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Document 32009R0428

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 (recast)

OJ L 134, 29.5.2009, p. 1–269 (BG, ES, CS, DA, DE, ET, EL, EN, FR, IT, LV, LT, HU, MT, NL, PL, PT, RO, SK, SL, FI, SV)

(HR)
⏵This document has been published in a special edition(s) (HR)
Special edition in Croatian: Chapter 02 Volume 007 P. 10 - 263

Legal status of the document In force: This act has been changed. Current consolidated version: 07/10/2021

ELI: http://data.europa.eu/eli/reg/2009/428/oj

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Official Journal

29.5.2009

Official Journal of the European Union

L 134/1

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

(Recast)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 133 thereof,

Having regard to the proposal from the Commission,

Whereas:

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

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

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

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

(5)

The responsibility for deciding on individual, global or national general export authorisations, on authorisations for brokering services, on transits of non-Community dual-use items or on authorisations for the transfer within the Community of the dual-use items listed in Annex IV lies with national authorities. National provisions and decisions affecting exports of dual-use items must be taken in the framework of the common commercial policy, and in particular Council Regulation (EEC) No 2603/69 of 20 December 1969 establishing common rules for exports (2).

(6)

Decisions to update the common list of dual-use items subject to export controls must be in conformity with the obligations and commitments that Member States have accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.

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

(8)	Transmission of software and technology by means of electronic media, fax or telephone to destinations outside the Community should also be controlled.

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

(10)

On 22 September 1998 representatives of the Member States and the European Commission signed Protocols additional to the respective safeguards agreements between the Member States, the European Atomic Energy Community and the International Atomic Energy Agency, which, among other measures, oblige the Member States to provide information on transfers of specified equipment and non-nuclear material.

(11)

The Community has adopted a body of customs rules, contained in Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code (3) (hereinafter the Community Customs Code) and Commission Regulation (EEC) No 2454/93 (4) implementing Regulation (EEC) No 2913/92 which lay down, among other things, provisions relating to the export and re-export of goods. Nothing in this Regulation constrains any powers under and pursuant to the Community Customs Code and its implementing provisions.

(12)

Pursuant to and within the limits of Article 30 of the Treaty and pending a greater degree of harmonisation, Member States retain the right to carry out controls on transfers of certain dual-use items within the Community in order to safeguard public policy or public security. Where these controls are linked to the effectiveness of controls on exports from the Community, they should be periodically reviewed by the Council.

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

(14)

The Heads of State or Government of the EU adopted in June 2003 an Action Plan on Non-Proliferation of Weapons of Mass Destruction (Thessaloniki Action Plan). This Action Plan was complemented by the EU Strategy against proliferation of Weapons of Mass Destruction adopted by the European Council on 12 December 2003 (EU WMD Strategy). According to Chapter III of this Strategy, the European Union must make use of all its instruments to prevent, deter, halt, and if possible eliminate proliferation programmes that cause concern at global level. Subparagraph 30.A(4) of that Chapter specifically refers to strengthening export control policies and practices.

(15)

United Nations Security Council Resolution 1540, adopted on 28 April 2004, decides that all States shall take and enforce effective measures to establish domestic controls to prevent the proliferation of nuclear, chemical or biological weapons and their means of delivery, including by establishing appropriate controls over related materials and to this end shall, among others, establish transit and brokering controls. Related materials are materials, equipment and technology covered by relevant multilateral treaties and arrangements, or included on national control lists, which could be used for the design, development, production or use of nuclear, chemical and biological weapons and their means of delivery.

(16)

This Regulation includes items which only pass through the territory of the Community, that is, those items which are not assigned a customs-approved treatment or use other than the external transit procedure or which are merely placed in a free zone or free warehouse and where no record of them has to be kept in an approved stock record. Accordingly, a possibility for Member States’ authorities to prohibit on a case-by-case basis the transit of non-Community dual-use items should be established, where they have reasonable grounds for suspecting from intelligence or other sources that the items are or may be intended in their entirety or in part for proliferation of weapons of mass destruction or of their means of delivery.

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

(18)

It is desirable to achieve a uniform and consistent application of controls throughout the EU in order to promote EU and international security and to provide a level playing field for EU exporters. It is therefore appropriate, in accordance with the recommendations of the Thessaloniki Action Plan and the calls of the EU WMD Strategy, to broaden the scope of consultation between Member States prior to granting an export authorisation. Among the benefits of this approach would be, for example, an assurance that a Member State's essential security interests would not be threatened by an export from another Member State. Greater convergence of conditions implementing national controls on dual-use items not listed in this Regulation, and harmonisation of the conditions of use of the different types of authorisations that may be granted under this Regulation would bring about more uniform and consistent application of controls. Improving the definition of intangible transfers of technology, to include making available controlled technology to persons located outside the EU, would assist the effort to promote security as would further alignment of the modalities for exchanging sensitive information among Member States with those of the international export control regimes, in particular by providing for the possibility of establishing a secure electronic system for sharing information among Member States.

(19)	Each Member State should determine effective, proportionate and dissuasive penalties applicable in the event of breach of the provisions of this Regulation,

HAS ADOPTED THIS REGULATION:

CHAPTER I

SUBJECT AND DEFINITIONS

Article 1

This Regulation sets up a Community regime for the control of exports, transfer, brokering and transit of dual-use items.

Article 2

For the purposes of this Regulation:

1.	‘dual-use items’ shall mean items, including software and technology, which can be used for both civil and military purposes, and shall include all goods which can be used for both non-explosive uses and assisting in any way in the manufacture of nuclear weapons or other nuclear explosive devices;

‘export’ shall mean:

(i)	an export procedure within the meaning of Article 161 of Regulation (EEC) No 2913/92 (the Community Customs Code);

(ii)	a re-export within the meaning of Article 182 of that Code but not including items in transit; and

(iii)

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

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

(i)

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

(ii)	which decides to transmit or make available software or technology by electronic media including by fax, telephone, electronic mail or by any other electronic means to a destination outside the Community.

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

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

‘brokering services’ shall mean:

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

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

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

6.	‘broker’ shall mean any natural or legal person or partnership resident or established in a Member State of the Community that carries out services defined under point 5 from the Community into the territory of a third country;

7.	‘transit’ shall mean a transport of non-Community dual-use items entering and passing through the customs territory of the Community with a destination outside the Community;

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

9.	‘Community General Export Authorisation’ shall mean an export authorisation for exports to certain countries of destination available to all exporters who respect its conditions of use as listed in Annex II;

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

11.	‘national general export authorisation’ shall mean an export authorisation granted in accordance with Article 9(2) and defined by national legislation in conformity with Article 9 and Annex IIIc;

12.	‘customs territory of the European Union’ shall mean the territory within the meaning of Article 3 of the Community Customs Code;

13.	‘non-Community dual-use items’ shall mean items that have the status of non-Community goods within the meaning of Article 4(8) of the Community Customs Code.

CHAPTER II

SCOPE

Article 3

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

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

Article 4

1. An authorisation shall be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the competent authorities of the Member State in which he is established that the items in question are or may be intended, in their entirety or in part, for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices or the development, production, maintenance or storage of missiles capable of delivering such weapons.

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

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

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

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

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

4. If an exporter is aware that dual-use items which he proposes to export, not listed in Annex I, are intended, in their entirety or in part, for any of the uses referred to in paragraphs 1, 2 and 3, he must notify the authorities referred to in paragraph 1, which will decide whether or not it is expedient to make the export concerned subject to authorisation.

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

6. A Member State which imposes an authorisation requirement, in application of paragraphs 1 to 5, on the export of a dual-use item not listed in Annex I, shall, where appropriate, inform the other Member States and the Commission. The other Member States shall give all due consideration to this information and shall inform their customs administration and other relevant national authorities.

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

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

Article 5

1. An authorisation shall be required for brokering services of dual-use items listed in Annex I if the broker has been informed by the competent authorities of the Member State in which he is resident or established that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1). If a broker is aware that the dual-use items listed in Annex I for which he proposes brokering services are intended, in their entirety or in part, for any of the uses referred to in Article 4(1), he must notify the competent authorities which will decide whether or not it is expedient to make such brokering services subject to authorisation.

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

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

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

Article 6

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

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

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

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

Article 7

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

Article 8

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

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

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

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

CHAPTER III

EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES

Article 9

1. A Community General Export Authorisation for certain exports as set out in Annex II is established by this Regulation.

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

All the authorisations shall be valid throughout the Community.

Exporters shall supply the competent authorities with all relevant information required for their applications for individual and global export authorisation so as to provide complete information to the national competent authorities in particular on the end user, the country of destination and the end use of the item exported. The authorisation may be subject, if appropriate, to an end-use statement.

3. Member States shall process requests for individual or global authorisations within a period of time to be determined by national law or practice.

4. National general export authorisations shall:

(a)	exclude from their scope items listed in part 2 of Annex II;

(b)

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

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

(c)

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

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

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

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

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

The Commission shall publish the list of these authorities in the C series of the Official Journal of the European Union.

Article 10

1. Authorisations for brokering services under this Regulation shall be granted by the competent authorities of the Member State where the broker is resident or established. These authorisations shall be granted for a set quantity of specific items moving between two or more third countries. The location of the items in the originating third country, the end-user and its exact location must be clearly identified. The authorisations shall be valid throughout the Community.

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

3. Member States shall process requests for authorisations for brokering services within a period of time to be determined by national law or practice.

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

Article 11

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

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

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

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

Article 12

1. In deciding whether or not to grant an individual or global export authorisation or to grant an authorisation for brokering services under this Regulation, the Member States shall take into account all relevant considerations including:

(a)	the obligations and commitments they have each accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties;

(b)	their obligations under sanctions imposed by a common position or a joint action adopted by the Council or by a decision of the OSCE or by a binding resolution of the Security Council of the United Nations;

(c)	considerations of national foreign and security policy, including those covered by Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment (5);

(d)	considerations about intended end use and the risk of diversion.

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

Article 13

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

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

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

4. Paragraphs 1 and 2 shall also apply to authorisations for brokering services.

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

6. All notifications required under this Article will be made via secure electronic means including via a secure system that may be set up in accordance with Article 19(4).

7. All information shared in accordance with the provisions of this Article shall be in compliance with the provisions of Article 19(3), (4) and (6) concerning the confidentiality of such information.

Article 14

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

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

CHAPTER IV

UPDATING OF LIST OF DUAL-USE ITEMS

Article 15

1. The list of dual-use items set out in Annex I shall be updated in conformity with the relevant obligations and commitments, and any modification thereof, that Member States have accepted as members of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.

2. Annex IV, which is a subset of Annex I, shall be updated with regard to Article 30 of the Treaty establishing the European Community, namely the public policy and public security interests of the Member States.

CHAPTER V

CUSTOMS PROCEDURES

Article 16

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

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

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

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

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

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

Article 17

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

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

Article 18

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

CHAPTER VI

ADMINISTRATIVE COOPERATION

Article 19

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

2. Member States shall take all appropriate measures to establish direct cooperation and exchange of information between competent authorities with a view to enhance the efficiency of the Community export control regime. Such information may include:

(a)	details of exporters deprived, by national sanctions, of the right to use the national general export authorisations or Community General Export Authorisations;

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

3. Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters (6), and in particular the provisions on the confidentiality of information, shall apply mutatis mutandis, without prejudice to Article 23 of this Regulation.

4. A secure and encrypted system for the exchange of information among Member States and whenever appropriate the Commission may be set up by the Commission, in consultation with the Dual-Use Coordination Group set up under Article 23.

5. The provision of guidance to exporters and brokers will be the responsibility of the Member States where they are resident or established. The Commission and the Council may also make available guidance and/or recommendations for best practices for the subjects referred to in this Regulation.

6. The processing of personal data shall be in accordance with the rules laid down in Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the movement of such data (7) and Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (8).

CHAPTER VII

CONTROL MEASURES

Article 20

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

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

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

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

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

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

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

Article 21

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

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

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

CHAPTER VIII

OTHER PROVISIONS

Article 22

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

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

—	the operator knows that the final destination of the items concerned is outside the Community,

—

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

—	no processing or working as defined in Article 24 of the Community Customs Code is to be performed on the items in the Member State to which they are to be transferred.

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

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

5. A Member State which adopts legislation imposing such a requirement shall inform the Commission and the other Member States of the measures it has taken. The Commission shall publish this information in the C series of the Official Journal of the European Union.

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

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

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

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

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

Article 23

1. A Dual-Use Coordination Group chaired by a representative of the Commission shall be set up. Each Member State shall appoint a representative to this Group.

It shall examine any question concerning the application of this Regulation which may be raised either by the chair or by a representative of a Member State.

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

Article 24

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

Article 25

Each Member State shall inform the Commission of the laws, regulations and administrative provisions adopted in implementation of this Regulation, including the measures referred to in Article 24. The Commission shall forward the information to the other Member States.

Every three years the Commission shall review the implementation of this Regulation and present a report to the European Parliament and the Council on its application, which may include proposals for its amendment. Member States shall provide to the Commission all appropriate information for the preparation of the report.

Article 26

This Regulation does not affect:

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

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

Article 27

Regulation (EC) No 1334/2000 is repealed with effect from 27 August 2009.

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

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

Article 28

This Regulation shall enter into force 90 days after the date of its publication in the Official Journal of the European Union.

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

Done at Brussels, 5 May 2009.

For the Council

The President

M. KALOUSEK

(1) OJ L 159, 30.6.2000, p. 1.

(2) OJ L 324, 27.12.1969, p. 25.

(3) OJ L 302, 19.10.1992, p. 1.

(4) OJ L 253, 11.10.1993, p. 1.

(5) OJ L 335, 13.12.2008, p. 99.

(6) OJ L 82, 22.3.1997, p. 1.

(7) OJ L 281, 23.11.1995, p. 31.

(8) OJ L 8, 12.1.2001, p. 1.

ANNEX I

List referred to in Article 3 of this Regulation

LIST OF DUAL-USE ITEMS

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

CONTENTS

Notes

Definitions

Acronyms and abbreviations

Category 0

Nuclear materials, facilities and equipment

Category 1

Special materials and related equipment

Category 2

Materials Processing

Category 3

Electronics

Category 4

Computers

Category 5

Telecommunications and "information security"

Category 6

Sensors and lasers

Category 7

Navigation and avionics

Category 8

Marine

Category 9

Aerospace and Propulsion

GENERAL NOTES TO ANNEX I

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

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

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

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

NUCLEAR TECHNOLOGY NOTE (NTN)

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

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

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

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

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

GENERAL TECHNOLOGY NOTE (GTN)

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

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

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

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

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

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

GENERAL SOFTWARE NOTE (GSN)

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

Categories 0 to 9 of this list do not control "software" which is either:

Generally available to the public by being:

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

a.	Over-the-counter transactions;

b.	Mail order transactions;

c.	Electronic transactions; or

d.	Telephone order transactions; and

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

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

b.	"In the public domain".

EDITORIAL PRACTICES IN THE OFFICIAL JOURNAL OF THE EC

In accordance with the rules set out in paragraph 101 on page 86 of the Interinstitutional style guide (1997 edition), for texts in English published in the Official Journal of the European Communities:

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

—	whole numbers are presented in series of three, each series being separated by a thin space.

DEFINITIONS OF TERMS USED IN THIS ANNEX

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

"Angular position deviation" (2) means the maximum difference between angular position and the actual, very accurately measured angular position after the workpiece mount of the table has been turned out of its initial position (ref. VDI/VDE 2617, Draft: ’Rotary tables on coordinate measuring machines’).

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

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

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

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

"Average output power" (6) means the total "laser" output energy in joules divided by the "laser duration" in seconds.

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

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

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

a.	The common hardware and software architecture;

b.	The common design and process technology; and

c.	The common basic characteristics.

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

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

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

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

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

"CE" is equivalent to "computing element".

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

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

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

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

"Civil aircraft" (1 7 9) means those "aircraft" listed by designation in published airworthiness certification lists by the civil aviation authorities to fly commercial civil internal and external routes or for legitimate civil, private or business use.

N.B.: See also "aircraft".

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

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

"Common channel signalling" (5) is a signalling method in which a single channel between exchanges conveys, by means of labelled messages, signalling information relating to a multiplicity of circuits or calls and other information such as that used for network management.

"Communications channel controller" (4) means the physical interface which controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.

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

"Composite" (1 2 6 8 9) means a "matrix" and an additional phase or additional phases consisting of particles, whiskers, fibres or any combination thereof, present for a specific purpose or purposes.

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

"Computing element" ("CE") (4) means the smallest computational unit that produces an arithmetic or logic result.

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

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

"Critical temperature" (1 3 6) (sometimes referred to as the transition temperature) of a specific "superconductive" material means the temperature at which the material loses all resistance to the flow of direct electrical current.

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

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

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

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

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

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

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

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

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

"Diffusion bonding" (1 2 9) means a solid state molecular joining of at least two separate metals into a single piece with a joint strength equivalent to that of the weakest material.

"Digital computer" (4 5) means equipment which can, in the form of one or more discrete variables, perform all of the following:

a.	Accept data;

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

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

d.	Provide output of data.

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

"Digital transfer rate" (5) means the total bit rate of the information that is directly transferred on any type of medium.

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

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

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

"Dynamic adaptive routing" (5) means automatic rerouting of traffic based on sensing and analysis of current actual network conditions.

N.B.: This does not include cases of routing decisions taken on predefined information.

"Dynamic signal analysers" (3) means "signal analysers" which use digital sampling and transformation techniques to form a Fourier spectrum display of the given waveform including amplitude and phase information.

N.B.: See also "signal analysers".

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

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

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

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

"Electronic assembly" (2 3 4 5) means a number of electronic components (i.e., ’circuit elements’, ’discrete components’, integrated circuits, etc.) connected together to perform (a) specific function(s), replaceable as an entity and normally capable of being disassembled.

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

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

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

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

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

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

"Expert systems" (7) mean systems providing results by application of rules to data which are stored independently of the "programme" and capable of any of the following:

a.	Modifying automatically the "source code" introduced by the user;

b.	Providing knowledge linked to a class of problems in quasi-natural language; or

c.	Acquiring the knowledge required for their development (symbolic training).

"Explosives" (1) means solid, liquid or gaseous substances or mixtures of substances which, in their application as primary, booster, or main charges in warheads, demolition and other applications, are required to detonate.

"FADEC" is equivalent to "full authority digital engine control".

"Fault tolerance" (4) is the capability of a computer system, after any malfunction of any of its hardware or "software" components, to continue to operate without human intervention, at a given level of service that provides: continuity of operation, data integrity and recovery of service within a given time.

"Fibrous or filamentary materials" (0 1 2 8) include:

a.	Continuous "monofilaments";

b.	Continuous "yarns" and "rovings";

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

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

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

f.	Aromatic polyamide pulp.

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

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

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

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

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

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

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

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

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

"Frequency switching time" (3 5) means the maximum time (i.e., delay), taken by a signal, when switched from one selected output frequency to another selected output frequency, to reach:

a.	A frequency within 100 Hz of the final frequency; or

b.	An output level within 1 dB of the final output level.

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

"Full Authority Digital Engine Control" ("FADEC") (7 9) means an electronic control system for gas turbine or combined cycle engines utilising a digital computer to control the variables required to regulate engine thrust or shaft power output throughout the engine operating range from the beginning of fuel metering to fuel shutoff.

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

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

"Geographically dispersed" (6) is where each location is distant from any other more than 1 500 m in any direction. Mobile sensors are always considered "geographically dispersed".

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

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

"Hybrid computer" (4) means equipment which can perform all of the following:

a.	Accept data;

b.	Process data, in both analogue and digital representations; and

c.	Provide output of data.

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

a.	Containing at least one unencapsulated device;

b.	Connected together using typical IC production methods;

c.	Replaceable as an entity; and

d.	Not normally capable of being disassembled.

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

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

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

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

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

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

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

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

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

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

"Interconnected radar sensors" (6) means two or more radar sensors are interconnected when they mutually exchange data in real time.

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

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

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

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

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

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

N.B.: See also:

"Chemical laser";

"Q-switched laser";

"Super High Power Laser";

"Transfer laser".

"Laser duration" (6) means the time over which a "laser" emits "laser" radiation, which for "pulsed lasers" corresponds to the time over which a single pulse or series of consecutive pulses is emitted.

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

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

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

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

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

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

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

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

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

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

"Materials resistant to corrosion by UF6 " (0) may be copper, stainless steel, aluminium, aluminium oxide, aluminium alloys, nickel or alloy containing 60 weight percent or more nickel and UF6- resistant fluorinated hydrocarbon polymers, as appropriate for the type of separation process.

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

"Measurement uncertainty" (2) is the characteristic parameter which specifies in what range around the output value the correct value of the measurable variable lies with a confidence level of 95 %. It includes the uncorrected systematic deviations, the uncorrected backlash and the random deviations (ref. ISO 10360-2, or VDI/VDE 2617).

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

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

N.B.: ’Solidify rapidly’: solidification of molten material at cooling rates exceeding 1,000 K/s.

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

N.B.: ’Solidify rapidly’: solidification of molten material at cooling rates exceeding 1,000 K/s.

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

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

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

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

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

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

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

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

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

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

b.	Can be considered as indivisibly associated; and

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

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

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

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

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

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

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

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

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

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

"Object code" (9) means an equipment executable form of a convenient expression of one or more processes ("source code" (source language)) which has been converted by programming system.

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

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

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

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

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

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

"Peak power" (6), means the highest level of power attained in the "laser duration".

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

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

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

Technical Note:

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

"Personalized smart card" (5) means a smart card or an electronically readable personal document (e.g., e-passport), containing a microcircuit which has been programmed for a specific application and cannot be reprogrammed for any other application by the user.

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

"Pressure transducers" (2) are devices that convert pressure measurements into an electrical signal.

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

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

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

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

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

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

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

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

"Pulse duration" (6) is the duration of a "laser" pulse measured at Full Width Half Intensity (FWHI) levels.

"Pulsed laser" (6) means a "laser" having a "pulse duration" that is less than or equal to 0.25 seconds.

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

"Q-switched laser" (6) means a "laser" in which the energy is stored in the population inversion or in the optical resonator and subsequently emitted in a pulse.

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

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

"Real-time bandwidth" (3) for "dynamic signal analysers" is the widest frequency range which the analyser can output to display or mass storage without causing any discontinuity in the analysis of the input data. For analysers with more than one channel, the channel configuration yielding the widest "real-time bandwidth" shall be used to make the calculation.

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

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

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

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

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

Technical Note:

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

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

a.	Is multifunctional;

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

"Source code" (or source language) (4 6 7 9) is a convenient expression of one or more processes which may be turned by a programming system into equipment executable form ("object code" (or object language)).

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

"Space-qualified" (3 6) refers to products designed, manufactured and tested to meet the special electrical, mechanical or environmental requirements for use in the launch and deployment of satellites or high altitude flight systems operating at altitudes of 100 km or higher.

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

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

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

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

N.B.: ’Solidify rapidly’ solidification of molten material at cooling rates exceeding 1,000 K/s.

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

"Spread spectrum" radar (6) — see "Radar spread spectrum"

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

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

"Substrate" (3) means a sheet of base material with or without an interconnection pattern and on which or within which ’discrete components’ or integrated circuits or both can be located.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

a.	A physical change in wiring or interconnections; or

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

"Vaccine" (1) is a medicinal product in a pharmaceutical formulation licensed by, or having marketing or clinical trial authorisation from, the regulatory authorities of either the country of manufacture or of use, which is intended to stimulate a protective immunological response in humans or animals in order to prevent disease in those to whom or to which it is administered.

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

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

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

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

ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX

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

Acronym or abbreviation	Meaning
ABEC	Annular Bearing Engineers Committee
AGMA	American Gear Manufacturers' Association
AHRS	attitude and heading reference systems
AISI	American Iron and Steel Institute
ALU	arithmetic logic unit
ANSI	American National Standards Institute
ASTM	the American Society for Testing and Materials
ATC	air traffic control
AVLIS	atomic vapour laser isotope separation
CAD	computer-aided-design
CAS	Chemical Abstracts Service
CCITT	International Telegraph and Telephone Consultative Committee
CDU	control and display unit
CEP	circular error probable
CNTD	controlled nucleation thermal deposition
CRISLA	chemical reaction by isotope selective laser activation.
CVD	chemical vapour deposition
CW	chemical warfare
CW (for lasers)	continuous wave
DME	distance measuring equipment
DS	directionally solidified
EB-PVD	electron beam physical vapour deposition
EBU	European Broadcasting Union
ECM	electro-chemical machining
ECR	electron cyclotron resonance
EDM	electrical discharge machines
EEPROMS	electrically erasable programmable read only memory
EIA	Electronic Industries Association
EMC	electromagnetic compatibility
ETSI	European Telecommunications Standards Institute
FFT	Fast Fourier Transform
GLONASS	global navigation satellite system
GPS	global positioning system
HBT	hetero-bipolar transistors
HDDR	high density digital recording
HEMT	high electron mobility transistors
ICAO	International Civil Aviation Organisation
IEC	International Electro-technical Commission
IEEE	Institute of Electrical and Electronic Engineers
IFOV	instantaneous-field-of-view
ILS	instrument landing system
IRIG	inter-range instrumentation group
ISA	international standard atmosphere
ISAR	inverse synthetic aperture radar
ISO	International Organization for Standardization
ITU	International Telecommunication Union
JIS	Japanese Industrial Standard
JT	Joule-Thomson
LIDAR	light detection and ranging
LRU	line replaceable unit
MAC	message authentication code
Mach	ratio of speed of an object to speed of sound (after Ernst Mach)
MLIS	molecular laser isotopic separation
MLS	microwave landing systems
MOCVD	metal organic chemical vapour deposition
MRI	magnetic resonance imaging
MTBF	mean-time-between-failures
Mtops	million theoretical operations per second
MTTF	mean-time-to-failure
NBC	Nuclear, Biological and Chemical
NDT	non-destructive test
PAR	precision approach radar
PIN	personal identification number
ppm	parts per million
PSD	power spectral density
QAM	quadrature-amplitude-modulation
RF	radio frequency
SACMA	Suppliers of Advanced Composite Materials Association
SAR	synthetic aperture radar
SC	single crystal
SLAR	sidelooking airborne radar
SMPTE	Society of Motion Picture and Television Engineers
SRA	shop replaceable assembly
SRAM	static random access memory
SRM	SACMA Recommended Methods
SSB	single sideband
SSR	secondary surveillance radar
TCSEC	trusted computer system evaluation criteria
TIR	total indicated reading
UV	ultraviolet
UTS	ultimate tensile strength
VOR	very high frequency omni-directional range
YAG	yttrium/aluminum garnet

CATEGORY 0

NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT

0A
Systems, Equipment and Components

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

a.	"Nuclear reactors";

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

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

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

e.	Pressure tubes specially designed or prepared to contain fuel elements and the primary coolant in a "nuclear reactor" at an operating pressure in excess of 5,1 MPa;

f.	Zirconium metal and alloys in the form of tubes or assemblies of tubes in which the ratio of hafnium to zirconium is less than 1:500 parts by weight, specially designed or prepared for use in a "nuclear reactor";

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

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

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

i.	Heat exchangers (steam generators) specially designed or prepared for use in the primary coolant circuit of a "nuclear reactor";

j.	Neutron detection and measuring instruments specially designed or prepared for determining neutron flux levels within the core of a "nuclear reactor".

0B
Test, Inspection and Production Equipment

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

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

1.	Gas centrifuge separation plant;

2.	Gaseous diffusion separation plant;

3.	Aerodynamic separation plant;

4.	Chemical exchange separation plant;

5.	Ion-exchange separation plant;

6.	Atomic vapour "laser" isotope separation (AVLIS) plant;

7.	Molecular "laser" isotope separation (MLIS) plant;

8.	Plasma separation plant;

9.	Electro magnetic separation plant;

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

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

a.	Maraging steel capable of an ultimate tensile strength of 2 050 MPa or more;

b.	Aluminium alloys capable of an ultimate tensile strength of 460 MPa or more; or

c.	"Fibrous or filamentary materials" with a "specific modulus" of more than 3,18 × 106 m and a "specific tensile strength" greater than 76,2 × 103 m;

1.	Gas centrifuges;

2.	Complete rotor assemblies;

3.	Rotor tube cylinders with a wall thickness of 12 mm or less, a diameter of between 75 mm and 400 mm, made from ’high strength-to-density ratio materials’;

4.	Rings or bellows with a wall thickness of 3 mm or less and a diameter of between 75 mm and 400 mm and designed to give local support to a rotor tube or to join a number together, made from ’high strength-to-density ratio materials’;

5.	Baffles of between 75 mm and 400 mm diameter for mounting inside a rotor tube, made from ’high strength-to-density ratio materials’.

6.	Top or bottom caps of between 75 mm and 400 mm diameter to fit the ends of a rotor tube, made from ’high strength-to-density ratio materials’;

7.	Magnetic suspension bearings 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;

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

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

10.	Ring-shaped motor stators for multiphase AC hysteresis (or reluctance) motors for synchronous operation within a vacuum in the frequency range of 600 to 2 000 Hz and a power range of 50 to 1 000 Volt-Amps;

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 and made of or protected by "materials resistant to corrosion by UF6";

12.	Scoops consisting of tubes of up to 12 mm internal diameter for the extraction of UF6 gas from within a centrifuge rotor tube by a Pitot tube action, made of or protected by "materials resistant to corrosion by UF6";

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.	Multiphase output of 600 to 2 000 Hz;

b.	Frequency control better than 0,1 %;

c.	Harmonic distortion of less than 2 %; and

d.	An efficiency greater than 80 %;

14.	Bellows valves made of or protected by "materials resistant to corrosion by UF6", with a diameter of 10 mm to 160 mm;

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

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

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

3.	Compressors (positive displacement, centrifugal and axial flow types) or gas blowers with a suction volume capacity of 1 m3/min or more of UF6, and discharge pressure up to 666.7 kPa, made of or protected by "materials resistant to corrosion by UF6";

4.	Rotary shaft seals for compressors or blowers specified in 0B001.c.3. and designed for a buffer gas in-leakage rate of less than 1 000 cm3/min.;

Heat exchangers made of aluminium, copper, nickel, or alloys containing more than 60 per cent nickel, or combinations of these metals as clad tubes, designed to operate at sub-atmospheric pressure with a leak rate that limits the pressure rise to less than 10 Pa per hour under a pressure differential of 100 kPa;

6.	Bellow valves made of or protected by "materials resistant to corrosion by UF6", with a diameter of 40 mm to 1 500 mm;

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

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

2.	Tangential inlet flow-driven cylindrical or conical tubes, (vortex tubes), made of or protected by "materials resistant to corrosion by UF6" with a diameter of between 0,5 cm and 4 cm and a length to diameter ratio of 20:1 or less and with one or more tangential inlets;

3.	Compressors (positive displacement, centrifugal and axial flow types) or gas blowers with a suction volume capacity of 2 m3/min or more, made of or protected by "materials resistant to corrosion by UF6", and rotary shaft seals therefor;

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

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

6.	Bellows valves made of or protected by "materials resistant to corrosion by UF6", with a diameter of 40 to 1 500 mm;

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 temperatures of 253 K (–20°C) or less;

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 fluorocarbon polymers or glass);

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

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

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

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

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

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

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);

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;

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;

Equipment and components, specially designed or prepared for atomic vapour "laser" isotope separation process (AVLIS), as follows:

1.	High power strip or scanning electron beam guns with a delivered power of more than 2,5 kW/cm for use in uranium vaporization systems;

Liquid uranium metal handling systems for molten uranium or uranium alloys, consisting of crucibles, made of or protected by suitable corrosion and heat resistant materials (e.g. tantalum, yttria-coated graphite, graphite coated with other rare earth oxides or mixtures thereof), and cooling equipment for the crucibles;

N.B.: SEE ALSO 2A225.

3.	Product and tails collector systems made of or lined with materials resistant to the heat and corrosion of uranium metal vapour or liquid, such as yttria-coated graphite or tantalum;

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

5.	"Lasers" or "laser" systems for the separation of uranium isotopes with a spectrum frequency stabiliser for operation over extended periods of time; N.B.: SEE ALSO 6A005 AND 6A205.

Equipment and components, specially designed or prepared for molecular "laser" isotope separation process (MLIS) or chemical reaction by isotope selective laser activation (CRISLA), as follows:

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

2.	Uranium pentafluoride (UF5) product collectors consisting of filter, impact, or cyclone-type collectors or combinations thereof, and made of "materials resistant to corrosion by UF5/UF6";

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

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

Process systems for separating UF6 from carrier gas (e.g. nitrogen or argon) 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 temperatures of 253 K (–20 °C) or less;

6.	"Lasers" or "laser" systems for the separation of uranium isotopes with a spectrum frequency stabiliser for operation over extended periods of time; N.B.: SEE ALSO 6A005 AND 6A205.

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

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

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

3.	Uranium plasma generation systems;

Liquid metal handling systems for molten uranium or uranium alloys, consisting of crucibles, made of or protected by suitable corrosion and heat resistant materials (e.g. tantalum, yttria-coated graphite, graphite coated with other rare earth oxides or mixtures thereof), and cooling equipment for the crucibles;

N.B.: SEE ALSO 2A225.

5.	Product and tails collectors made of or protected by materials resistant to the heat and corrosion of uranium vapour such as yttria-coated graphite or tantalum;

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

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

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

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

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

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

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.

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

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

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

N.B.: SEE ALSO 3A226.

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

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

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

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

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

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

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

2.	Vacuum pumps specially designed for use in UF6 bearing atmospheres;

UF6 mass spectrometers/ion sources specially designed or prepared for taking on-line samples of feed, product or tails from UF6 gas streams and having all of the following characteristics:

1.	Unit resolution for mass of more than 320 amu;

2.	Ion sources constructed of or lined with nichrome or monel, or nickel plated;

3.	Electron bombardment ionisation sources; and

4.	Collector system suitable for isotopic analysis.

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

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

b.	Systems for the conversion of UO3 to UF6;

c.	Systems for the conversion of UO3 to UO2;

d.	Systems for the conversion of UO2 to UF4;

e.	Systems for the conversion of UF4 to UF6;

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

g.	Systems for the conversion of UF6 to UO2;

h.	Systems for the conversion of UF6 to UF4;

i.	Systems for the conversion of UO2 to UCl4.

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

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

1.	Water-hydrogen sulphide exchange plants;

2.	Ammonia-hydrogen exchange plants;

Equipment and components, as follows:

1.	Water-hydrogen sulphide exchange towers fabricated from fine carbon steel (e.g. ASTM A516) with diameters of 6 m to 9 m, capable of operating at pressures greater than or equal to 2 MPa and with a corrosion allowance of 6 mm or greater;

Single stage, low head (i.e. 0,2 MPa) centrifugal blowers or compressors for hydrogen sulphide gas circulation (i.e. gas containing more than 70 % H2S) with a throughput capacity greater than or equal to 56 m3/second when operating at pressures greater than or equal to 1.8 MPa suction and having seals designed for wet H2S service;

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

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

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

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

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

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

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

Note: A plant for the fabrication of "nuclear reactor" fuel elements includes equipment which:

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

b.	Seals the nuclear materials within the cladding;

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

d.	Checks the finish treatment of the sealed fuel.

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

Note: 0B006 includes:

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

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

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

d.	Counter-current solvent extractors and ion-exchange processing equipment specially designed or prepared for use in a plant for the reprocessing of irradiated "natural uranium", "depleted uranium" or "special fissile materials";

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

Note: Holding or storage vessels may have the following features:

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

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

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

f.	Process control instrumentation specially designed or prepared for monitoring or controlling the reprocessing of irradiated "natural uranium", "depleted uranium" or "special fissile materials".

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

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

b.	Systems for plutonium metal production.

0C
Materials

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;

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

1.	Shielding;

2.	Packaging;

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

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

c.	Alloys containing less than 5 % thorium;

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

0C002
"Special fissile materials"

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

0C003
Deuterium, heavy water (deuterium oxide) and other compounds of deuterium, and mixtures and solutions containing deuterium, in which the isotopic ratio of deuterium to hydrogen exceeds 1:5 000.

0C004
Graphite, nuclear grade, having a purity level of less than 5 parts per million ’boron equivalent’ and with a density greater than 1,5 g/cm3.

N.B.: SEE ALSO 1C107

Note 1: 0C004 does not control the following:

a.	Manufactures of graphite having a mass less than 1 kg, other than those specially designed or prepared for use in a nuclear reactor;

b.	Graphite powder.

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;

where CF is the conversion factor =

and σB and σZ are the thermal neutron capture cross sections (in barns) for naturally occurring boron and element Z respectively; and AB and AZ are the atomic masses of naturally occurring boron and element Z respectively.

0C005
Specially prepared compounds or powders for the manufacture of gaseous diffusion barriers, resistant to corrosion by UF6 (e.g. nickel or alloy containing 60 weight per cent or more nickel, aluminium oxide and fully fluorinated hydrocarbon polymers), having a purity of 99,9 weight per cent or more and a mean particle size of less than 10 micrometres measured by American Society for Testing and Materials (ASTM) B330 standard and a high degree of particle size uniformity.

0D
Software

0D001
"Software" specially designed or modified for the "development", "production" or "use" of goods specified in this Category.

0E
Technology

0E001
"Technology" according to the Nuclear Technology Note for the "development", "production" or "use" of goods specified in this Category.

CATEGORY 1

SPECIAL MATERIALS AND RELATED EQUIPMENT

1A
Systems, Equipment and Components

1A001
Components made from fluorinated compounds, as follows:

a.	Seals, gaskets, sealants or fuel bladders, specially designed for "aircraft" or aerospace use, made from more than 50 % by weight of any of the materials specified in 1C009.b. or 1C009.c.;

Piezoelectric polymers and copolymers, made from vinylidene fluoride materials, specified in 1C009.a.:

1.	In sheet or film form; and

2.	With a thickness exceeding 200 µm;

Seals, gaskets, valve seats, bladders or diaphragms, having all of the following:

1.	Made from fluoroelastomers containing at least one vinylether group as a constitutional unit; and

2.	Specially designed for "aircraft", aerospace or ’missile’ use.

Note: In 1A001.c., ’missile’ means complete rocket systems and unmanned aerial vehicle systems.

1A002
"Composite" structures or laminates, having any of the following:

N.B.: SEE ALSO 1A202, 9A010 and 9A110

a.	Consisting of an organic "matrix" and materials specified in 1C010.c., 1C010.d. or 1C010.e.; or

Consisting of a metal or carbon "matrix", and any of the following:

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, provided the size does not exceed 100 cm × 100 cm.

Note 2: 1A002 does not control finished or 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 finished or 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.

1A003
Manufactures of non-"fusible" aromatic polyimides in film, sheet, tape or ribbon form having any of the following:

a.	A thickness exceeding 0,254 mm; or

b.	Coated or laminated with carbon, graphite, metals or magnetic substances.

Note: 1A003 does not control manufactures when coated or laminated with copper and designed for the production of electronic printed circuit boards.

N.B.: For "fusible" aromatic polyimides in any form, see 1C008.a.3.

1A004
Protective and detection equipment and components, other than those specified in military goods controls, as follows:

N.B.: SEE ALSO 2B351 AND 2B352.

Gas masks, filter canisters and decontamination equipment therefor, designed or modified for defence against any of the following, and specially designed components therefor:

1.	Biological agents "adapted for use in war";

2.	Radioactive materials "adapted for use in war";

3.	Chemical warfare (CW) agents; or

"Riot control agents", including:

a.	α-Bromobenzeneacetonitrile, (Bromobenzyl cyanide) (CA) (CAS 5798-79-8);

b.	[(2-chlorophenyl) methylene] propanedinitrile, (o-Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);

c.	2-Chloro-1-phenylethanone, Phenylacyl chloride (ω-chloroacetophenone) (CN) (CAS 532-27-4);

d.	Dibenz-(b,f)-1,4-oxazephine (CR) (CAS 257-07-8);

e.	10-Chloro-5,10-dihydrophenarsazine, (Phenarsazine chloride), (Adamsite), (DM) (CAS 578-94-9);

f.	N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);

Protective suits, gloves and shoes, specially designed or modified for defence against any of the following:

1.	Biological agents "adapted for use in war";

2.	Radioactive materials "adapted for use in war"; or

3.	Chemical warfare (CW) agents;

Nuclear, biological and chemical (NBC) detection systems, specially designed or modified for detection or identification of any of the following, and specially designed components therefor:

1.	Biological agents "adapted for use in war";

2.	Radioactive materials "adapted for use in war"; or

3.	Chemical warfare (CW) agents.

d.	Electronic equipment designed for automatically detecting or identifying the presence of "explosives" residues and utilising ’trace detection’ techniques (e.g., surface acoustic wave, ion mobility spectrometry, differential mobility spectrometry, mass spectrometry).

Technical Note: ’Trace detection’ is defined as the capability to detect less than 1 ppm vapour, or 1 mg solid or liquid.

Note 1: 1A004.d. does not control equipment specially designed for laboratory use.

Note 2: 1A004.d. does not control non-contact walk-through security portals.

Note: 1A004 does not control:

a.	Personal radiation monitoring dosimeters;

b.	Equipment limited by design or function to protect against hazards specific to residential safety and civil industries, such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or to the food industry.

Technical Notes:

1A004 includes equipment and components that have been identified, successfully tested to national standards or otherwise proven effective, for the detection of or defence against radioactive materials "adapted for use in war", biological agents "adapted for use in war", chemical warfare agents, ’simulants’ or "riot control agents", even if such equipment or components are used in civil industries such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or the food industry.

2.	’Simulant’ is a substance or material that is used in place of toxic agent (chemical or biological) in training, research, testing or evaluation.

1A005
Body armour, and specially designed components therefor, other than those manufactured to military standards or specifications or to their equivalents in performance.

N.B.: SEE ALSO MILITARY GOODS CONTROLS.

N.B.: For "fibrous or filamentary materials" used in the manufacture of body armour, see 1C010.

Note 1: 1A005 does not control body armour or protective garments, when accompanying their user for the user's own personal protection.

Note 2: 1A005 does not control body armour designed to provide frontal protection only from both fragment and blast from non-military explosive devices.

1A006
Equipment, specially designed or modified for the disposal of improvised explosive devices, as follows, and specially designed components and accessories therefor:

N.B.: SEE ALSO MILITARY GOODS CONTROLS.

a.	Remotely operated vehicles;

b.	’Disruptors’.

Technical Note:

’Disruptors’ are devices specially designed for the purpose of preventing the operation of an explosive device by projecting a liquid, solid or frangible projectile.

Note: 1A006 does not control equipment when accompanying its operator.

1A007
Equipment and devices, specially designed to initiate charges and devices containing energetic materials, by electrical means, as follows:

N.B.: SEE ALSO MILITARY GOODS CONTROLS, 3A229 AND 3A232.

a.	Explosive detonator firing sets designed to drive explosive detonators specified in 1A007.b.;

Electrically driven explosive detonators as follows:

1.	Exploding bridge (EB);

2.	Exploding bridge wire (EBW);

Slapper;

4.	Exploding foil initiators (EFI).

Technical Notes:

1.	The word initiator or igniter is sometimes used in place of the word detonator.

For the purpose of 1A007.b. the detonators of concern all utilise a small electrical conductor (bridge, bridge wire, or foil) that explosively vaporises when a fast, high-current electrical pulse is passed through it. In non-slapper types, the exploding conductor starts a chemical detonation in a contacting high explosive material such as PETN (pentaerythritoltetranitrate). In slapper detonators, the explosive vaporization of the electrical conductor drives a flyer or slapper across a gap, and the impact of the slapper on an explosive starts a chemical detonation. The slapper in some designs is driven by magnetic force. The term exploding foil detonator may refer to either an EB or a slapper-type detonator.

1A008
Charges, devices and components, as follows:

’Shaped charges’ having all of the following:

1.	Net Explosive Quantity (NEQ) greater than 90 g; and

2.	Outer casing diameter equal to or greater than 75 mm;

Linear shaped cutting charges having all of the following, and specially designed components therefor:

1.	An explosive load greater than 40 g/m; and

2.	A width of 10 mm or more;

c.	Detonating cord with explosive core load greater than 64 g/m;

d.	Cutters, other than those specified in 1A008.b., and severing tools, having a Net Explosive Quantity (NEQ) greater than 3,5 kg.

Technical Note:

’Shaped charges’ are explosive charges shaped to focus the effects of the explosive blast.

1A102
Resaturated pyrolized carbon-carbon components designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

1A202
Composite structures, other than those specified in 1A002, in the form of tubes and having both of the following characteristics:

N.B.: SEE ALSO 9A010 AND 9A110.

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

b.	Made with any of the "fibrous or filamentary materials" specified in 1C010.a. or b. or 1C210.a. or with carbon prepreg materials specified in 1C210.c.

1A225
Platinized catalysts specially designed or prepared for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from heavy water or for the production of heavy water.

1A226
Specialized packings which may be used in separating heavy water from ordinary water, having both of the following characteristics:

a.	Made of phosphor bronze mesh chemically treated to improve wettability; and

b.	Designed to be used in vacuum distillation towers.

1A227
High-density (lead glass or other) radiation shielding windows, having all of the following characteristics, and specially designed frames therefor:

a.	A ’cold area’ greater than 0,09 m2;

b.	A density greater than 3 g/cm3; and

c.	A thickness of 100 mm or greater.

Technical Note:

In 1A227 the term ’cold area’ means the viewing area of the window exposed to the lowest level of radiation in the design application.

1B
Test, Inspection and Production Equipment

1B001
Equipment for the production of fibres, prepregs, preforms or "composites", specified in 1A002 or 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 axes, specially designed for the manufacture of "composite" structures or laminates, from "fibrous or filamentary materials";

Tape-laying or tow-placement machines, of which the motions for positioning and laying tape, tows or sheets are coordinated and programmed in two or more 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.

Multidirectional, multidimensional weaving machines or interlacing machines, including adapters and modification kits, for weaving, interlacing or braiding fibres, to manufacture "composite" structures;

Technical Note:

For the purposes of 1B001.c., the technique of interlacing includes knitting.

Note: 1B001.c. does not control textile machinery not modified for the above end-uses.

Equipment specially designed or adapted for the production of reinforcement fibres, as follows:

1.	Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon fibres or silicon carbide fibres, including special equipment to strain the fibre during heating;

2.	Equipment for the chemical vapour deposition of elements or compounds, on heated filamentary substrates, to manufacture silicon carbide fibres;

3.	Equipment for the wet-spinning of refractory ceramics (such as aluminium oxide);

4.	Equipment for converting aluminium containing precursor fibres into alumina fibres by heat treatment;

e.	Equipment for producing prepregs specified in 1C010.e. by the hot melt method;

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.

1B002
Equipment for producing metal alloys, metal alloy powder or alloyed materials, specially designed to avoid contamination and specially designed for use in one of the processes specified in 1C002.c.2.

N.B.: SEE ALSO 1B102.

1B003
Tools, dies, moulds or fixtures, for "superplastic forming" or "diffusion bonding" titanium, aluminium or their alloys, specially designed for the manufacture of any of the following:

a.	Airframe or aerospace structures;

b.	"Aircraft" or aerospace engines; or

c.	Specially designed components for structures specified in 1B003.a. or for engines specified in 1B003.b.

1B101
Equipment, other than that specified in 1B001, for the "production" of structural composites as follows; and specially designed components and accessories therefor:

N.B.: SEE ALSO 1B201.

Note: Components and accessories specified in 1B101 include moulds, mandrels, dies, fixtures and tooling for the preform pressing, curing, casting, sintering or bonding of composite structures, laminates and manufactures thereof.

Filament winding machines or fibre placement machines, of which the motions for positioning, wrapping and winding fibres can be coordinated and programmed in three or more axes, designed to fabricate composite structures or laminates from fibrous or filamentary materials, and coordinating and programming controls;

b.	Tape-laying machines of which the motions for positioning and laying tape and sheets can be coordinated and programmed in two or more axes, designed for the manufacture of composite airframe and "missile" structures;

Equipment designed or modified for the "production" of "fibrous or filamentary materials" as follows:

1.	Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon or polycarbosilane) including special provision to strain the fibre during heating;

2.	Equipment for the vapour deposition of elements or compounds on heated filament substrates;

3.	Equipment for the wet-spinning of refractory ceramics (such as aluminium oxide);

d.	Equipment designed or modified for special fibre surface treatment or for producing prepregs and preforms specified in entry 9C110. Note: 1B101.d. includes rollers, tension stretchers, coating equipment, cutting equipment and clicker dies.

1B102
Metal powder "production equipment", other than that specified in 1B002, and components as follows:

N.B.: SEE ALSO 1B115.b.

a.	Metal powder "production equipment" usable for the "production", in a controlled environment, of spherical or atomised materials specified in 1C011.a., 1C011.b., 1C111.a.1., 1C111.a.2. or in the Military Goods Controls.

b.	Specially designed components for "production equipment" specified in 1B002 or 1B102.a.

Note: 1B102 includes:

a.	Plasma generators (high frequency arc-jet) usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment;

b.	Electroburst equipment usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment;

c.	Equipment usable for the "production" of spherical aluminium powders by powdering a melt in an inert medium (e.g. nitrogen).

1B115
Equipment, other than that specified in 1B002 or 1B102, for the production of propellant and propellant constituents, as follows, and specially designed components therefor:

a.	"Production equipment" for the "production", handling or acceptance testing of liquid propellants or propellant constituents specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls;

"Production equipment" for the "production", handling, mixing, curing, casting, pressing, machining, extruding or acceptance testing of solid propellants or propellant constituents specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls.

Note: 1B115.b. does not control batch mixers, continuous mixers or fluid energy mills. For the control of batch mixers, continuous mixers and fluid energy mills see 1B117, 1B118 and 1B119.

Note 1: For equipment specially designed for the production of military goods, see the Military Goods Controls.

Note 2: 1B115 does not control equipment for the "production", handling and acceptance testing of boron carbide.

1B116
Specially designed nozzles for producing pyrolitically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1 573 K (1 300 °C) to 3 173 K (2 900 °C) temperature range at pressures of 130 Pa to 20 kPa.

1B117
Batch mixers with provision for mixing under vacuum in the range of zero to 13,326 kPa and with temperature control capability of the mixing chamber and having all of the following, and specially designed components therefor:

a.	A total volumetric capacity of 110 litres or more; and

b.	At least one mixing/kneading shaft mounted off centre.

1B118
Continuous mixers with provision for mixing under vacuum in the range of zero to 13.326 kPa and with a temperature control capability of the mixing chamber having any of the following, and specially designed components therefor:

a.	Two or more mixing/kneading shafts; or

b.	A single rotating shaft which oscillates and having kneading teeth/pins on the shaft as well as inside the casing of the mixing chamber.

1B119
Fluid energy mills usable for grinding or milling substances specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls, and specially designed components therefor.

1B201
Filament winding machines, other than those specified in 1B001 or 1B101, and related equipment, as follows:

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 rotors of diameter between 75 and 400 mm and lengths of 600 mm or greater;

b.	Coordinating and programming controls for the filament winding machines specified in 1B201.a.;

c.	Precision mandrels for the filament winding machines specified in 1B201.a.

1B225
Electrolytic cells for fluorine production with an output capacity greater than 250 g of fluorine per hour.

1B226
Electromagnetic isotope separators designed for, or equipped with, single or multiple ion sources capable of providing a total ion beam current of 50 mA or greater.

Note: 1B226 includes separators:

a.	Capable of enriching stable isotopes;

b.	With the ion sources and collectors both in the magnetic field and those configurations in which they are external to the field.

1B227
Ammonia synthesis converters or ammonia synthesis units, in which the synthesis gas (nitrogen and hydrogen) is withdrawn from an ammonia/hydrogen high-pressure exchange column and the synthesized ammonia is returned to said column.

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;

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 1 m or greater and effective lengths of 5 m or greater.

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.

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;

’Internal contactors’ for the water-hydrogen sulphide exchange tray columns specified in 1B229.a.

Technical Note:

’Internal contactors’ of the columns are segmented trays which have an effective assembled diameter of 1,8 m or greater, are designed to facilitate countercurrent contacting and are constructed of stainless steels with a carbon content of 0,03 % or less. These may be sieve trays, valve trays, bubble cap trays, or turbogrid trays.

1B230
Pumps capable of circulating solutions of concentrated or dilute potassium amide catalyst in liquid ammonia (KNH2/NH3), having all of the following characteristics:

a.	Airtight (i.e., hermetically sealed);

b.	A capacity greater than 8,5 m3/h; and

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;

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.

1B233
Lithium isotope separation facilities or plants, and equipment therefor, as follows:

a.	Facilities or plants for the separation of lithium isotopes;

Equipment for the separation of lithium isotopes, 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.

1C
Materials

Technical Note:

Metals and alloys:

Unless provision to the contrary is made, the words ’metals’ and ’alloys’ in 1C001 to 1C012 cover crude and semi-fabricated forms, as follows:

Crude forms:

Anodes, balls, bars (including notched bars and wire bars), billets, blocks, blooms, brickets, cakes, cathodes, crystals, cubes, dice, grains, granules, ingots, lumps, pellets, pigs, powder, rondelles, shot, slabs, slugs, sponge, sticks;

Semi-fabricated forms (whether or not coated, plated, drilled or punched):

Wrought or worked materials fabricated by rolling, drawing, extruding, forging, impact extruding, pressing, graining, atomising, and grinding, i.e.: angles, channels, circles, discs, dust, flakes, foils and leaf, forging, plate, powder, pressings and stampings, ribbons, rings, rods (including bare welding rods, wire rods, and rolled wire), sections, shapes, sheets, strip, pipe and tubes (including tube rounds, squares, and hollows), drawn or extruded wire;

b.	Cast material produced by casting in sand, die, metal, plaster or other types of moulds, including high pressure castings, sintered forms, and forms made by powder metallurgy.

The object of the control should not be defeated by the export of non-listed forms alleged to be finished products but representing in reality crude forms or semi-fabricated forms.

1C001
Materials specially designed for use as absorbers of electromagnetic waves, or intrinsically conductive polymers, as follows:

N.B.: SEE ALSO 1C101.

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;

Planar absorbers, having all of the following:

Made from any of the following:

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;

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;

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.

Technical Note:

’Bulk electrical conductivity’ and ’sheet (surface) resistivity’ should be determined using ASTM D-257 or national equivalents.

1C002
Metal alloys, metal alloy powder and alloyed materials, as follows:

N.B.: SEE ALSO 1C202.

Note: 1C002 does not control metal alloys, metal alloy powder and alloyed materials for coating substrates.

Technical Notes:

1.	The metal alloys in 1C002 are those containing a higher percentage by weight of the stated metal than of any other element.

2.	’Stress-rupture life’ should be measured in accordance with ASTM standard E-139 or national equivalents.

’Low cycle fatigue life’ should be measured in accordance with ASTM Standard E-606 ’Recommended Practice for Constant-Amplitude Low-Cycle Fatigue Testing’ or national equivalents. Testing should be axial with an average stress ratio equal to 1 and a stress-concentration factor (Kt) equal to 1. The average stress is defined as maximum stress minus minimum stress divided by maximum stress.

Aluminides, as follows:

1.	Nickel aluminides containing a minimum of 15 % by weight aluminium, a maximum of 38 % by weight aluminium and at least one additional alloying element;

2.	Titanium aluminides containing 10 % by weight or more aluminium and at least one additional alloying element;

Metal alloys, as follows, made from material specified in 1C002.c.:

Nickel alloys having any of the following:

a.	A ’stress-rupture life’ of 10 000 hours or longer at 923 K (650 °C) at a stress of 676 MPa; or

b.	A ’low cycle fatigue life’ of 10 000 cycles or more at 823 K (550° C) at a maximum stress of 1 095 MPa;

Niobium alloys having any of the following:

a.	A ’stress-rupture life’ of 10 000 hours or longer at 1 073 K (800 °C) at a stress of 400 MPa; or

b.	A ’low cycle fatigue life’ of 10 000 cycles or more at 973 K (700 °C) at a maximum stress of 700 MPa;

Titanium alloys having any of the following:

a.	A ’stress-rupture life’ of 10 000 hours or longer at 723 K (450 °C) at a stress of 200 MPa; or

b.	A ’low cycle fatigue life’ of 10 000 cycles or more at 723 K (450 °C) at a maximum stress of 400 MPa;

Aluminium alloys having any of the following:

a.	A tensile strength of 240 MPa or more at 473 K (200 °C); or

b.	A tensile strength of 415 MPa or more at 298 K (25 °C);

Magnesium alloys having all of the following:

a.	A tensile strength of 345 MPa or more; and

b.	A corrosion rate of less than 1 mm/year in 3 % sodium chloride aqueous solution measured in accordance with ASTM standard G-31 or national equivalents;

Metal alloy powder or particulate material, having all of the following:

Made from any of the following composition systems:

Technical Note:

X in the following equals one or more alloying elements.

a.	Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine engine parts or components, i.e. with less than 3 non-metallic particles (introduced during the manufacturing process) larger than 100 µm in 109 alloy particles;

b.	Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si, Nb-Ti-X or Nb-X-Ti);

c.	Titanium alloys (Ti-Al-X or Ti-X-Al);

d.	Aluminium alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn, Al-Fe-X or Al-X-Fe); or

e.	Magnesium alloys (Mg-Al-X or Mg-X-Al);

Made in a controlled environment by any of the following processes:

a.	"Vacuum atomisation";

b.	"Gas atomisation";

c.	"Rotary atomisation";

d.	"Splat quenching";

e.	"Melt spinning" and "comminution";

f.	"Melt extraction" and "comminution"; or

g.	"Mechanical alloying"; and

3.	Capable of forming materials specified in 1C002.a. or 1C002.b.

Alloyed materials having all of the following:

1.	Made from any of the composition systems specified in 1C002.c.1.;

2.	In the form of uncomminuted flakes, ribbons or thin rods; and

Produced in a controlled environment by any of the following:

a.	"Splat quenching";

b.	"Melt spinning"; or

c.	"Melt extraction".

1C003
Magnetic metals, of all types and of whatever form, having any of the following:

a.	Initial relative permeability of 120 000 or more and a thickness of 0,05 mm or less; Technical Note: Measurement of initial permeability must be performed on fully annealed materials.

Magnetostrictive alloys having any of the following:

1.	A saturation magnetostriction of more than 5 × 10–4; or

2.	A magnetomechanical coupling factor (k) of more than 0,8; or

Amorphous or ’nanocrystalline’ alloy strips, having all of the following:

1.	A composition having a minimum of 75 % by weight of iron, cobalt or nickel;

2.	A saturation magnetic induction (Bs) of 1,6 T or more; and

Any of the following:

a.	A strip thickness of 0,02 mm or less; or

b.	An electrical resistivity of 2 × 10–4 ohm cm or more.

Technical Note:

’Nanocrystalline’ materials in 1C003.c. are those materials having a crystal grain size of 50 nm or less, as determined by X-ray diffraction.

1C004
Uranium titanium alloys or tungsten alloys with a "matrix" based on iron, nickel or copper, having all of the following:

a.	A density exceeding 17,5 g/cm3;

b.	An elastic limit exceeding 880 MPa;

c.	An ultimate tensile strength exceeding 1 270 MPa; and

d.	An elongation exceeding 8 %.

1C005
"Superconductive" "composite" conductors in lengths exceeding 100 m or with a mass exceeding 100 g, as follows:

"Superconductive""composite" conductors containing one or more niobium-titanium ’filaments’, having all of the following:

1.	Embedded in a "matrix" other than a copper or copper-based mixed "matrix"; and

2.	Having a cross-section area less than 0,28 × 10–4 mm2 (6 µm in diameter for circular ’filaments’);

"Superconductive""composite" conductors consisting of one or more "superconductive"’filaments’ other than niobium-titanium, having all of the following:

1.	A "critical temperature" at zero magnetic induction exceeding 9,85 K (– 263,31 °C); and

Remaining in the "superconductive" state at a temperature of 4,2 K (– 268,96 °C) when exposed to a magnetic field oriented in any direction perpendicular to the longitudinal axis of conductor and corresponding to a magnetic induction of 12 T with critical current density exceeding 1 750 A/mm2 on overall cross-section of the conductor;

c.	"Superconductive""composite" conductors consisting of one or more "superconductive"’filaments’ which remain "superconductive" above 115 K (– 158,16 °C). Technical Note: For the purpose of 1C005 ’filaments’ may be in wire, cylinder, film, tape or ribbon form.

1C006
Fluids and lubricating materials, as follows:

Hydraulic fluids containing, as their principal ingredients, any of the following:

Synthetic ’silahydrocarbon oils’ having all of the following:

Technical Note:

For the purpose of 1C006.a.1., ’silahydrocarbon oils’ contain exclusively silicon, hydrogen and carbon.

a.	A ’flash point’ exceeding 477 K (204 °C);

b.	A ’pour point’ at 239 K (–34 °C) or less;

c.	A ’viscosity index’ of 75 or more; and

d.	A ’thermal stability’ at 616 K (343 °C); or

’Chlorofluorocarbons’ having all of the following:

Technical Note:

For the purpose of 1C006.a.2., ’chlorofluorocarbons’ contain exclusively carbon, fluorine and chlorine.

a.	No ’flash point’;

b.	An ’autogenous ignition temperature’ exceeding 977 K (704 °C);

c.	A ’pour point’ at 219 K (–54 °C) or less;

d.	A ’viscosity index’ of 80 or more; and

e.	A boiling point at 473 K (200 °C) or higher;

Lubricating materials containing, as their principal ingredients, any of the following:

1.	Phenylene or alkylphenylene ethers or thio-ethers, or their mixtures, containing more than two ether or thio-ether functions or mixtures thereof; or

2.	Fluorinated silicone fluids with a kinematic viscosity of less than 5 000 mm2/s (5 000 centistokes) measured at 298 K (25 °C);

Damping or flotation fluids, with a purity exceeding 99,8 %, containing less than 25 particles of 200 µm or larger in size per 100 ml and made from at least 85 % of any of the following:

1.	Dibromotetrafluoroethane;

2.	Polychlorotrifluoroethylene (oily and waxy modifications only); or

3.	Polybromotrifluoroethylene;

Fluorocarbon electronic cooling fluids having all of the following:

Containing 85 % by weight or more of any of the following, or mixtures thereof:

a.	Monomeric forms of perfluoropolyalkylether-triazines or perfluoroaliphatic-ethers;

b.	Perfluoroalkylamines;

c.	Perfluorocycloalkanes; or

d.	Perfluoroalkanes;

2.	Density at 298 K (25 °C) of 1,5 g/ml or more;

3.	In a liquid state at 273 K (0 °C); and

4.	Containing 60 % or more by weight of fluorine.

Technical Note:

For the purpose of 1C006:

1.	’Flash point’ is determined using the Cleveland Open Cup Method described in ASTM D-92 or national equivalents;

2.	’Pour point’ is determined using the method described in ASTM D-97 or national equivalents;

3.	’Viscosity index’ is determined using the method described in ASTM D-2270 or national equivalents;

’Thermal stability’ is determined by the following test procedure or national equivalents:

Twenty ml of the fluid under test is placed in a 46 ml type 317 stainless steel chamber containing one each of 12,5 mm (nominal) diameter balls of M-10 tool steel, 52 100 steel and naval bronze (60 % Cu, 39 % Zn, 0,75 % Sn);

The chamber is purged with nitrogen, sealed at atmospheric pressure and the temperature raised to and maintained at 644 ± 6 K (371 ± 6 °C) for six hours;

The specimen will be considered thermally stable if, on completion of the above procedure, all of the following conditions are met:

a.	The loss in weight of each ball is less than 10 mg/mm2 of ball surface;

b.	The change in original viscosity as determined at 311 K (38 °C) is less than 25 %; and

c.	The total acid or base number is less than 0,40;

5.	’Autogenous ignition’ temperature is determined using the method described in ASTM E-659 or national equivalents.

1C007
Ceramic base materials, non-"composite" ceramic materials, ceramic-"matrix" "composite" materials and precursor materials, as follows:

N.B.: SEE ALSO 1C107.

a.	Base materials 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.

Ceramic-ceramic "composite" materials with a glass or oxide-"matrix" and reinforced with fibres having all of the following:

Made from any of the following materials:

Si-N;

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";

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);

Ceramic-ceramic "composite" materials with an oxide or glass "matrix" reinforced with continuous fibres from any of the following systems:

Al2O3; or

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.

1C008
Non-fluorinated polymeric substances as follows:

1.	Bismaleimides;

2.	Aromatic polyamide-imides;

3.	Aromatic polyimides;

4.	Aromatic polyetherimides having a glass transition temperature (Tg) exceeding 513 K (240 °C);

Note: 1C008.a. controls substances in liquid or solid "fusible" form, including resin, powder, pellet, film, sheet, tape or ribbon.

N.B. For non-"fusible" aromatic polyimides in film, sheet, tape or ribbon form, see 1A003.

Thermoplastic liquid crystal copolymers having a heat distortion temperature exceeding 523 K (250 °C) measured according to ISO 75-2 (2004), method A or national equivalents, with a load of 1,80 N/mm2 and composed of:

Any of the following:

a.	Phenylene, biphenylene or naphthalene; or

b.	Methyl, tertiary-butyl or phenyl substituted phenylene, biphenylene or naphthalene; and

Any of the following:

a.	Terephthalic acid;

b.	6-hydroxy-2 naphthoic acid; or

c.	4-hydroxybenzoic acid;

Not used;

d.	Polyarylene ketones;

e.	Polyarylene sulphides, where the arylene group is biphenylene, triphenylene or combinations thereof;

f.	Polybiphenylenethersulphone having a ’glass transition temperature (Tg)’ exceeding 513 K (240 °C).

Technical Note:

The ’glass transition temperature (Tg)’ for 1C008 materials is determined using the method described in ISO 11357-2 (1999) or national equivalents.

1C009
Unprocessed fluorinated compounds as follows:

a.	Copolymers of vinylidene fluoride having 75 % or more beta crystalline structure without stretching;

b.	Fluorinated polyimides containing 10 % by weight or more of combined fluorine;

c.	Fluorinated phosphazene elastomers containing 30 % by weight or more of combined fluorine.

1C010
"Fibrous or filamentary materials", which may be used in organic "matrix", metallic "matrix" or carbon "matrix" "composite" structures or laminates, as follows:

N.B.: SEE ALSO 1C210 AND 9C110.

Organic "fibrous or filamentary materials", having all of the following:

1.	A "specific modulus" exceeding 12,7 × 106 m; and

2.	A "specific tensile strength" exceeding 23,5 × 104 m;

Note: 1C010.a. does not control polyethylene.

Carbon "fibrous or filamentary materials", having all of the following:

1.	A "specific modulus" exceeding 12,7 × 106 m; and

2.	A "specific tensile strength" exceeding 23,5 × 104 m;

Note: 1C010.b. does not control fabric made from "fibrous or filamentary materials" for the repair of "civil aircraft" structures or laminates, in which the size of individual sheets does not exceed 100 cm × 100 cm.

Technical Note:

Properties for materials described in 1C010.b. should be determined using SACMA recommended methods SRM 12 to 17, ISO 10618 (2004) 10.2.1 Method A or national equivalent tow tests and based on lot average.

Inorganic "fibrous or filamentary materials", having all of the following:

1.	A "specific modulus" exceeding 2,54 × 106 m; and

2.	A 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.

"Fibrous or filamentary materials", having any of the following:

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.;

Resin-impregnated or pitch-impregnated fibres (prepregs), metal or carbon-coated fibres (preforms) or "carbon fibre preforms", as follows:

1.	Made from "fibrous or filamentary materials" specified in 1C010.a., 1C010.b. or 1C010.c.;

Made from organic or carbon "fibrous or filamentary materials", having all of the following:

a.	A "specific tensile strength" exceeding 17,7 × 104 m;

b.	A "specific modulus" exceeding 10,15 × 106 m;

c.	Not specified in 1C010.a. or 1C010.b.; and

d.	When impregnated with materials specified in 1C008 or 1C009.b., having a ’glass transition temperature (Tg)’ exceeding 383 K (110 °C) or with phenolic or epoxy resins, having a ’glass transition temperature (Tg)’ equal to or exceeding 418 K (145 °C).

Notes: 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, in which the size of individual sheets of prepreg does not exceed 100 cm × 100 cm;

b.	Prepregs 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’.

Technical Note:

The ’glass transition temperature (Tg)’ for 1C010.e. materials is determined using the method described in ASTM D 3418 using the dry method. The ’glass transition temperature (Tg)’ for phenolic and epoxy resins is determined using the method described in ASTM D 4065 at a frequency of 1Hz and a heating rate of 2 K (°C) per minute using the dry method.

1C011
Metals and compounds, as follows:

N.B.: SEE ALSO MILITARY GOODS CONTROLS and 1C111.

a.	Metals in particle sizes of less than 60 µm whether spherical, atomised, spheroidal, flaked or ground, manufa

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