactive materials and radiation of nuclear origin and specially designed components thereof other than those specified in 0A001.j. or 1A004.c.

0A001.j

1A004.c

II.A0.007

Bellows-sealed valves made of aluminium alloy or stainless steel type 304, 304L or 316L.

Note:  This item does not cover bellow valves defined in 0B001.c.6 and 2A226.

0B001.c.6

2A226

II.A0.008

Laser mirrors, other than those specified in 6A005.e, consisting of substrates having a thermal expansion coefficient of 10– 6 K– 1 or less at 20 °C (e.g. fused silica or sapphire).

Note:  This item does not cover optical systems specially designed for astronomical applications, except if the mirrors contain fused silica.

0B001.g.5, 6A005.e

II.A0.009

Laser lenses, other than those specified in 6A005.e.2, consisting of substrates having a thermal expansion coefficient of 10– 6 K– 1 or less at 20 °C (e.g. fused silica).

0B001.g, 6A005.e.2

II.A0.010

Pipes, piping, flanges, fittings made of, or lined with, nickel or nickel alloy containing more than 40 % nickel by weight, other than those specified in 2B350.h.1.

2B350

II.A0.011

Vacuum pumps other than those specified in 0B002.f.2 or 2B231, as follows:

Turbomolecular pumps having a flowrate equal to or greater than 400 l/s,

Roots type vacuum roughing pumps having a volumetric aspiration flowrate greater than 200 m3/h.

Bellows-sealed, scroll, dry compressor, and bellows-sealed, scroll, dry vacuum pumps.

0B002.f.2, 2B231

II.A0.012

Shielded enclosures for the manipulation, storage and handling of radioactive substances (Hot cells).

0B006

II.A0.013

‘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, other than those specified in 0C001.

0C001

II.A0.014

Detonation chambers having a capacity of explosion absorption of more than 2.5 kg TNT equivalent.

II.A0.015

‘Glove Boxes’, specially designed for radioactive isotopes, radioactive sources or radionuclides.

Technical Note:

‘Glove Boxes’ means equipment providing protection to the user, from hazardous vapour, particles or radiation, from materials inside the equipment being handled or processed by a person outside the equipment, by means of manipulators or gloves integrated into the equipment.

0B006

II.A0.016

Toxic gas monitoring systems designed for continuous operation and detection of Hydrogen Sulphide, and specially designed detectors therefore.

0A001

0B001.c

II.A0.017

Helium Leak Detectors.

0A001

0B001.c

A1.  aterials, chemicals, ‘microorganisms’ and ‘toxins’

No

Description

Related item from Annex I to Regulation (EC) No 428/2009

II.A1.001

Bis(2-ethylhexyl) phosphoric acid (HDEHP or D2HPA) CAS 298-07-7 solvent in any quantity, with a purity greater than 90 %.

II.A1.002

Fluorine gas (Chemical Abstract Number (CAS): 7782-41-4), with a purity of at least 95 %.

II.A1.003

Ring-shaped seals and gaskets, having an inner diameter of 400 mm or less, made of any of the following materials:

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;

d.  Polychlorotrifluoroethylene (PCTFE, e.g. Kel-F ®);

e.  Fluoro-elastomers (e.g., Viton ®, Tecnoflon ®);

f.  Polytetrafluoroethylene (PTFE).

II.A1.004

Personal equipment for detecting radiation of nuclear origin, including personal dosimeters.

Note:  This item does not cover nuclear detection systems defined in item 1A004.c.

1A004.c

II.A1.005

Electrolytic cells for fluorine production with an output capacity greater than 100 g of fluorine per hour.

Note:  This item does not cover electrolytic cells defined in item 1B225.

1B225

II.A1.006

Catalysts, other than those prohibited by 1A225, containing platinum, palladium or rhodium, usable 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.

1B231, 1A225

II.A1.007

Aluminium and its alloys, other than those specified in 1C002.b.4 or 1C202.a, in crude or semi-fabricated form having either of the following characteristics:

a.  Capable of an ultimate tensile strength of 460 MPa or more at 293 K (20 °C); or

b.  Having a tensile strength of 415 MPa or more at 298 K (25 °C).

1C002.b.4, 1C202.a

II.A1.008

Magnetic metals, of all types and of whatever form, having an initial relative permeability of 120 000 or more and a thickness between 0,05 and 0,1 mm.

1C003.a

II.A1.009

‘Fibrous or filamentary materials’ or prepregs, as follows:

N.B.  SEE ALSO II.A1.019.A.

a.  Carbon or aramid ‘fibrous or filamentary materials’ having either of the following characteristics:

1.  A ‘specific modulus’ exceeding 10 × 106 m; or

2.  A ‘specific tensile strength’ exceeding 17 × 104 m;

b.  Glass ‘fibrous or filamentary materials’ having either of the following characteristics:

1.  A ‘specific modulus’ exceeding 3,18 × 106 m; or

2.  A ‘specific tensile strength’ exceeding 76,2 × 103 m;

c.  Thermoset resin-impregnated continuous ‘yarns’, ‘rovings’, ‘tows’ or ‘tapes’ with a width of 15 mm or less (once prepregs), made from carbon or glass ‘fibrous or filamentary materials’ other than those specified in II.A1.010.a. or b.

Note:  This item does not cover ‘fibrous or filamentary materials’ defined in items 1C010.a, 1C010.b, 1C210.a and 1C210.b.

1C010.a

1C010.b

1C210.a

1C210.b

II.A1.010

Resin-impregnated or pitch-impregnated fibres (prepregs), metal or carbon-coated fibres (preforms) or ‘carbon fibre preforms’, as follows:

a.  Made from ‘fibrous or filamentary materials’ specified in II.A1.009 above;

b.  Epoxy resin ‘matrix’ impregnated carbon ‘fibrous or filamentary materials’ (prepregs), specified in 1C010.a, 1C010.b or 1C010.c, for the repair of aircraft structures or laminates, of which the size of individual sheets does not exceed 50 cm × 90 cm;

c.  Prepregs specified in 1C010.a, 1C010.b or 1C010.c, when impregnated with phenolic or epoxy resins having a glass transition temperature (Tg) less than 433 K (160 °C) and a cure temperature lower than the glass transition temperature.

Note:  This item does not cover ‘fibrous or filamentary materials’ defined in item 1C010.e.

1C010.e.

1C210

II.A1.011

Reinforced silicon carbide ceramic composites usable for nose tips, re-entry vehicles, nozzle flaps, usable in ‘missiles’, other than those specified in 1C107.

1C107

II.A1.012

Maraging steels, other than those specified in 1C116 or 1C216, ‘capable of’ an ultimate tensile strength of 2 050 MPa or more, at 293 K (20 °C).

Technical Note:

The phrase ‘maraging steel capable of’ encompasses maraging steel before or after heat treatment.

1C216

II.A1.013

Tungsten, tantalum, tungsten carbide, tantalum carbide and alloys, having both of the following characteristics:

a.  In forms having a hollow cylindrical or spherical symmetry (including cylinder segments) with an inside diameter between 50 mm and 300 mm; and

b.  A mass greater than 5 kg.

Note:  This item does not cover tungsten, tungsten carbide and alloys defined in item 1C226.

1C226

II.A1.014

Elemental powders of cobalt, neodymium or samarium or alloys or mixtures thereof containing at least 20 % by weight of cobalt, neodymium or samarium, with a particle size less than 200 μm.

II.A1.015

Pure tributyl phosphate (TBP) [CAS No 126-73-8] or any mixture having a TBP content of more than 5 % by weight.

II.A1.016

Maraging steel, other than those prohibited by 1C116, 1C216 or II.A1.012

Technical Note:

Maraging steels are iron alloys 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.

II.A1.017

Metals, metal powders and material as follows:

a.  Tungsten and tungsten alloys, other than those prohibited by 1C117, in the form of uniform spherical or atomized particles of 500 μm diameter or less with a tungsten content of 97 % by weight or more;

b.  Molybdenum and molybdenum alloys, other than those prohibited by 1C117, in the form of uniform spherical or atomized particles of 500 μm diameter or less with a molybdenum content of 97 % by weight or more;

c.  Tungsten materials in the solid form, other than those prohibited by 1C226, or II.A1.013 having material compositions as follows:

1.  Tungsten and alloys containing 97 % by weight or more of tungsten;

2.  Copper infiltrated tungsten containing 80 % by weight or more of tungsten; or

3.  Silver infiltrated tungsten containing 80 % by weight or more of tungsten.

II.A1.018

Soft magnetic alloys having a chemical composition as follows:

(a)  Iron content between 30 % and 60 %, and

(b)  Cobalt content between 40 % and 60 %.

II.A1.019

“Fibrous or filamentary materials” or prepregs, not prohibited by Annex I or by Annex II (under II.A1.009, II.A1.010) of this Regulation, or not specified by Annex I of Regulation (EC) No 428/2009, as follows:

(a)  Carbon “fibrous or filamentary materials”;

Note:  II.A1.019a. does not cover fabrics.

(b)  Thermoset resin-impregnated continuous “yarns”, “rovings”, “tows”, or “tapes”, made from carbon “fibrous or filamentary materials”;

(c)  Polyacrylonitrile (PAN) continuous “yarns”, “rovings”, “tows” or “tapes”

II.A1.020

Steel alloys in sheet or plate form, having any of the following characteristics:

(a)  Steel alloys ‘capable of’ ultimate tensile strength of 1 200 MPa or more, at 293 K (20 °C); or

(b)  Nitrogen-stabilised duplex stainless steel.

Note:  The phrase alloys ‘capable of’ encompasses alloys before or after heat treatment

Technical Note:

‘Nitrogen-stabilised duplex stainless steel’ has a two-phase microstructure consisting of grains of ferritic and austenitic steel with the addition of nitrogen to stabilise the microstructure.

1C116

1C216

II.A1.021

Carbon-Carbon Composite material.

1A002.b.1

II.A1.022

Nickel alloys in crude or semi-fabricated form, containing 60 % by weight or more nickel.

1C002.c.1.a

II.A1.023

Titanium alloys in sheet or plate form ‘capable of’ an ultimate tensile strength of 900 MPa or more at 293 K (20 °C).

Note:  The phrase alloys ‘capable of’ encompasses alloys before or after heat treatment.

1C002.b.3

II.A1.024

Propellants and constituent chemicals for propellants as follows:

(a)  Toluene Diisocyanate (TDI)

(b)  Methyl Diphenyl Diisocyanate (MDI)

(c)  Isophorone Diiscocyanate (IPDI)

(d)  Sodium Perchlorate

(e)  Xylidine

(f)  Hydroxy Terminated Polyether (HTPE)

(g)  Hydroxy Terminated Caprolactone Ether (HTCE)

Technical Note:

This item refers to pure substance and any mixture containing at least 50 % of one of the chemicals mentioned above.

1C111

II.A1.025

‘Lubricating materials’ containing, as their principal ingredients, any of the following:

(a)  Perfluoroalkylether, (CAS 60164-51-4);

(b)  Perfluoropolyalkylether, PFPE, (CAS 6991-67-9).

‘Lubricating materials’ means oils and fluids.

1C006

II.A1.026

Beryllium-Copper or Copper-Beryllium Alloys in plate, sheet, strip or rolled bar form, having a composition comprising Copper as the major element by weight and other elements including less than 2 % by weight Beryllium.

1C002.b

A2.  Materials Processing

No

Description

Related item from Annex I to Regulation (EC) No 428/2009

II.A2.001

Vibration test systems, equipment and components thereof, other than those specified in 2B116:

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 0,1 g rms between 0,1 Hz and 2 kHz and 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 bandwidth greater than 5 kHz designed for use with vibration test systems specified in a.;

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 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 a.

Technical Note:

‘Bare table’ means a flat table, or surface, with no fixture or fittings.

2B116

II.A2.002

Machine tools and components and numerical controls for machine tools, as follows:

a.  Machine tools for grinding having positioning accuracies with “all compensations available” equal to or less (better) than 15 μm according to ISO 230/2 (1988) (1) or national equivalents along any linear axis;

Note:  This item does not cover machine tools for grinding defined in items 2B201.b and 2B001.c.

b.  Components and numerical controls, specially designed for machine tools specified in 2B001, 2B201, or under a.

2B201.b

2B001.c

II.A2.003

Balancing machines and related equipment as follows:

a.  Balancing machines, designed or modified for dental or other medical equipment, 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 12 500 rpm;

3.  Capable of correcting imbalance in two planes or more; and

4.  Capable of balancing to a residual specific imbalance of 0,2 g × mm per kg of rotor mass;

b.  Indicator heads designed or modified for use with machines specified in a. above.

Technical Note:

Indicator heads are sometimes known as balancing instrumentation.

2B119

II.A2.004

Remote manipulators that can be used to provide remote actions in radiochemical separation operations or hot cells, other than those specified in 2B225, having either of the following characteristics:

a.  A capability of penetrating a hot cell wall of 0,3 m or more (through the wall operation); or

b.  A capability of bridging over the top of a hot cell wall with a thickness of 0,3 m or more (over the wall operation).

2B225

II.A2.006

Furnaces capable of operation at temperatures above 400 °C as follows:

a.  Oxidation furnaces

b.  Controlled atmosphere heat treatment furnaces

Note:  This item does not cover tunnel kilns with roller or car conveyance, tunnel kilns with conveyor belt, pusher type kilns or shuttle kilns, specially designed for the production of glass, tableware ceramics or structural ceramics.

2B226

2B227

II.A2.007

“Pressure transducers”, other than those defined in 2B230, capable of measuring absolute pressures at any point in the range 0 to 200 kPa and having both of the following characteristics:

a.  Pressure sensing elements made of or protected by “Materials resistant to corrosion by uranium hexafluoride (UF6)”, and

b.  Having either of the following characteristics:

1.  A full scale of less than 200 kPa and an “accuracy” of better than ± 1 % of full scale; or

2.  A full scale of 200 kPa or greater and an “accuracy” of better than 2 kPa.

2B230

II.A2.008

Liquid-liquid contacting equipment (mixer-settlers, pulsed columns, centrifugal contactors); and liquid distributors, vapour distributors or liquid collectors designed for such equipment, where all surfaces that come in direct contact with the chemical(s) being processed are made from the following materials:

N.B.  SEE ALSO II.A2.014

1.  Stainless steel.

Note:  for stainless steel with more than 25 % nickel and 20 % chromium by weight see entry II.A2.014.a

2B350.e

II.A2.009

Industrial equipment and components, other than those specified in 2B350.d, as follows:

N.B.  SEE ALSO II.A2.015

Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m2, and less than 30 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 fluid(s) are made from the following materials:

1.  Stainless steel.

Note 1:  for stainless steel with more than 25 % nickel and 20 % chromium by weight see entry II.A2.015a

Note 2:  This item does not cover vehicle radiators.

Technical Note:

The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the heat exchanger.

2B350.d

II.A2.010

Multiple-seal, and seal-less pumps, other than those specified in 2B350.i, suitable for corrosive fluids, 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 [measured under standard temperature (273 K or 0 °C) and pressure (101,3 kPa) conditions]; 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 the following materials:

N.B.  SEE ALSO II.A2.016

1.  Stainless steel;

Note:  for stainless steel with more than 25 % nickel and 20 % chromium by weight see entry II.A2.016a

Technical Note:

The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the pump.

2B350.i

II.A2.011

Centrifugal separators, capable of continuous separation without the propagation of aerosols and manufactured from:

1.  Alloys with more than 25 % nickel and 20 % chromium by weight;

2.  Fluoropolymers;

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; or

7.  Zirconium or zirconium alloys.

Note:  This item does not cover centrifugal separators defined in item 2B352.c.

2B352.c

II.A2.012

Sintered metal filters made of nickel or nickel alloy with more than 40 % nickel by weight.

Note:  This item does not cover filters defined in item 2B352.d.

2B352.d

II.A2.013

Spin-forming machines and flow-forming machines, other than those controlled by 2B009, 2B109 or 2B209, having a roller force of more than 60 kN and specially designed components therefor.

Technical Note:

For the purpose of II.A2.013, machines combining the functions of spin-forming and flow-forming are regarded as flow-forming machines.

II.A2.014

Liquid-liquid contacting equipment (mixer-settlers, pulsed columns, centrifugal contactors); and liquid distributors, vapour distributors or liquid collectors designed for such equipment where all surfaces that come in direct contact with the chemical(s) being processed are any of the following:

N.B.  SEE ALSO II.A2.008.

a.  Made from any of the following materials:

1.  Alloys with more than 25 % nickel and 20 % chromium by weight;

2.  Fluoropolymers;

3.  Glass (including vitrified or enamelled coating 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; or

8.  Zirconium or zirconium alloys; or

b.  Made from both stainless steel and one or more of the materials specified in II.A2.014.a.

Technical Note:

‘Carbon graphite’ is a composition consisting of amorphous carbon and graphite, in which the graphite content is 8 % or more by weight.

2B350.e

II.A2.015

Industrial equipment and components, other than those specified in 2B350.d, as follows:

N.B.  SEE ALSO II.A2.009.

Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m2, and less than 30 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 fluid(s) are any of the following:

a.  Made from any of the following materials:

1.  Alloys with more than 25 % nickel and 20 % chromium by weight;

2.  Fluoropolymers;

3.  Glass (including vitrified or enamelled coating 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; or

10.  Titanium carbide; or

b.  Made from both stainless steel and one or more of the materials specified in II.A2.015.a.

Note:  This item does not cover vehicle radiators.

Technical Note:

The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the heat exchanger.

2B350.d

II.A2.016

Multiple-seal, and seal-less pumps, other than those specified in 2B350.i, suitable for corrosive fluids, 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 [measured under standard temperature (273 K or 0 °C) and pressure (101,3 kPa) conditions]; 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 any of the following:

NB.  SEE ALSO II.A2.010.

a.  Made from any of the following materials:

1.  Alloys with more than 25 % nickel and 20 % chromium by weight;

2.  Ceramics;

3.  Ferrosilicon;

4.  Fluoropolymers;

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;

11.  Niobium (columbium) or niobium alloys; or

12.  Aluminium alloys; or

b.  Made from both stainless steel and one or more of the materials specified in II.A2.016.a.

Technical Note:

The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the pump.

2B350.i

II.A2.017

Electrical Discharge Machine (EDM) tools for removing or cutting metals, ceramics or “composites”, as follows, and specially designed ram, sinker or wire electrodes therefor:

(a)  Ram or sinker electrode Electrical Discharge Machines;

(b)  Wire electrode Electrical Discharge Machines.

Note:  Electrical Discharge Machines are also known as Spark Erosion Machines or Wire Erosion Machines.

2B001.d

II.A2.018

Computer controlled or “numerically controlled” co-ordinate measuring machines (CMM), or dimensional inspection machines, having a three dimensional (volumetric) maximum permissible error of indication (MPPE) at any point in the operating range of the machine (i.e. within the length axes) equal to or less (better) than (3 + L/1 000 ) μm (L is the measured length in mm), tested according to ISO 10360-2 (2001), and measurement probes designed therefor.

2B006.a

2B206.a

II.A2.019

Computer controlled or “numerically controlled” Electron Beam Welding Machines, and specially designed components therefor.

2B001.e.1.b

II.A2.020

Computer controlled or “numerically controlled” Laser Welding and Laser Cutting Machines, and specially designed components therefor.

2B001.e.1.c

II.A2.021

Computer controlled or “numerically controlled” Plasma Cutting Machines, and specially designed components therefor.

2B001.e.1

II.A2.022

Vibration Monitoring Equipment specially designed for rotors or rotating equipment and machinery, capable of measuring any frequency in the range 600-2 000  Hz.

2B116

II.A2.023

Liquid Ring Vacuum Pumps, and specially designed components therefore.

2B231

2B350.i

II.A2.024

Rotary Vane Vacuum Pumps, and specially designed components therefore.

Note 1:  II.A2.024 does not control rotary vane vacuum pumps that are specially designed for specific other equipment.

Note 2:  The control status of rotary vane vacuum pumps that are specially designed for specific other equipment is determined by the control status of the other equipment

2B231

2B235.i

0B002.f

II.A2.025

Air filters, as follows, having one or more physical size dimension exceeding 1 000  mm:

(a)  High Efficiency Particulate Air (HEPA) filters;

(b)  Ultra-Low Penetration Air (ULPA) filters.

Note:  II.A2.025 does not control air filters specially designed for medical equipment.

2B352.d

A3.  Electronics

No

Description

Related item from Annex I to Regulation (EC) No 428/2009

II.A3.001

High voltage direct current power supplies having both of the following characteristics:

a.  Capable of continuously producing, over a time period of eight hours, 10 kV or more, with output power of 5 kW or more with or without sweeping; and

b.  Current or voltage stability better than 0,1 % over a time period of four hours.

Note:  This item does not cover power supplies defined in items 0B001.j.5 and 3A227.

3A227

II.A3.002

Mass spectrometers, other than those specified in 3A233 or 0B002.g, capable of measuring ions of 200 atomic mass units or more and having a resolution of better than 2 parts in 200, as follows, and ion sources thereof:

a.  Inductively coupled plasma mass spectrometers (ICP/MS);

b.  Glow discharge mass spectrometers (GDMS);

c.  Thermal ionisation mass spectrometers (TIMS);

d.  Electron bombardment mass spectrometers which have a source chamber constructed from, lined with or plated with ‘materials resistant to corrosion by uranium hexafluoride UF6’;

e.  Molecular beam mass spectrometers having either of the following characteristics:

1.  A source chamber constructed from, lined with or plated with stainless steel or molybdenum and equipped with a cold trap capable of cooling to 193 K (– 80 °C) or less; or

2.  A source chamber constructed from, lined with or plated with ‘materials resistant to corrosion by uranium hexafluoride (UF6)’;

f.  Mass spectrometers equipped with a microfluorination ion source designed for actinides or actinide fluorides.

3A233

II.A3.003

Spectrometers and diffractometers, designed for the indicative test or quantitative analysis of the elemental composition of metals or alloys without chemical decomposition of the material.

II.A3.004

Frequency changers or generators, and Variable Speed electrical drives, other than those prohibited by 0B001 or 3A225, having all of the following characteristics, and specially designed components and software therefor:

a.  Multiphase output capable of providing a power of 10 W or greater;

b.  Capable of operating at a frequency of 600 Hz or more; and

c.  Frequency control better (less) than 0,2 %.

Technical Note:

Frequency changers are also known as converters or inverters.

Notes:

1.  Item II.A3.004 does not control frequency changers that include communication protocols or interfaces designed for specific industrial machinery (such as machine tools, spinning machines, printed circuit board machines) so that the frequency changers cannot be used for other purposes while meeting the performance characteristics above.

2.  Item II.A3.004 does not control frequency changers specially designed for vehicles and which operate with a control sequence that is mutually communicated between the frequency changer and the vehicle control unit.

3A225

0B001.b.13

A6.  Sensors and Lasers

No

Description

Related item from Annex I to Regulation (EC) No 428/2009

II.A6.001

Yttrium aluminium garnet (YAG) rods

II.A6.002

Optical equipment and components, other than those specified in 6A002, 6A004.b as follows:

Infrared optics in the wavelength range 9 000  nm – 17 000  nm and components thereof, including cadmium telluride (CdTe) components.

6A002

6A004.b

II.A6.003

Wave front corrector systems for use with a laser beam having a diameter exceeding 4 mm, and specially designed components thereof, including control systems, phase front sensors and ‘deformable mirrors’ including bimorph mirrors.

Note:  This item does not cover mirrors defined in 6A004.a, 6A005.e and 6A005.f.

6A003

II.A6.004

Argon ion “lasers” having an average output power equal to or greater than 5 W.

Note:  This item does not cover argon ion ‘lasers’ defined in items 0B001.g.5, 6A005 and 6A205.a.

6A005.a.6

6A205.a

II.A6.005

Semiconductor “lasers” and components thereof, as follows:

a.  Individual semiconductor “lasers” with an output power greater than 200 mW each, in quantities larger than 100;

b.  Semiconductor “laser” arrays having an output power greater than 20 W.

Notes:

1.  Semiconductor “lasers” are commonly called “laser” diodes.

2.  This item does not cover “lasers” defined in items 0B001.g.5, 0B001.h.6 and 6A005.b.

3.  This item does not cover “laser” diodes with a wavelength in the range 1 200  nm – 2 000  nm.

6A005.b

II.A6.006

Tunable semiconductor “lasers” and tunable semiconductor ‘laser’ arrays, of a wavelength between 9 μm and 17 μm, as well as array stacks of semiconductor ‘lasers’ containing at least one tunable semiconductor ‘laser’ array of such wavelength.

Notes:

1.  Semiconductor “lasers” are commonly called “laser” diodes.

2.  This item does not cover semiconductor “lasers” defined in items 0B001.h.6 and 6A005.b

6A005.b

II.A6.007

Solid state “tunable”“lasers” and specially designed components thereof as follows:

a.  Titanium-sapphire lasers,

b.  Alexandrite lasers.

Note:  This item does not cover titanium-sapphire and alexandrite lasers defined in items 0B001.g.5, 0B001.h.6 and 6A005.c.1.

6A005.c.1

II.A6.008

Neodymium-doped (other than glass) “lasers”, having an output wavelength greater than 1 000  nm but not exceeding 1 100  nm and output energy exceeding 10 J per pulse.

Note:  This item does not cover neodymium-doped (other than glass) ‘lasers’ defined in item 6A005.c.2.b.

6A005.c.2

II.A6.009

Components of acousto-optics, as follows:

a.  Framing tubes and solid-state imaging devices having a recurrence frequency equal to or exceeding 1 kHz;

b.  Recurrence frequency supplies;

c.  Pockels cells.

6A203.b.4.c

II.A6.010

Radiation-hardened cameras, or lenses thereof, other than those specified in 6A203.c., specially designed, or rated as radiation-hardened, to withstand a total radiation dose greater than 50 × 103 Gy (silicon) (5 × 106 rad (silicon)) without operational degradation.

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.

6A203.c

II.A6.011

Tunable pulsed dye laser amplifiers and oscillators, having all of the following characteristics:

1.  Operating at wavelengths between 300 nm and 800 nm;

2.  An average output power greater than 10 W but not exceeding 30 W;

3.  A repetition rate greater than 1 kHz; and

4.  Pulse width less than 100 ns.

Notes:

1.  This item does not cover single mode oscillators.

2.  This item does not cover tunable pulsed dye laser amplifiers and oscillators defined in item 6A205.c, 0B001.g.5 and 6A005.

6A205.c

II.A6.012

Pulsed carbon dioxide “lasers” having all of the following characteristics:

1.  Operating at wavelengths between 9 000  nm and 11 000  nm;

2.  A repetition rate greater than 250 Hz;

3.  An average output power greater than 100 W but not exceeding 500 W; and

4.  Pulse width less than 200 ns.

Note:  This item does not cover pulsed carbon dioxide laser amplifiers and oscillators defined in item 6A205.d., 0B001.h.6. and 6A005.d.

6A205.d

II.A6.013

Copper vapour ‘lasers’ having both of the following characteristics:

1.  Operating at wavelengths between 500 and 600 nm; and

2.  An average output power equal to or greater than 15 W.

6A005.b

II.A6.014

Pulsed carbon monoxide ‘lasers’ having all of the following characteristics:

1.  Operating at wavelengths between 5 000 and 6 000  nm;

2.  A repetition rate greater than 250 Hz;

3.  An average output power greater than 100 W; and

4.  Pulse width of less than 200 ns.

Note:  This item does not control the higher power (typically 1 to 5 kW) industrial carbon monoxide lasers used in applications such as cutting and welding, as these latter lasers are either continuous wave or are pulsed with a pulse width greater than 200 ns.

 

II.A6.015

‘Vacuum pressure gauges’, being electrically powered and having measurement accuracy of 5 % or less (better).

‘Vacuum pressure gauges’ include Pirani Gauges, Penning Gauges and Capacitance Manometers.

0B001.b

II.A6.016

Microscopes and related equipment and detectors, as follows:

(a)  Scanning Electron Microscopes;

(b)  Scanning Auger Microscopes;

(c)  Transmission Electron Microscopes;

(d)  Atomic Force Microscopes;

(e)  Scanning Force Microscopes;

(f)  Equipment and detectors, specially designed for use with the microscopes specified in II.A6.013 a) to e) above, employing any of the following materials analysis techniques:

1.  X-ray Photo Spectroscopy (XPS);

2.  Energy-dispersive X-ray Spectroscopy (EDX, EDS); or

3.  Electron Spectroscopy for Chemical Analysis (ESCA).

6B

A7.  Navigation and Avionics

No

Description

Related item from Annex I to Regulation (EC) No 428/2009

II.A7.001

Inertial navigation systems and specially designed components thereof, as follows:

I.  Inertial navigation systems which are certified for use on “civil aircraft” by civil authorities of a State participating in the Wassenaar Arrangement, and specially designed components thereof, as follows:

a.  Inertial navigation systems (INS) (gimballed or strapdown) and inertial equipment designed for “aircraft”, land vehicle, vessels (surface or underwater) or ‘spacecraft’ for attitude, guidance or control, having any of the following characteristics, and specially designed components thereof:

1.  Navigation error (free inertial) subsequent to normal alignment of 0,8 nautical mile per hour (nm/hr) ‘Circular Error Probable’ (CEP) or less (better); or

2.  Specified to function at linear acceleration levels exceeding 10 g;

b.  Hybrid Inertial Navigation Systems embedded with Global Navigation Satellite Systems(s) (GNSS) or with “Data-Based Referenced Navigation” (“DBRN”) System(s) for attitude, guidance or control, subsequent to normal alignment, having an INS navigation position accuracy, after loss of GNSS or “DBRN” for a period of up to four minutes, of less (better) than 10 metres ‘Circular Error Probable’ (CEP);

c.  Inertial Equipment for Azimuth, Heading, or North Pointing having any of the following characteristics, and specially designed components thereof:

1.  Designed to have an Azimuth, Heading, or North Pointing accuracy equal to, or less (better) than 6 arc/ minutes RMS at 45 degrees latitude; or

2.  Designed to have a non-operating shock level of at least 900 g at a duration of at least 1 msec.

Note:  The parameters of I.a. and I.b. are applicable with any of the following environmental conditions:

1.  Input random vibration with an overall magnitude of 7,7 g rms in the first half hour and a total test duration of one and a half hours per axis in each of the three perpendicular axes, when the random vibration meets the following:

a.  A constant power spectral density (PSD) value of 0,04 g2/Hz over a frequency interval of 15 to 1 000  Hz; and

b.  The PSD attenuates with a frequency from 0,04 g2/Hz to 0,01 g2/Hz over a frequency interval from 1 000 to 2 000  Hz;

2.  A roll and yaw rate equal to or greater than + 2,62 radian/s (150 deg/s); or

3.  According to national standards equivalent to 1. or 2. above.

Technical Notes:

1.  I.b. refers to systems in which an INS and other independent navigation aids are built into a single unit (embedded) in order to achieve improved performance.

2.  ‘Circular Error Probable’ (CEP) — In a circular normal distribution, the radius of the circle containing 50 percent of the individual measurements being made, or the radius of the circle within which there is a 50 percent probability of being located.

II.  Theodolite systems incorporating inertial equipment specially designed for civil surveying purposes and designed to have an Azimuth, Heading, or North Pointing accuracy equal to, or less (better) than 6 arc minutes RMS at 45 degrees latitude, and specially designed components thereof.

III.  Inertial or other equipment using accelerometers specified in 7A001 or 7A101, where such accelerometers are specially designed and developed as MWD (Measurement While Drilling) sensors for use in downhole well services operations.

7A003

7A103

II.A7.002

Accelerometers containing piezoelectric ceramic transducer element, having a sensitivity of 1 000 mV/g or better (higher)

7A001

A9.  Aerospace and Propulsion

No

Description

Related item from Annex I to Regulation (EC) No 428/2009

II.A9.001

Explosive bolts.

II.A9.002

‘Load Cells’ capable of measuring rocket motor thrust having a capacity exceeding 30 kN.

Technical Note:

‘Load Cells’ means devices and transducers for the measurement of force in both tension and in compression.

Note:  II.A9.002 does not include equipment, devices or transducers, specially designed for the measurement of the weight of vehicles, e.g. weigh bridges.

9B117

II.A9.003

Electrical power generation gas turbines, components and related equipment as follows:

(a)  Gas Turbines specially designed for electrical power generation, having an output exceeding 200 MW;

(b)  Vanes, Stators, Combustion Chambers and Fuel Injection Nozzles, specially designed for electrical power generation gas turbines specified in II.A9.003.a;

(c)  Equipment specially designed for the “development” and “production” of electrical power generation gas turbines specified in II. A9.003.a.

9A001

9A002

9A003

9B001

9B003

9B004

II.B.   TECHNOLOGY



No

Description

Related item from Annex I to Regulation (EC) No 428/2009

II.B.001

Technology required for the development, production, or use of the items in Part II.A. (Goods) above.

Technical Note:

The term ‘technology’ includes software.

▼M32




ANNEX IIA

End-use statement referred to in Articles 3a(6) and 3c(2) and point (b) of Article 3d(2)

(Letterhead of the end-user/consignee in the country of final destination)

END-USE STATEMENT

(if issued by the governmental authority, please insert a unique identifying number ‘No…’)

A.   PARTIES

1. Exporter (name, address and contact details)

2. Consignee (name, address and contact details)

3. End-user (if different from consignee)

4. Country of final destination

B.   ITEMS

1. Items (detailed description of items)

2. Quantity (units) / weight

3. End-use (specific purpose for which the items will be used. If the items are to be incorporated into or used for the development, production, use or repair of another item, please describe that item, its purpose and its end-user)

4. Specification of the end-use location of the items (unless the consignee acts as trader, wholeseller or reseller and is not aware of the end-use location of the items)

C.   STATEMENT OF FOREIGN CONSIGNEE

C.1   Consignee acts as end-user

Articles 3a(6) and 3c(2) and point (b) of Article 3d(2) of Council Regulation (EU) No 267/2012 require the applicant for an authorisation to submit this end-use statement or an equivalent document containing information on the end-use and end-use location of any supplied item.

We (I) state that the items described in Section B supplied by the exporter named in Section A 1:

1. will only be used for the purposes described in Section B 3 and that the items or any replica thereof, if applicable, are intended for final use in the country named in Section A 4, in the location specified in Section B 4;

2. that the items or any replica thereof, if applicable:

 will not be used in any nuclear explosive activity or unsafeguarded nuclear fuel-cycle activity;

 will not be used for any purpose connected with chemical or biological or nuclear weapons, or missiles capable of delivering such weapons;

 will only be used for civil end-uses;

 will not be retransferred within Iran without prior information to the exporting State.

C.2   Consignee acts as trader, wholeseller or reseller (only to be completed if Section C.1 is not applicable)

Articles 3a(6) and 3c(2) and point (b) of Article 3d(2) of Council Regulation (EU) No 267/2012 require the applicant for an authorisation to submit this end-use statement or an equivalent document containing information on the end-use and end-use location of any supplied item.

We (I) state that the items described in Section B supplied by the exporter named in Section A 1:

1. will only be used for the purposes described in Section B 3 and that the items or any replica thereof, if applicable, are intended for final use in the country named in Section A 4

2. that the items or any replica thereof, if applicable:

 will not be used in any nuclear explosive activity or unsafeguarded nuclear fuel-cycle activity;

 will not be used for any purpose connected with chemical or biological or nuclear weapons, or missiles capable of delivering such weapons;

 will only be used for civil end-uses;

 will only be delivered to a third person/company on condition that that third person/company accepts the commitments of the above declaration as binding for itself and on condition that that third person/company is known to be trustworthy and reliable in the observance of such commitments.



SIGNATURE

 

Place, date

Original signature of end-user/consignee

Company stamp/official seal

Name and title of signer in block letters

If applicable:

Stamp of chamber of commerce

(or other legalising authority)

▼M30




ANNEX III

CATEGORY 1 — SPECIAL MATERIALS AND RELATED EQUIPMENT

1A    Systems, Equipment and Components



The corresponding systems, equipment and components as identified in 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

Missile Technology Control Regime (M.TCR): Equipment, software and technology annex

1A002

“Composite” structures or laminates, having any of the following:

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.

M6A1

Composite structures, laminates, and manufactures thereof, specially designed for use in the systems specified in 1.A., 19.A.1. or 19.A.2. and the subsystems specified in 2.A. or 20.A.

1A102

Resaturated pyrolized carbon-carbon components designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

M6A2

Resaturated pyrolised (i.e. carbon-carbon) components having all of the following: a. Designed for rocket systems; and b. Usable in the systems specified in 1.A. or 19.A.1.

1B    Test, Inspection and Production Equipment



The corresponding systems, equipment and components as identified in 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

Missile Technology Control Regime (M.TCR): Equipment, software and technology annex

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”;

M6B1a

Filament winding machines or ‘fibre/tow-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 co-ordinating and programming controls

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.

M6B1b

‘Tape-laying machines’ of which the motions for positioning and laying tape can be co-ordinated and programmed in two or more axes, designed for the manufacture of composite airframes and missile structures;

Note:   For the purposes of 6.B.1.a. and 6.B.1.b., the following definitions apply:

1.  A ‘filament band’ is a single continuous width of fully or partially resinimpregnated tape, tow, or fibre. Fully or partially resin-impregnated ‘filament bands’ include those coated with dry powder that tacks upon heating.

2.  ‘Fibre/tow-placement machines’ and ‘tape-laying machines’ are machines that perform similar processes that use computer-guided heads to lay one or several ‘filament bands’ onto a mold to create a part or a structure. These machines have the ability to cut and restart individual ‘filament band’ courses during the laying process.

3.  ‘Fibre/tow-placement machines’ have the ability to place one or more ‘filament bands’ having widths less than or equal to 25,4 mm. This refers to the minimum width of material the machine can place, regardless of the upper capability of the machine.

4.  ‘Tape-laying machines’ have the ability to place one or more ‘filament bands’ having widths less than or equal to 304,8 mm, but cannot place ‘filaments bands’ with a width equal to or less than 25,4 mm. This refers to the minimum width of material the machine can place, regardless of the upper capability of the machine.

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.

M6B1c

Multi-directional, multi-dimensional weaving machines or interlacing machines, including adapters and modification kits for weaving, interlacing or braiding fibres to manufacture composite structures;

Note:   6.B.1.c. does not control textile machinery not modified for the end-uses stated.

d.  Equipment specially designed or adapted for the production of reinforcement fibres, as follows:

 

Equipment designed or modified for the production of fibrous or filamentary materials 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;

M6B1d1

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 chemical vapour deposition of elements or compounds, on heated filamentary substrates, to manufacture silicon carbide fibres;

M6B1d2

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);

M6B1d3

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.

M6B1e

Equipment designed or modified for special fibre surface treatment or for producing prepregs and preforms, including rollers, tension stretchers, coating equipment, cutting equipment and clicker dies.

Note:   Examples of components and accessories for the machines specified in 6.B.1. are moulds, mandrels, dies, fixtures and tooling for the preform pressing, curing, casting, sintering or bonding of composite structures, laminates and manufactures thereof

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.

M4B3d

Metal powder “production equipment” usable for the “production”, in a controlled environment, of spherical, spheroidal or atomised materials specified in 4.C.2.c., 4.C.2.d. or 4.C.2.e. Note: 4.B.3.d. 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).

Notes:

1.  The only batch mixers, continuous mixers, usable for solid propellants or propellants constituents specified in 4.C., and fluid energy mills specified in 4.B., are those specified in 4.B.3.

2.  Forms of metal powder “production equipment” not specified in 4.B.3.d. are to be evaluated in accordance with 4.B.2.

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;

M6B1a

Filament winding machines or ‘fibre/tow-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 co-ordinating 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;

M6B1b

‘Tape-laying machines’ of which the motions for positioning and laying tape can be co-ordinated and programmed in two or more axes, designed for the manufacture of composite airframes and missile structures;

Note:

For the purposes of 6.B.1.a. and 6.B.1.b., the following definitions apply:

1.  A ‘filament band’ is a single continuous width of fully or partially resinimpregnated tape, tow, or fibre. Fully or partially resin-impregnated ‘filament bands’ include those coated with dry powder that tacks upon heating.

2.  ‘Fibre/tow-placement machines’ and ‘tape-laying machines’ are machines that perform similar processes that use computer-guided heads to lay one or several ‘filament bands’ onto a mold to create a part or a structure. These machines have the ability to cut and restart individual ‘filament band’ courses during the laying process.

3.  ‘Fibre/tow-placement machines’ have the ability to place one or more ‘filament bands’ having widths less than or equal to 25,4 mm. This refers to the minimum width of material the machine can place, regardless of the upper capability of the machine.

4.  ‘Tape-laying machines’ have the ability to place one or more ‘filament bands’ having widths less than or equal to 304,8 mm, but cannot place ‘filaments bands’ with a width equal to or less than 25,4 mm. This refers to the minimum width of material the machine can place, regardless of the upper capability of the machine.

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);

M6B1d

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.

M6B1e

Equipment designed or modified for special fibre surface treatment or for producing prepregs and preforms, including rollers, tension stretchers, coating equipment, cutting equipment and clicker dies.

Note:   Examples of components and accessories for the machines specified in 6.B.1. are moulds, mandrels, dies, fixtures and tooling for the preform pressing, curing, casting, sintering or bonding of composite structures, laminates and manufactures thereof

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).

M4B3d

Metal powder “production equipment” usable for the “production”, in a controlled environment, of spherical, spheroidal or atomised materials specified in 4.C.2.c., 4.C.2.d. or 4.C.2.e.

Note:   4.B.3.d. 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).

Notes:

1.  The only batch mixers, continuous mixers, usable for solid propellants or propellants constituents specified in 4.C., and fluid energy mills specified in 4.B., are those specified in 4.B.3.

2.  Forms of metal powder “production equipment” not specified in 4.B.3.d. are to be evaluated in accordance with 4.B.2.

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;

M4B1

“Production equipment”, and specially designed components therefor, for the “production”, handling or acceptance testing of liquid propellants or propellant constituents specified in 4.C.

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.

M4B2

“Production equipment”, other than that described in 4.B.3., and specially designed components therefor, for the production, handling, mixing, curing, casting, pressing, machining, extruding or acceptance testing of solid propellants or propellant constituents specified in 4.C.

1B116

Specially designed nozzles for producing pyrolitically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1 573 K (1 300  °C) to 3 173 K (2 900  °C) temperature range at pressures of 130 Pa to 20 kPa.

M6B2

Nozzles specially designed for the processes referred to in 6.E.3.

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.

M4B3a

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:

1.  A total volumetric capacity of 110 litres or more; and

2.  At least one ‘mixing/kneading shaft’ mounted off centre;

Note:   In Item 4.B.3.a.2. 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.

M4B3b

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:

1.  Two or more mixing/kneading shafts; or

2.  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.

M4B3c

Fluid energy mills usable for grinding or milling substances specified in 4.C

1C    Materials



The corresponding systems, equipment and components as identified in 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

Missile Technology Control Regime (M.TCR): Equipment, software and technology annex

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 10 000  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.

M17C1

Materials for reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures (i.e. stealth technology), for applications usable for the systems specified in 1.A. or 19.A. or the subsystems specified in 2.A.

Notes:

1.  17.C.1. includes structural materials and coatings (including paints), specially designed for reduced or tailored reflectivity or emissivity in the microwave, infrared or ultraviolet spectra.

2.  17.C.1. does not control coatings (including paints) when specially used for thermal control of satellites.

1C007

Ceramic powders, non-“composite” ceramic materials, ceramic-“matrix”“composite” materials and precursor materials, as follows:

N.B.:  SEE ALSO 1C107.

M6C5

Ceramic composite materials (dielectric constant less than 6 at any frequency from 100 MHz to 100 GHz) for use in missile radomes usable in systems specified in 1.A. or 19.A.1.

a.  Ceramic powders of single or complex borides of titanium, having total metallic impurities, excluding intentional additions, of less than 5 000  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 × 103m;

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 1 273 K (1 000  °C) or fibre tensile creep resistance of more than 1 % creep strain at 100 MPa load and 1 273 K (1 000  °C) for 100 hours.

M6C6

Silicon-carbide materials as follows:

a.  Bulk machinable silicon-carbide reinforced unfired ceramic usable for nose tips usable in systems specified in 1.A. or 19.A.1.;

Reinforced silicon-carbide ceramic composites usable for nose tips, re-entry vehicles, nozzle flaps, usable in systems specified in 1.A. or 19.A.1.

1C010

“Fibrous or filamentary materials”, as follows:

N.B.:  SEE ALSO 1C210 AND 9C110.

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 1 922 K (1 649  °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 2 043 K (1 770  °C) in an inert environment.

Technical Notes:

1.  For the purpose of calculating “specific tensile strength”, “specific modulus” or specific weight of “fibrous or filamentary materials” in 1C010.a., 1C010.b. or 1C010.c., 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”.

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.b. 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.

M6C1

Resin impregnated fibre prepregs and metal coated fibre preforms, for the goods specified in 6.A.1., made either with organic matrix or metal matrix utilising fibrous or filamentary reinforcements having a specific tensile strength greater than 7,62 × 104 m and a specific modulus greater than 3,18 × 106 m.

Note:   The only resin impregnated fibre prepregs specified in 6.C.1. are those using resins with a glass transition temperature (Tg), after cure, exceeding 145 °C as determined by ASTM D4065 or national equivalents.

Technical Notes:

1.  In Item 6.C.1. ‘specific tensile strength’ is the ultimate tensile strength in N/m2 divided by the specific weight in N/m3, measured at a temperature of (296 ± 2)K ((23 ± 2)°C) and a relative humidity of (50 ± 5)%.

2.  In Item 6.C.1. ‘specific modulus’ is the Young's modulus in N/m2 divided by the specific weight in N/m3, measured at a temperature of (296 ± 2)K ((23 ± 2)°C) and a relative humidity of (50 ± 5)%.

1C011

Metals and compounds, as follows:

N.B.:  SEE ALSO 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.

M4C2d

Metal powders of any of the following: zirconium (CAS 7440-67-7), beryllium (CAS 7440-41-7), magnesium (CAS 7439-95-4) or alloys of these, 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, consisting of 97 % by weight or more of any of the above mentioned metals;

Note:   In a multimodal particle distribution (e.g. mixtures of different grain sizes) in which one or more modes are controlled, the entire powder mixture is controlled.

Technical Note:

The natural content of hafnium (CAS 7440-58-6) in the zirconium (typically 2 % to 7 %) is counted with the zirconium.

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.

M4C2e

Metal powders of either boron (CAS 7440-42-8) 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:   In a multimodal particle distribution (e.g. mixtures of different grain sizes) in which one or more modes are controlled, the entire powder mixture is controlled.

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.

M17A1

Devices for reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures (i.e. stealth technology), for applications usable for the systems specified in 1.A. or 19.A. or the subsystems specified in 2.A. or 20.A.

M17C1

Materials for reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures (i.e. stealth technology), for applications usable for the systems specified in 1.A. or 19.A. or the subsystems specified in 2.A.

Notes:

1.  17.C.1. includes structural materials and coatings (including paints), specially designed for reduced or tailored reflectivity or emissivity in the microwave, infrared or ultraviolet spectra.

2.  17.C.1. does not control coatings (including paints) when specially used for thermal control of satellites.

1C102

Resaturated pyrolized carbon-carbon materials designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

M6C2

Resaturated pyrolised (i.e. carbon-carbon) materials having all of the following: a. Designed for rocket systems; and b. Usable in the systems specified in 1.A. or 19.A.1.

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

M6C3

Fine grain graphites with a bulk density of at least 1,72 g/cc measured at 15 °C and having a grain size of 100 × 10-6 m (100 μm) or less, usable for rocket nozzles and re-entry vehicle nose tips, which can 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 × 120 mm × 50 mm or greater

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

M6C4

Pyrolytic or fibrous reinforced graphites usable for rocket nozzles and reentry vehicle nose tips usable in systems specified in 1.A. or 19.A.1.

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;

M6C5

Ceramic composite materials (dielectric constant less than 6 at any frequency from 100 MHz to 100 GHz) for use in missile radomes usable in systems specified in 1.A. or 19.A.1.

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;

M6C6a

Bulk machinable silicon-carbide reinforced unfired ceramic usable for nose tips usable in systems specified in 1.A. or 19.A.1.;

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.

M6C6b

Reinforced silicon-carbide ceramic composites usable for nose tips, re-entry vehicles, nozzle flaps, usable in systems specified in 1.A. or 19.A.1.

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:

M4C2c

Spherical or spheroidal aluminium powder (CAS 7429-90-5) in particle size of less than 200 × 10-6 m (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).

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.

M4C2d

Metal powders of any of the following: zirconium (CAS 7440-67-7), beryllium (CAS 7440-41-7), magnesium (CAS 7439-95-4) or alloys of these, 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, consisting of 97 % by weight or more of any of the above mentioned metals;

Note:   In a multimodal particle distribution (e.g. mixtures of different grain sizes) in which one or more modes are controlled, the entire powder mixture is controlled.

Technical Note:

The natural content of hafnium (CAS 7440-58-6) 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.

M4C2e

Metal powders of either boron (CAS 7440-42-8) 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:   In a multimodal particle distribution (e.g. mixtures of different grain sizes) in which one or more modes are controlled, the entire powder mixture is 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;

M4C4a

Oxidiser substances usable in liquid propellant rocket engines as follows:

1.  Dinitrogen trioxide (CAS 10544-73-7)

2.  Nitrogen dioxide (CAS 10102-44-0) / dinitrogen tetroxide (CAS 10544-72-6);

3.  Dinitrogen pentoxide (CAS 10102-03-1);

4.  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).

5.  Inhibited Red Fuming Nitric Acid (IRFNA) (CAS 8007-58-7);

6.  Compounds composed of fluorine and one or more of other halogens, oxygen or nitrogen;

Note:   Item 4.C.4.a.6. does not control Nitrogen Trifluoride (NF3) (CAS 7783-54- 2) in a gaseous state as it is not usable for missile applications.

4.  Hydrazine derivatives as follows:

N.B.: