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:

‘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;

‘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;

‘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;

‘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;

‘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;

‘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;

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;

(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).

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

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.

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.

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.

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:

Over-the-counter transactions;

Mail order transactions;

Electronic transactions; or

Telephone order transactions; and

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

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

"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:

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 10

adjusted floating point operations per second.

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.

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:

"Nuclear reactors";

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";

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

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;

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;

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";

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;

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.

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

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:

Gas centrifuge separation plant;

Gaseous diffusion separation plant;

Aerodynamic separation plant;

Chemical exchange separation plant;

Ion-exchange separation plant;

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

Molecular "laser" isotope separation (MLIS) plant;

Plasma separation plant;

Electro magnetic separation plant;

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

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

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

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

"Fibrous or filamentary materials" with a "specific modulus" of more than 3,18 × 10

m and a "specific tensile strength" greater than 76,2 × 10

Gas centrifuges;

Complete rotor assemblies;

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‧;

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‧;

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

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‧;

Magnetic suspension bearings consisting of an annular magnet suspended within a housing made of or protected by "materials resistant to corrosion by UF

" containing a damping medium and having the magnet coupling with a pole piece or second magnet fitted to the top cap of the rotor;

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

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 UF

12.

Scoops consisting of tubes of up to 12 mm internal diameter for the extraction of UF

gas from within a centrifuge rotor tube by a Pitot tube action, made of or protected by "materials resistant to corrosion by UF

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:

Multiphase output of 600 to 2 000 Hz;

Frequency control better than 0,1 %;

Harmonic distortion of less than 2 %;

An efficiency greater than 80 %;

14.

Bellows valves made of or protected by "materials resistant to corrosion by UF

", with a diameter of 10 mm to 160 mm;

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

Gaseous diffusion barriers made of porous metallic, polymer or ceramic "materials resistant to corrosion by UF

" 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;

Gaseous diffuser housings made of or protected by "materials resistant to corrosion by UF

Compressors (positive displacement, centrifugal and axial flow types) or gas blowers with a suction volume capacity of 1 m

/min or more of UF

, and discharge pressure up to 666.7 kPa, made of or protected by "materials resistant to corrosion by UF

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 cm

/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;

Bellow valves made of or protected by "materials resistant to corrosion by UF

", with a diameter of 40 mm to 1 500 mm;

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

Separation nozzles consisting of slit-shaped, curved channels having a radius of curvature less than 1 mm, resistant to corrosion by UF

, and having a knife-edge contained within the nozzle which separates the gas flowing through the nozzle into two streams;

Tangential inlet flow-driven cylindrical or conical tubes, (vortex tubes), made of or protected by "materials resistant to corrosion by UF

" 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;

Compressors (positive displacement, centrifugal and axial flow types) or gas blowers with a suction volume capacity of 2 m8 /min or more, made of or protected by "materials resistant to corrosion by UF

", and rotary shaft seals therefor;

Heat exchangers made of or protected by "materials resistant to corrosion by UF

Aerodynamic separation element housings, made of or protected by "materials resistant to corrosion by UF

" to contain vortex tubes or separation nozzles;

Bellows valves made of or protected by "materials resistant to corrosion by UF

", with a diameter of 40 to 1 500 mm;

Process systems for separating UF

from carrier gas (hydrogen or helium) to 1 ppm UF

content or less, including:

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

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

Separation nozzle or vortex tube units for the separation of UF

from carrier gas;

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:

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);

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);

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

Electrochemical reduction cells feed equipment to take U

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);

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

or U

to U

;

Uranium oxidation systems for oxidation of U

to U

;

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;

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:

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.:

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;

0C001 does not control the following:

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:

Shielding;

Packaging;

Ballasts having a mass not greater than 100 kg;

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

Alloys containing less than 5 % thorium;

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

0C002

"Special fissile materials"

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/cm

N.B.:

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:

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.:

In sheet or film form;

With a thickness exceeding 200 µm;

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

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

Specially designed for "aircraft", aerospace or ‧missile‧ use.

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 MILITARY GOODS CONTROLS.

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

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

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.

Remotely operated vehicles;

‧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.

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.

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

Electrically driven explosive detonators as follows:

Exploding bridge (EB);

Exploding bridge wire (EBW);

Slapper;

Exploding foil initiators (EFI).

Technical Notes:

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:

Net Explosive Quantity (NEQ) greater than 90 g;

Outer casing diameter equal to or greater than 75 mm;

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

An explosive load greater than 40 g/m; and

A width of 10 mm or more;

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

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.:

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.:

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;

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 MILITARY GOODS CONTROLS.

Trimethylhydrazine (CAS 1741-01-1);

Tetramethylhydrazine (CAS 6415-12-9);

N,N diallylhydrazine;

Allylhydrazine (CAS 7422-78-8);

Ethylene dihydrazine;

Monomethylhydrazine dinitrate;

Unsymmetrical dimethylhydrazine nitrate;

Hydrazinium azide (CAS 14546-44-2);

Dimethylhydrazinium azide;

Hydrazinium dinitrate;

Diimido oxalic acid dihydrazine;

2-hydroxyethylhydrazine nitrate (HEHN);

See Military Goods Controls for Hydrazinium perchlorate;

Hydrazinium diperchlorate;

Methylhydrazine nitrate (MHN);

Diethylhydrazine nitrate (DEHN);

3,6-dihydrazino tetrazine nitrate (1,4-dihydrazine nitrate) (DHTN);

Polymeric substances:

Carboxy-terminated polybutadiene (including carboxyl-terminated polybutadiene) (CTPB);

Hydroxy-terminated polybutadiene (included hydroxyl-terminated polybutadiene) (HTPB), other than that specified in the Military Goods Controls;

Polybutadiene-acrylic acid (PBAA);

Polybutadiene-acrylic acid-acrylonitrile (PBAN);

Polytetrahydrofuran polyethylene glycol (TPEG);

Technical Note:

Polytetrahydrofuran polyethylene glycol (TPEG) is a block co-polymer of poly 1,4-Butanediol and polyethylene glycol (PEG).

Other propellant additives and agents:

SEE MILITARY GOODS CONTROLS FOR Carboranes, decaboranes, pentaboranes and derivatives thereof;

Triethylene glycol dinitrate (TEGDN) (CAS 111-22-8);

2-Nitrodiphenylamine (CAS 119-75-5);

Trimethylolethane trinitrate (TMETN) (CAS 3032-55-1);

Diethylene glycol dinitrate (DEGDN) (CAS 693-21-0);

Ferrocene derivatives as follows:

See Military Goods Controls for catocene;

Ethyl ferrocene (CAS 1273-89-8);

Propyl ferrocene;

See Military Goods Controls for n-butyl ferrocene;

Pentyl ferrocene (CAS 1274-00-6);

Dicyclopentyl ferrocene;

Dicyclohexyl ferrocene;

Diethyl ferrocene;

Dipropyl ferrocene;

Dibutyl ferrocene (CAS 1274-08-4);

Dihexyl ferrocene (CAS 93894-59-8);

Acetyl ferrocenes;

See Military Goods Controls for ferrocene Carboxylic acids;

See Military Goods Controls for butacene;

Other ferrocene derivatives usable as rocket propellant burning rate modifiers, other than those specified in the Military Goods Controls.

4,5 diazidomethyl-2-methyl-1,2,3-triazole (iso- DAMTR), other than that specified in the Military Goods Controls.

For propellants and constituent chemicals for propellants not specified in 1C111, see the Military Goods Controls.

1C116

Maraging steels having an ultimate tensile strength of 1 500 MPa or greater, measured at 293 K (20 °C), in the form of sheet, plate or tubing with a wall or plate thickness equal to or less than 5 mm.

N.B.:

1D

Software

1D001

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

1D002

"Software" for the "development" of organic "matrix", metal "matrix" or carbon "matrix" laminates or "composites".

1D003

"Software" specially designed or modified to enable equipment to perform the functions of equipment specified in 1A004.c. or 1A004.d.

1D101

"Software" specially designed or modified for the "use" of goods specified in 1B101, 1B102, 1B115, 1B117, 1B118 or 1B119.

1D103

"Software" specially designed for analysis of reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures.

1D201

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

1E

Technology

1E001

"Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 1A001.b., 1A001.c., 1A002 to 1A005, 1A006.b., 1A007, 1B or 1C.

1E002

Other "technology" as follows:

"Technology" for the "development" or "production" of polybenzothiazoles or polybenzoxazoles;

"Technology" for the "development" or "production" of fluoroelastomer compounds containing at least one vinylether monomer;

"Technology" for the design or "production" of the following base materials or non-"composite" ceramic materials:

Base materials having all of the following:

Any of the following compositions:

Single or complex oxides of zirconium and complex oxides of silicon or aluminium;

Single nitrides of boron (cubic crystalline forms);

Single or complex carbides of silicon or boron;

Single or complex nitrides of silicon;

Any of the following total metallic impurities (excluding intentional additions):

Less than 1 000 ppm for single oxides or carbides;

Less than 5 000 ppm for complex compounds or single nitrides;

Being any of the following:

Zirconia with an average particle size equal to or less than 1 µm and no more than 10 % of the particles larger than 5 µm;

Other base materials with an average particle size equal to or less than 5 µm and no more than 10 % of the particles larger than 10 µm;

Having all of the following:

Platelets with a length to thickness ratio exceeding 5;

Whiskers with a length to diameter ratio exceeding 10 for diameters less than 2 µm;

Continuous or chopped fibres less than 10 µm in diameter;

Non-"composite" ceramic materials composed of the materials specified in 1E002.c.1;

1E002.c.2. does not control "technology" for the design or production of abrasives.

"Technology" for the "production" of aromatic polyamide fibres;

"Technology" for the installation, maintenance or repair of materials specified in 1C001;

"Technology" for the repair of "composite" structures, laminates or materials specified in 1A002, 1C007.c. or 1C007.d.;

1E002.f. does not control "technology" for the repair of "civil aircraft" structures using carbon "fibrous or filamentary materials" and epoxy resins, contained in aircraft manufacturers' manuals.

‧Libraries (parametric technical databases)‧ specially designed or modified to enable equipment to perform the functions of equipment specified in 1A004.c. or 1A004.d.

Technical Note:

For the purpose of 1E002.g., ‧library (parametric technical database)‧ means a collection of technical information, reference to which may enhance the performance of relevant equipment or systems.

1E101

"Technology" according to the General Technology Note for the "use" of goods specified in 1A102, 1B001, 1B101, 1B102, 1B115 to 1B119, 1C001, 1C101, 1C107, 1C111 to 1C118, 1D101 or 1D103.

1E102

"Technology" according to the General Technology Note for the "development" of "software" specified in 1D001, 1D101 or 1D103.

1E103

"Technology" for the regulation of temperature, pressure or atmosphere in autoclaves or hydroclaves, when used for the "production" of "composites" or partially processed "composites".

1E104

"Technology" relating to the "production" of pyrolytically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1 573 K (1 300 °C) to 3 173 K (2 900 °C) temperature range at pressures of 130 Pa to 20 kPa.

1E104 includes "technology" for the composition of precursor gases, flow-rates and process control schedules and parameters.

1E201

"Technology" according to the General Technology Note for the "use" of goods specified in 1A002, 1A007, 1A202, 1A225 to 1A227, 1B201, 1B225 to 1B233, 1C002.b.3. or .b.4., 1C010.b., 1C202, 1C210, 1C216, 1C225 to 1C240 or 1D201.

1E202

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

1E203

"Technology" according to the General Technology Note for the "development" of "software" specified in 1D201.

CATEGORY 2

MATERIALS PROCESSING

2A

Systems, Equipment and Components

For quiet running bearings, see the Military Goods Controls.

2A001

Anti-friction bearings and bearing systems, as follows, and components therefor:

2A001 does not control balls with tolerances specified by the manufacturer in accordance with ISO 3290 as grade 5 or worse.

Ball bearings and solid roller bearings, having all tolerances specified by the manufacturer in accordance with ISO 492 Tolerance Class 4 (or ANSI/ABMA Std 20 Tolerance Class ABEC-7 or RBEC-7, or other national equivalents), or better, and having both rings and rolling elements (ISO 5593), made from monel or beryllium;

2A001.a. does not control tapered roller bearings.

Other ball bearings and solid roller bearings, having all tolerances specified by the manufacturer in accordance with ISO 492 Tolerance Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9 or RBEC-9, or other national equivalents), or better;

2A001.b. does not control tapered roller bearings.

Active magnetic bearing systems using any of the following:

Materials with flux densities of 2,0 T or greater and yield strengths greater than 414 MPa;

All-electromagnetic 3D homopolar bias designs for actuators;

High temperature (450 K (177 °C) and above) position sensors.

2A225

Crucibles made of materials resistant to liquid actinide metals, as follows:

Crucibles having both of the following characteristics:

A volume of between 150 cm

and 8 000 cm

;

Made of or coated with any of the following materials, having a purity of 98 % or greater by weight:

Calcium fluoride (CaF

);

Calcium zirconate (metazirconate) (CaZrO

);

Cerium sulphide (Ce

);

Erbium oxide (erbia) (Er

);

Hafnium oxide (hafnia) (HfO

);

Magnesium oxide (MgO);

Nitrided niobium-titanium-tungsten alloy (approximately 50 % Nb, 30 % Ti, 20 % W);

Yttrium oxide (yttria) (Y

);

Zirconium oxide (zirconia) (ZrO

);

Crucibles having both of the following characteristics:

A volume of between 50 cm

and 2 000 cm

;

Made of or lined with tantalum, having a purity of 99,9 % or greater by weight;

Crucibles having all of the following characteristics:

A volume of between 50 cm

and 2 000 cm

;

Made of or lined with tantalum, having a purity of 98 % or greater by weight;

Coated with tantalum carbide, nitride, boride, or any combination thereof.

2A226

Valves having all of the following characteristics:

A ‧nominal size‧ of 5 mm or greater;

Having a bellows seal;

Wholly made of or lined with aluminium, aluminium alloy, nickel, or nickel alloy containing more than 60 % nickel by weight.

Technical Note:

For valves with different inlet and outlet diameters, the ‧nominal size‧ in 2A226 refers to the smallest diameter.

2B

Test, Inspection and Production Equipment

Technical Notes:

Secondary parallel contouring axes, (e.g., the w-axis on horizontal boring mills or a secondary rotary axis the centre line of which is parallel to the primary rotary axis) are not counted in the total number of contouring axes. Rotary axes need not rotate over 360°. A rotary axis can be driven by a linear device (e.g., a screw or a rack-and-pinion).

For the purposes of 2B, the number of axes which can be co-ordinated simultaneously for "contouring control" is the number of axes along or around which, during processing of the workpiece, simultaneous and interrelated motions are performed between the workpiece and a tool. This does not include any additional axes along or around which other relative movement within the machine are performed such as:

Wheel-dressing systems in grinding machines;

Parallel rotary axes designed for mounting of separate workpieces;

Co-linear rotary axes designed for manipulating the same workpiece by holding it in a chuck from different ends.

Axis nomenclature shall be in accordance with International Standard ISO 841, ‧Numerical Control Machines — Axis and Motion Nomenclature‧.

For the purposes of 2B001 to 2B009 a "tilting spindle" is counted as a rotary axis.

‧Stated positioning accuracy‧ derived from measurements made according to ISO 230/2 (1988)

(1) or national equivalents may be used for each machine tool model as an alternative to individual machine tests. ‧Stated positioning accuracy‧ means the accuracy value provided to the competent authorities of the Member State in which the exporter is established as representative of the accuracy of a specific machine model.

Determination of ‧Stated Positioning Accuracy‧

Select five machines of a model to be evaluated;

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

(1) ;

Determine the A-values for each axis of each machine. The method of calculating the A-value is described in the ISO standard;

Determine the mean value of the A-value of each axis. This mean value Â becomes the stated value of each axis for the model (Âx Ây …);

Since the Category 2 list refers to each linear axis there will be as many stated values as there are linear axes;

If any axis of a machine model not controlled by 2B001.a. to 2B001.c. or 2B201 has a stated accuracy Â of 6 microns for grinding machines and 8 microns for milling and turning machines or better, the manufacturer should be required to reaffirm the accuracy level once every eighteen months.

2B001

Machine tools and any combination thereof, for removing (or cutting) metals, ceramics or "composites", which, according to the manufacturer’s technical specification, can be equipped with electronic devices for "numerical control", and specially designed components as follows:

N.B.:

2C

Materials

None.

2D

Software

2D001

"Software", other than that specified in 2D002, specially designed or modified for the "development", "production" or "use" of equipment specified in 2A001 or 2B001 to 2B009.

2D002

"Software" for electronic devices, even when residing in an electronic device or system, enabling such devices or systems to function as a "numerical control" unit, capable of co-ordinating simultaneously more than four axes for "contouring control".

2D002 does not control "software" specially designed or modified for the operation of machine tools not specified in Category 2.

2D002 does not control "software" for items specified in 2B002. See 2D001 for "software" for items specified in 2B002.

2D101

"Software" specially designed or modified for the "use" of equipment specified in 2B104, 2B105, 2B109, 2B116, 2B117 or 2B119 to 2B122.

N.B.:

2E

Technology

2E001

"Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 2A, 2B or 2D.

2E002

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

2E003

Other "technology", as follows:

"Technology" for the "development" of interactive graphics as an integrated part in "numerical control" units for preparation or modification of part programmes;

"Technology" for metal-working manufacturing processes, as follows:

"Technology" for the design of tools, dies or fixtures specially designed for any of the following processes:

"Superplastic forming";

"Diffusion bonding";

"Direct-acting hydraulic pressing";

Technical data consisting of process methods or parameters as listed below used to control:

"Superplastic forming" of aluminium alloys, titanium alloys or "superalloys":

Surface preparation;

Strain rate;

Temperature;

Pressure;

"Diffusion bonding" of "superalloys" or titanium alloys:

Surface preparation;

Temperature;

Pressure;

"Direct-acting hydraulic pressing" of aluminium alloys or titanium alloys:

Pressure;

Cycle time;

"Hot isostatic densification" of titanium alloys, aluminium alloys or "superalloys":

Temperature;

Pressure;

Cycle time;

"Technology" for the "development" or "production" of hydraulic stretch-forming machines and dies therefor, for the manufacture of airframe structures;

"Technology" for the "development" of generators of machine tool instructions (e.g., part programmes) from design data residing inside "numerical control" units;

"Technology" for the "development" of integration "software" for incorporation of expert systems for advanced decision support of shop floor operations into "numerical control" units;

"Technology" for the application of inorganic overlay coatings or inorganic surface modification coatings (specified in column 3 of the following table) to non-electronic substrates (specified in column 2 of the following table), by processes specified in column 1 of the following table and defined in the Technical Note.

The table and Technical Note appear after entry 2E301.

2E101

"Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 2B004, 2B009, 2B104, 2B109, 2B116, 2B119 to 2B122 or 2D101.

2E201

"Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 2A225, 2A226, 2B001, 2B006, 2B007.b., 2B007.c., 2B008, 2B009, 2B201, 2B204, 2B206, 2B207, 2B209, 2B225 to 2B232, 2D201 or 2D202.

2E301

"Technology" according to the General Technology Note for the "use" of goods specified in 2B350 to 2B352.

Table

Deposition techniques

1.	Coating Process (1)(2)

Substrate

3.	Resultant Coating

A.	Chemical Vapour Deposition (CVD)

"Superalloys"

Aluminides for internal passages

Ceramics (19) and Low- expansion glasses (14)

Silicides

Carbides

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

Carbon-carbon, Ceramic and Metal "matrix""composites"

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Aluminides

Alloyed aluminides (2)

Boron nitride

Cemented tungsten carbide (16), Silicon carbide (18)

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

Sensor window materials (9)

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

B.	Thermal-Evaporation Physical Vapour Deposition (TE-PVD)

B.1.	Physical Vapour Deposition (PVD): Electron-Beam (EB-PVD)

"Superalloys"

Alloyed silicides

Alloyed aluminides (2)

MCrAlX (5)

Modified zirconia (12)

Silicides

Aluminides

Mixtures thereof (4)

Ceramics (19) and Low- expansion glasses (14)

Dielectric layers (15)

Corrosion resistant steel (7)

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

Carbon-carbon, Ceramic and Metal "matrix""composites"

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

Cemented tungsten carbide (16), Silicon carbide (18)

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Borides

Beryllium

Sensor window materials (9)

Dielectric layers (15)

Titanium alloys (13)

Borides

Nitrides

B.2.	Ion assisted resistive heating Physical Vapour Deposition (PVD) (Ion Plating)

Ceramics (19) and Low- expansion glasses (14)

Dielectric layers (15)

Diamond-like carbon (17)

Carbon-carbon, Ceramic and Metal "matrix""composites"

Dielectric layers (15)

Cemented tungsten carbide (16), Silicon carbide

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Sensor window materials (9)

Dielectric layers (15)

Diamond-like carbon (17)

B.3.	Physical Vapour Deposition (PVD): "Laser" Vaporization

Ceramics (19) and Low- expansion glasses (14)

Silicides

Dielectric layers (15)

Diamond-like carbon (17)

Carbon-carbon, Ceramic and Metal "matrix""composites"

Dielectric layers (15)

Cemented tungsten carbide (16), Silicon carbide

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Sensor window materials (9)

Dielectric layers (15)

Diamond-like carbon

B.4.	Physical Vapour Deposition (PVD): Cathodic Arc Discharge

"Superalloys"

Alloyed silicides

Alloyed aluminides (2)

MCrAlX (5)

Polymers (11) and

Borides

Carbides

Nitrides

Diamond-like carbon (17)

C.	Pack cementation (see A above for out-of-pack cementation) (10)

Organic "matrix""composites" Carbon-carbon, Ceramic and Metal "matrix""composites"

Silicides

Carbides

Mixtures thereof (4)

Titanium alloys (13)

Silicides

Aluminides

Alloyed aluminides (2)

Refractory metals and alloys (8)

Silicides

Oxides

D.	Plasma spraying

"Superalloys"

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

Abradable Nickel-Graphite Abradable materials

containing Ni-Cr-Al

Abradable Al-Si-Polyester Alloyed aluminides (2)

Aluminium alloys (6)

MCrAlX (5)

Modified zirconia (12)

Silicides

Mixtures thereof (4)

Refractory metals and alloys (8)

Aluminides

Silicides

Carbides

Corrosion resistant steel (7)

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

Titanium alloys (13)

Carbides

Aluminides

Silicides

Alloyed aluminides (2)

Abradable Nickel-Graphite Abradable materials

containing Ni-Cr-Al

Abradable Al-Si-Polyester

E.	Slurry Deposition

Refractory metals and alloys (8)

Fused silicides

Fused aluminides except for resistance heating elements

Carbon-carbon, Ceramic and Metal "matrix""composites"

Silicides

Carbides

Mixtures thereof (4)

F.	Sputter Deposition

"Superalloys"

Alloyed silicides

Alloyed aluminides (2)

Noble metal modified aluminides (3)

MCrAlX (5)

Modified zirconia (12)

Platinum

Mixtures thereof (4)

Ceramics and Low- expansion glasses (14)

Silicides

Platinum

Mixtures thereof (4)

Dielectic layers (15)

Diamond-like carbon (17)

Titanium alloys (13)

Borides

Nitrides

Oxides

Silicides

Aluminides

Alloyed aluminides (2)

Carbides

Carbon-carbon, Ceramic and Metal "matrix""composites"

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

Cemented tungsten carbide (16), Silicon carbide (18)

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Borides

Dielectric layers (15)

Beryllium

Sensor window materials (9)

Dielectric layers (15)

Diamond-like carbon (17)

Refractory metals and alloys (8)

Aluminides

Silicides

Oxides

Carbides

G.	Ion Implantation

High temperature bearing steels

Additions of Chromium Tantalum orNiobium (Columbium)

Titanium alloys (13)

Borides

Nitrides

Beryllium and Beryllium alloys

Borides

Cemented tungsten carbide (16)

Carbides

Nitrides

Table — Deposition techniques — Notes

The term ‧coating process‧ includes coating repair and refurbishing as well as original coating.

The term ‧alloyed aluminide coating‧ includes single or multiple-step coatings in which an element or elements are deposited prior to or during application of the aluminide coating, even if these elements are deposited by another coating process. It does not, however, include the multiple use of single-step pack cementation processes to achieve alloyed aluminides.

The term ‧noble metal modified aluminide‧ coating includes multiple-step coatings in which the noble metal or noble metals are laid down by some other coating process prior to application of the aluminide coating.

The term ‧mixtures thereof‧ includes infiltrated material, graded compositions, co-deposits and multilayer deposits and are obtained by one or more of the coating processes specified in the Table.

‧MCrAlX‧ refers to a coating alloy where M equals cobalt, iron, nickel or combinations thereof and X equals hafnium, yttrium, silicon, tantalum in any amount or other intentional additions over 0,01 % by weight in various proportions and combinations, except:

CoCrAlY coatings which contain less than 22 % by weight of chromium, less than 7 % by weight of aluminium and less than 2 % by weight of yttrium;

CoCrAlY coatings which contain 22 to 24 % by weight of chromium, 10 to 12 % by weight of aluminium and 0,5 to 0,7 % by weight of yttrium;

NiCrAlY coatings which contain 21 to 23 % by weight of chromium, 10 to 12 % by weight of aluminium and 0,9 to 1,1 % by weight of yttrium.

The term ‧aluminium alloys‧ refers to alloys having an ultimate tensile strength of 190 MPa or more measured at 293 K (20 °C).

The term ‧corrosion resistant steel‧ refers to AISI (American Iron and Steel Institute) 300 series or equivalent national standard steels.

‧Refractory metals and alloys‧ include the following metals and their alloys: niobium (columbium), molybdenum, tungsten and tantalum.

‧Sensor window materials‧, as follows: alumina, silicon, germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond, gallium phosphide, sapphire and the following metal halides: sensor window materials of more than 40 mm diameter for zirconium fluoride and hafnium fluoride.

10.

"Technology" for single-step pack cementation of solid airfoils is not controlled by Category 2.

11.

‧Polymers‧, as follows: polyimide, polyester, polysulphide, polycarbonates and polyurethanes.

12.

‧Modified zirconia‧ refers to additions of other metal oxides (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) to zirconia in order to stabilise certain crystallographic phases and phase compositions. Thermal barrier coatings made of zirconia, modified with calcia or magnesia by mixing or fusion, are not controlled.

13.

‧Titanium alloys‧ refers only to aerospace alloys having an ultimate tensile strength of 900 MPa or more measured at 293 K (20 °C).

14.

‧Low-expansion glasses‧ refers to glasses which have a coefficient of thermal expansion of 1 × 10

–7

–1

or less measured at 293 K (20 °C).

15.

‧Dielectric layers‧ are coatings constructed of multi-layers of insulator materials in which the interference properties of a design composed of materials of various refractive indices are used to reflect, transmit or absorb various wavelength bands. Dielectric layers refers to more than four dielectric layers or dielectric/metal "composite" layers.

16.

‧Cemented tungsten carbide‧ does not include cutting and forming tool materials consisting of tungsten carbide/(cobalt, nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-chromium and chromium carbide/nickel.

17.

"Technology" specially designed to deposit diamond-like carbon on any of the following is not controlled:

magnetic disk drives and heads, equipment for the manufacture of disposables, valves for faucets, acoustic diaphragms for speakers, engine parts for automobiles, cutting tools, punching-pressing dies, office automation equipment, microphones or medical devices or moulds, for casting or moulding of plastics, manufactured from alloys containing less than 5 % beryllium.

18.

‧Silicon carbide‧ does not include cutting and forming tool materials.

19.

Ceramic substrates, as used in this entry, does not include ceramic materials containing 5 % by weight, or greater, clay or cement content, either as separate constituents or in combination.

Table — Deposition techniques — Technical note

Processes specified in Column 1 of the Table are defined as follows:

Chemical Vapour Deposition (CVD) is an overlay coating or surface modification coating process wherein a metal, alloy, "composite", dielectric or ceramic is deposited upon a heated substrate. Gaseous reactants are decomposed or combined in the vicinity of a substrate resulting in the deposition of the desired elemental, alloy or compound material on the substrate. Energy for this decomposition or chemical reaction process may be provided by the heat of the substrate, a glow discharge plasma, or "laser" irradiation.

CVD includes the following processes: directed gas flow out-of-pack deposition, pulsating CVD, controlled nucleation thermal deposition (CNTD), plasma enhanced or plasma assisted CVD processes.

Pack denotes a substrate immersed in a powder mixture.

The gaseous reactants used in the out-of-pack process are produced using the same basic reactions and parameters as the pack cementation process, except that the substrate to be coated is not in contact with the powder mixture.

Thermal Evaporation-Physical Vapour Deposition (TE-PVD) is an overlay coating process conducted in a vacuum with a pressure less than 0,1 Pa wherein a source of thermal energy is used to vaporize the coating material. This process results in the condensation, or deposition, of the evaporated species onto appropriately positioned substrates.

The addition of gases to the vacuum chamber during the coating process to synthesize compound coatings is an ordinary modification of the process.

The use of ion or electron beams, or plasma, to activate or assist the coating's deposition is also a common modification in this technique. The use of monitors to provide in-process measurement of optical characteristics and thickness of coatings can be a feature of these processes.

Specific TE-PVD processes are as follows:

Electron Beam PVD uses an electron beam to heat and evaporate the material which forms the coating;

Ion Assisted Resistive Heating PVD employs electrically resistive heating sources in combination with impinging ion beam(s) to produce a controlled and uniform flux of evaporated coating species;

"Laser" Vaporization uses either pulsed or continuous wave "laser" beams to vaporize the material which forms the coating;

Cathodic Arc Deposition employs a consumable cathode of the material which forms the coating and has an arc discharge established on the surface by a momentary contact of a ground trigger. Controlled motion of arcing erodes the cathode surface creating a highly ionized plasma. The anode can be either a cone attached to the periphery of the cathode, through an insulator, or the chamber. Substrate biasing is used for non line-of-sight deposition.

This definition does not include random cathodic arc deposition with non-biased substrates.

Ion Plating is a special modification of a general TE-PVD process in which a plasma or an ion source is used to ionize the species to be deposited, and a negative bias is applied to the substrate in order to facilitate the extraction of the species from the plasma. The introduction of reactive species, evaporation of solids within the process chamber, and the use of monitors to provide in-process measurement of optical characteristics and thicknesses of coatings are ordinary modifications of the process.

Pack Cementation is a surface modification coating or overlay coating process wherein a substrate is immersed in a powder mixture (a pack), that consists of:

The metallic powders that are to be deposited (usually aluminium, chromium, silicon or combinations thereof);

An activator (normally a halide salt); and

An inert powder, most frequently alumina.

The substrate and powder mixture is contained within a retort which is heated to between 1 030 K (757 °C) and 1 375 K (1 102 °C) for sufficient time to deposit the coating.

Plasma Spraying is an overlay coating process wherein a gun (spray torch) which produces and controls a plasma accepts powder or wire coating materials, melts them and propels them towards a substrate, whereon an integrally bonded coating is formed. Plasma spraying constitutes either low pressure plasma spraying or high velocity plasma spraying.

Low pressure means less than ambient atmospheric pressure.

High velocity refers to nozzle-exit gas velocity exceeding 750 m/s calculated at 293 K (20 °C) at 0,1 MPa.

Slurry Deposition is a surface modification coating or overlay coating process wherein a metallic or ceramic powder with an organic binder is suspended in a liquid and is applied to a substrate by either spraying, dipping or painting, subsequent air or oven drying, and heat treatment to obtain the desired coating.

Sputter Deposition is an overlay coating process based on a momentum transfer phenomenon, wherein positive ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on an appropriately positioned substrate.

The Table refers only to triode, magnetron or reactive sputter deposition which is used to increase adhesion of the coating and rate of deposition and to radio frequency (RF) augmented sputter deposition used to permit vaporisation of non-metallic coating materials.

Low-energy ion beams (less than 5 keV) can be used to activate the deposition.

Ion Implantation is a surface modification coating process in which the element to be alloyed is ionized, accelerated through a potential gradient and implanted into the surface region of the substrate. This includes processes in which ion implantation is performed simultaneously with electron beam physical vapour deposition or sputter deposition.

CATEGORY 3

ELECTRONICS

3A

Systems, Equipment and Components

The control status of equipment and components described in 3A001 or 3A002, other than those described in 3A001.a.3. to 3A001.a.10. or 3A001.a.12., which are specially designed for or which have the same functional characteristics as other equipment is determined by the control status of the other equipment.

The control status of integrated circuits described in 3A001.a.3. to 3A001.a.9. or 3A001.a.12. which are unalterably programmed or designed for a specific function for another equipment is determined by the control status of the other equipment.

When the manufacturer or applicant cannot determine the control status of the other equipment, the control status of the integrated circuits is determined in 3A001.a.3. to 3A001.a.9. and 3A001.a.12.

3A001

Electronic components and specially designed components therefor, as follows:

General purpose integrated circuits, as follows:

The control status of wafers (finished or unfinished), in which the function has been determined, is to be evaluated against the parameters of 3A001.a.

Integrated circuits include the following types:

— "Monolithic integrated circuits";

— "Hybrid integrated circuits";

— "Multichip integrated circuits";

— "Film type integrated circuits", including silicon-on-sapphire integrated circuits;

— "Optical integrated circuits".

Integrated circuits designed or rated as radiation hardened to withstand any of the following:

A total dose of 5 × 10

Gy (silicon) or higher;

A dose rate upset of 5 × 10

Gy (silicon)/s or higher;

A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 10

n/cm

or higher on silicon, or its equivalent for other materials;

3A001.a.1.c. does not apply to Metal Insulator Semiconductors (MIS).

"Microprocessor microcircuits", "microcomputer microcircuits", microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, analogue-to-digital converters, digital-to-analogue converters, electro-optical or "optical integrated circuits" designed for "signal processing", field programmable logic devices, custom integrated circuits for which either the function is unknown or the control status of the equipment in which the integrated circuit will be used is unknown, Fast Fourier Transform (FFT) processors, electrical erasable programmable read-only memories (EEPROMs), flash memories or static random-access memories (SRAMs), having any of the following:

Rated for operation at an ambient temperature above 398 K (125 °C);

Rated for operation at an ambient temperature below 218 K (–55 °C);

Rated for operation over the entire ambient temperature range from 218 K (–55 °C) to 398 K (125 °C);

3A001.a.2. does not apply to integrated circuits for civil automobiles or railway train applications.

"Microprocessor microcircuits", "microcomputer microcircuits" and microcontroller microcircuits, manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz;

3A001.a.3. includes digital signal processors, digital array processors and digital coprocessors.

Storage integrated circuits manufactured from a compound semiconductor;

Analogue-to-digital and digital-to-analogue converter integrated circuits, as follows:

Analogue-to-digital converters having any of the following:

N.B.

SEE ALSO MILITARY GOODS CONTROLS.

See 1A007.a. for explosive detonator firing sets.

Not used;

Modular electrical pulse generators (pulsers) having all of the following characteristics:

Designed for portable, mobile, or ruggedized-use;

Enclosed in a dust-tight enclosure;

Capable of delivering their energy in less than 15 µs;

Having an output greater than 100 A;

Having a ‧rise time‧ of less than 10 µs into loads of less than 40 ohms;

No dimension greater than 254 mm;

Weight less than 25 kg;

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

3A229.b. includes xenon flash-lamp drivers.

Technical Note:

In 3A229.b.5. ‧rise time‧ is defined as the time interval from 10 % to 90 % current amplitude when driving a resistive load.

3A230

High-speed pulse generators having both of the following characteristics:

Output voltage greater than 6 V into a resistive load of less than 55 ohms,

‧Pulse transition time‧ less than 500 ps.

Technical Note:

In 3A230, ‧pulse transition time‧ is defined as the time interval between 10 % and 90 % voltage amplitude.

3A231

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

Designed for operation without an external vacuum system;

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

3A232

Multipoint initiation systems, other than those specified in 1A007, as follows:

N.B.:

SEE ALSO MILITARY GOODS CONTROLS.

See 1A007.b. for detonators.

Not used;

Arrangements using single or multiple detonators designed to nearly simultaneously initiate an explosive surface over greater than 5 000 mm

from a single firing signal with an initiation timing spread over the surface of less than 2,5 µs.

3A232 does not control detonators using only primary explosives, such as lead azide.

3A233

Mass spectrometers, other than those specified in 0B002.g., capable of measuring ions of 230 atomic mass units or greater and having a resolution of better than 2 parts in 230, as follows, and ion sources therefor:

Inductively coupled plasma mass spectrometers (ICP/MS);

Glow discharge mass spectrometers (GDMS);

Thermal ionization mass spectrometers (TIMS);

Electron bombardment mass spectrometers which have a source chamber constructed from, lined with or plated with materials resistant to UF

;

Molecular beam mass spectrometers having either of the following characteristics:

A source chamber constructed from, lined with or plated with stainless steel or molybdenum and equipped with a cold trap capable of cooling to 193 K (–80 °C) or less;

A source chamber constructed from, lined with or plated with materials resistant to UF

;

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

3B

Test, Inspection and Production Equipment

3B001

Equipment for the manufacturing of semiconductor devices or materials, as follows and specially designed components and accessories therefor:

Equipment designed for epitaxial growth as follows:

Equipment capable of producing a layer of any material other than silicon with a thickness uniform to less than ±2,5 % across a distance of 75 mm or more;

3B001.a.1. includes Atomic Layer Epitaxy (ALE) equipment.

Metal Organic Chemical Vapour Deposition (MOCVD) reactors specially designed for compound semiconductor crystal growth by the chemical reaction between materials specified in 3C003 or 3C004;

Molecular beam epitaxial growth equipment using gas or solid sources;

Equipment designed for ion implantation and having any of the following:

A beam energy (accelerating voltage) exceeding 1MeV;

Being specially designed and optimised to operate at a beam energy (accelerating voltage) of less than 2 keV;

Direct write capability;

A beam energy of 65 keV or more and a beam current of 45 mA or more for high energy oxygen implant into a heated semiconductor material "substrate";

Anisotropic plasma dry etching equipment as follows:

Equipment with cassette-to-cassette operation and load-locks, and having any of the following:

Designed or optimised to produce critical dimensions of 180 nm or less with ±5 % 3 sigma precision;

Designed for generating less than 0,04 particles/cm

with a measurable particle size greater than 0,1 µm in diameter;

Equipment specially designed for equipment specified in 3B001.e. and having any of the following:

Designed or optimised to produce critical dimensions of 180 nm or less with ±5 % 3 sigma precision;

Designed for generating less than 0,04 particles/cm

with a measurable particle size greater than 0,1 µm in diameter;

Plasma enhanced Chemical Vapour Deposition (CVD) equipment as follows:

Equipment with cassette-to-cassette operation and load-locks, and designed according to the manufacturer's specifications or optimised for use in the production of semiconductor devices with critical dimensions of 180 nm or less;

Equipment specially designed for equipment specified in 3B001.e. and designed according to the manufacturer's specifications or optimised for use in the production of semiconductor devices with critical dimensions of 180 nm or less;

Automatic loading multi-chamber central wafer handling systems having all of the following:

Interfaces for wafer input and output, to which more than two pieces of semiconductor processing equipment are to be connected;

Designed to form an integrated system in a vacuum environment for sequential multiple wafer processing;

3B001.e. does not control automatic robotic wafer handling systems not designed to operate in a vacuum environment.

Lithography equipment as follows:

Align and expose step and repeat (direct step on wafer) or step and scan (scanner) equipment for wafer processing using photo-optical or X-ray methods and having any of the following:

A light source wavelength shorter than 245 nm;

Capable of producing a pattern with a ‧minimum resolvable feature size‧ of 180 nm or less;

Technical Note:

The ‧minimum resolvable feature size‧ is calculated by the following formula:

[Bild bitte in Originalquelle ansehen]

where the K factor = 0,45

MRF = ‧minimum resolvable feature size‧

Imprint lithography equipment capable of producing features of 180 nm or less;

3B001.f.2. includes:

— Micro contact printing tools

— Hot embossing tools

— Nano-imprint lithography tools

— Step and flash imprint lithography (S-FIL) tools

Equipment specially designed for mask making or semiconductor device processing using direct writing methods, having all of the following:

Using deflected focussed electron beam, ion beam or "laser" beam;

Having any of the following:

A spot size smaller than 0,2 µm;

Being capable of producing a pattern with a feature size of less than 1 µm;

An overlay accuracy of better than ±0,20 µm (3 sigma);

Masks and reticles, designed for integrated circuits specified in 3A001;

Multi-layer masks with a phase shift layer;

3B001.h. does not control multi-layer masks with a phase shift layer designed for the fabrication of memory devices not controlled by 3A001.

Imprint lithography templates designed for integrated circuits specified in 3A001.

3B002

Test equipment specially designed for testing finished or unfinished semiconductor devices as follows and specially designed components and accessories therefor:

For testing S-parameters of transistor devices at frequencies exceeding 31,8 GHz;

Not used;

For testing microwave integrated circuits specified in 3A001.b.2.

3C

Materials

3C001

Hetero-epitaxial materials consisting of a "substrate" having stacked epitaxially grown multiple layers of any of the following:

Silicon (Si);

Germanium (Ge);

Silicon carbide (SiC);

"III/V compounds" of gallium or indium.

3C002

Resist materials as follows and "substrates" coated with the following resists:

Positive resists designed for semiconductor lithography specially adjusted (optimised) for use at wavelengths below 245 nm;

All resists designed for use with electron beams or ion beams, with a sensitivity of 0,01 µcoulomb/mm

or better;

All resists designed for use with X-rays, with a sensitivity of 2,5 mJ/mm

or better;

All resists optimised for surface imaging technologies, including ‧silylated‧ resists;

Technical Note:

‧Silylation‧ techniques are defined as processes incorporating oxidation of the resist surface to enhance performance for both wet and dry developing.

All resists designed or optimised for use with imprint lithography equipment specified in 3B001.f.2. that use either a thermal or photo-curable process.

3C003

Organo-inorganic compounds as follows:

Organo-metallic compounds of aluminium, gallium or indium, having a purity (metal basis) better than 99,999 %;

Organo-arsenic, organo-antimony and organo-phosphorus compounds, having a purity (inorganic element basis) better than 99,999 %.

3C003 only controls compounds whose metallic, partly metallic or non-metallic element is directly linked to carbon in the organic part of the molecule.

3C004

Hydrides of phosphorus, arsenic or antimony, having a purity better than 99,999 %, even diluted in inert gases or hydrogen.

3C004 does not control hydrides containing 20 % molar or more of inert gases or hydrogen.

3C005

Silicon carbide (SiC), gallium nitride (GaN), aluminium nitride (AlN) or aluminium gallium nitride (AlGaN) "substrates", or ingots, boules, or other preforms of those materials, having resistivities greater than 10 000 ohm-cm at 20 °C.

3C006

"Substrates" specified in 3C005 with at least one epitaxial layer of silicon carbide, gallium nitride, aluminium nitride or aluminium gallium nitride.

3D

Software

3D001

"Software" specially designed for the "development" or "production" of equipment specified in 3A001.b. to 3A002.g. or 3B.

3D002

"Software" specially designed for the "use" of equipment specified in 3B001.a. to f. or 3B002.

3D003

‧Physics-based‧ simulation "software" specially designed for the "development" of lithographic, etching or deposition processes for translating masking patterns into specific topographical patterns in conductors, dielectrics or semiconductor materials.

Technical Note:

‧Physics-based‧ in 3D003 means using computations to determine a sequence of physical cause and effect events based on physical properties (e.g., temperature, pressure, diffusion constants and semiconductor materials properties).

Libraries, design attributes or associated data for the design of semiconductor devices or integrated circuits are considered as "technology".

3D004

"Software" specially designed for the "development" of the equipment specified in 3A003.

3D101

"Software" specially designed or modified for the "use" of equipment specified in 3A101.b.

3E

Technology

3E001

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

3E001 does not control "technology" for the "production" of equipment or components controlled by 3A003.

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

Using "technology" of 0,5 µm or more;

Not incorporating ‧multi-layer structures‧.

Technical Note:

‧Multi-layer structures‧ do not include devices incorporating a maximum of three metal layers and three polysilicon layers.

3E002

"Technology" according to the General Technology Note, other than that specified in 3E001, for the "development" or "production" of a "microprocessor microcircuit", "microcomputer microcircuit" or microcontroller microcircuit core, having an arithmetic logic unit with an access width of 32 bits or more and any of the following features or characteristics:

A ‧vector processor unit‧ designed to perform more than two calculations on floating-point vectors (one-dimensional arrays of 32-bit or larger numbers) simultaneously;

Technical Note:

A ‧vector processor unit‧ is a processor element with built-in instructions that perform multiple calculations on floating-point vectors (one-dimensional arrays of 32-bit or larger numbers) simultaneously, having at least one vector arithmetic logic unit.

Designed to perform more than two 64-bit or larger floating-point operation results per cycle;

Designed to perform more than four 16-bit fixed-point multiply-accumulate results per cycle (e.g., digital manipulation of analogue information that has been previously converted into digital form, also known as digital "signal processing").

3E002.c. does not control "technology" for multimedia extensions.

3E002 does not control "technology" for the "development" or "production" of micro-processor cores, having all of the following:

Using "technology" at or above 0,130 µm;

Incorporating multi-layer structures with five or fewer metal layers.

3E002 includes "technology" for digital signal processors and digital array processors.

3E003

Other "technology" for the "development" or "production" of the following:

Vacuum microelectronic devices;

Hetero-structure semiconductor devices such as high electron mobility transistors (HEMT), hetero-bipolar transistors (HBT), quantum well and super lattice devices;

3E003.b. does not control "technology" for high electron mobility transistors (HEMT) operating at frequencies lower than 31,8 GHz and hetero-junction bipolar transistors (HBT) operating at frequencies lower than 31,8 GHz.

"Superconductive" electronic devices;

Substrates of films of diamond for electronic components.

Substrates of silicon-on-insulator (SOI) for integrated circuits in which the insulator is silicon dioxide;

Substrates of silicon carbide for electronic components;

Electronic vacuum tubes operating at frequencies of 31,8 GHz or higher.

3E101

"Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 3A001.a.1. or 2., 3A101, 3A102 or 3D101.

3E102

"Technology" according to the General Technology Note for the "development" of "software" specified in 3D101.

3E201

"Technology" according to the General Technology Note for the "use" of equipment specified in 3A001.e.2., 3A001.e.3., 3A001.g., 3A201, 3A225 to 3A233.

CATEGORY 4

COMPUTERS

Computers, related equipment and "software" performing telecommunications or "local area network" functions must also be evaluated against the performance characteristics of Category 5, Part 1 (Telecommunications).

Control units which directly interconnect the buses or channels of central processing units, "main storage" or disk controllers are not regarded as telecommunications equipment described in Category 5, Part 1 (Telecommunications).

For the control status of "software" specially designed for packet switching, see 5D001.

Computers, related equipment and "software" performing cryptographic, cryptanalytic, certifiable multi-level security or certifiable user isolation functions, or which limit electromagnetic compatibility (EMC), must also be evaluated against the performance characteristics in Category 5, Part 2 ("Information Security").

4A

Systems, Equipment and Components

4A001

Electronic computers and related equipment, having any of the following and "electronic assemblies" and specially designed components therefor:

N.B.:

4B

Test, Inspection and Production Equipment

None.

4C

Materials

None.

4D

Software

The control status of "software" for the "development", "production", or "use" of equipment described in other Categories is dealt with in the appropriate Category. The control status of "software" for equipment described in this Category is dealt with herein.

4D001

"Software" as follows:

"Software" specially designed or modified for the "development", "production" or "use" of equipment or "software" specified in 4A001 to 4A004, or 4D.

"Software", other than that specified in 4D001.a., specially designed or modified for the "development" or "production" of equipment as follows:

"Digital computers" having an "Adjusted Peak Performance" ("APP") exceeding 0,1 Weighted TeraFLOPS (WT);

"Electronic assemblies" specially designed or modified for enhancing performance by aggregation of processors so that the "APP" of the aggregation exceeds the limit in 4D001.b.1.;

4D002

"Software" specially designed or modified to support "technology" specified in 4E.

4D003

"Software" having characteristics or performing functions exceeding the limits in Category 5, Part 2 ("Information Security");

4D003 does not control "software" when accompanying its user for the user's personal use.

4E

Technology

4E001

"Technology" according to the General Technology Note, for the "development", "production" or "use" of equipment or "software" specified in 4A or 4D.

"Technology", other than that specified in 4E001.a., specially designed or modified for the "development" or "production" of equipment as follows:

"Digital computers" having an "Adjusted Peak Performance" ("APP") exceeding 0,1 Weighted TeraFLOPS (WT);

"Electronic assemblies" specially designed or modified for enhancing performance by aggregation of processors so that the "APP" of the aggregation exceeds the limit in 4E001.b.1.

TECHNICAL NOTE ON "ADJUSTED PEAK PERFORMANCE" ("APP")

"APP" is an adjusted peak rate at which "digital computers" perform 64-bit or larger floating point additions and multiplications.

"APP" is expressed in Weighted TeraFLOPS (WT), in units of 10

adjusted floating point operations per second

number of processors in the "digital computer"

processor number (i,…n)

processor cycle time (t

= 1/F

)

processor frequency

peak floating point calculating rate

architecture adjustment factor

For each processor i, determine the peak number of 64-bit or larger floating point operations, FPO

, performed per cycle for each processor in the "digital computer".

In determining FPO, include only 64-bit or larger floating point additions and/or multiplications. All floating point operations must be expressed in operations per processor cycle; operations requiring multiple cycles may be expressed in fractional results per cycle. For processors not capable of performing calculations on floating point operands of 64-bit or more, the effective calculating rate R is zero.

Calculate the floating point rate R for each processor R

= FPO

Calculate "APP" as "APP" = W

× R

+ W

× R

+ … + W

× R

For ‧vector processors‧, W

= 0,9. For non-‧vector processors‧, W

= 0,3.

For processors that perform compound operations in a cycle, such as addition and multiplication, each operation is counted.

For a pipelined processor the effective calculating rate R is the faster of the pipelined rate, once the pipeline is full, or the non-pipelined rate.

The calculating rate R of each contributing processor is to be calculated at its maximum value theoretically possible before the "APP" of the combination is derived. Simultaneous operations are assumed to exist when the computer manufacturer claims concurrent, parallel, or simultaneous operation or execution in a manual or brochure for the computer.

Do not include processors that are limited to input/output and peripheral functions (e.g., disk drive, communication and video display) when calculating "APP".

"APP" values are not to be calculated for processor combinations (inter)connected by "Local Area Networks", Wide Area Networks, I/O shared connections/devices, I/O controllers and any communication interconnection implemented by "software".

"APP" values must be calculated for:

Processor combinations containing processors specially designed to enhance performance by aggregation, operating simultaneously and sharing memory;

Multiple memory/processor combinations operating simultaneously utilizing specially designed hardware.

A ‧vector processor‧ is defined as a processor with built-in instructions that perform multiple calculations on floating-point vectors (one-dimensional arrays of 64-bit or larger numbers) simultaneously, having at least 2 vector functional units and at least 8 vector registers of at least 64 elements each.

CATEGORY 5

TELECOMMUNICATIONS AND "INFORMATION SECURITY"

PART 1 TELECOMMUNICATIONS

The control status of components, "lasers", test and "production" equipment and "software" therefor which are specially designed for telecommunications equipment or systems is determined in Category 5, Part 1.

"Digital computers", related equipment or "software", when essential for the operation and support of telecommunications equipment described in this Category, are regarded as specially designed components, provided they are the standard models customarily supplied by the manufacturer. This includes operation, administration, maintenance, engineering or billing computer systems.

5A1

Systems, Equipment and Components

5A001

Telecommunications systems, equipment, components and accessories as follows:

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

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

Specially hardened to withstand gamma, neutron or ion radiation;

Specially designed to operate outside the temperature range from 218 K (–55 °C) to 397 K (124 °C);

5A001.a.3. applies only to electronic equipment.

5A001.a.2. and 5A001.a.3. do not control equipment designed or modified for use on board satellites.

Telecommunication systems and equipment, and specially designed components and accessories therefor, having any of the following characteristics, functions or features:

Being underwater untethered communications systems having any of the following:

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

Using an electromagnetic carrier frequency below 30 kHz;

Using electronic beam steering techniques;

Using "lasers" or light-emitting diodes (LEDs) with an output wavelength greater than 400 nm and less than 700 nm, in a "local area network";

Being radio equipment operating in the 1,5 MHz to 87,5 MHz band and having all of the following:

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

Incorporating a linear power amplifier configuration having a capability to support multiple signals simultaneously at an output power of 1 kW or more in the frequency range of 1,5 MHz or more but less than 30 MHz, or 250 W or more in the frequency range of 30 MHz or more but not exceeding 87,5 MHz, over an "instantaneous bandwidth" of one octave or more and with an output harmonic and distortion content of better than –80 dB;

Being radio equipment employing "spread spectrum" techniques, including "frequency hopping" techniques, other than those specified in 5A001.b.4. and having any of the following:

User programmable spreading codes;

A total transmitted bandwidth which is 100 or more times the bandwidth of any one information channel and in excess of 50 kHz;

5A001.b.3.b. does not control radio equipment specially designed for use with civil cellular radio-communications systems.

5A001.b.3 does not control equipment designed to operate at an output power of 1 W or less.

Being radio equipment employing ultra-wideband modulation techniques, having user programmable channelising codes, scrambling codes or network identification codes and having any of the following:

A bandwidth exceeding 500 MHz;

A "fractional bandwidth" of 20 % or more;

Being digitally controlled radio receivers having all of the following:

More than 1 000 channels;

A "frequency switching time" of less than 1 ms;

Automatic searching or scanning of a part of the electromagnetic spectrum;

Identification of the received signals or the type of transmitter;

5A001.b.5. does not control radio equipment specially designed for use with civil cellular radio-communications systems.

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

Technical Notes:

For variable rate ‧voice coding‧, 5A001.b.6. applies to the ‧voice coding‧ output of continuous speech.

For the purposes of 5A001.b.6., ‧voice coding‧ is defined as the technique to take samples of human voice and then convert these samples into a digital signal, taking into account specific characteristics of human speech.

Optical fibre communication cables, optical fibres and accessories, as follows:

Optical fibres of more than 500 m in length, and specified by the manufacturer as being capable of withstanding a ‧proof test‧ tensile stress of 2 × 10

N/m

or more;

Technical Note:

‧Proof Test‧: on-line or off-line production screen testing that dynamically applies a prescribed tensile stress over a 0,5 to 3 m length of fibre at a running rate of 2 to 5 m/s while passing between capstans approximately 150 mm in diameter. The ambient temperature is a nominal 293 K (20 °C) and relative humidity 40 %. Equivalent national standards may be used for executing the proof test.

Optical fibre cables and accessories, designed for underwater use;

5A001.c.2. does not control standard civil telecommunication cables and accessories.

For underwater umbilical cables, and connectors therefor, see 8A002.a.3.

For fibre-optic hull penetrators or connectors, see 8A002.c.

"Electronically steerable phased array antennae" operating above 31,8 GHz;

5A001.d. does not control "electronically steerable phased array antennae" for landing systems with instruments meeting ICAO standards covering Microwave Landing Systems (MLS).

Radio direction finding equipment operating at frequencies above 30 MHz and having all of the following, and specially designed components therefor:

"Instantaneous bandwidth" of 10 MHz or more;

Capable of finding a Line Of Bearing (LOB) to non-cooperating radio transmitters with a signal duration of less than 1 ms;

Jamming equipment specially designed or modified to intentionally and selectively interfere with, deny, inhibit, degrade or seduce mobile telecommunications services and perform any of the following, and specially designed components therefor:

Simulate the functions of Radio Access Network (RAN) equipment;

Detect and exploit specific characteristics of the mobile telecommunications protocol employed (e.g., GSM);

Exploit specific characteristics of the mobile telecommunications protocol employed (e.g., GSM);

For GNSS jamming equipment see Military Goods Controls.

Passive Coherent Location (PCL) systems or equipment, specially designed for detecting and tracking moving objects by measuring reflections of ambient radio frequency emissions, supplied by non-radar transmitters;

Technical Note:

Non-radar transmitters may include commercial radio, television or cellular telecommunications base stations.

5A001.g. does not control any of the following:

Radio-astronomical equipment;

Systems or equipment, that require any radio transmission from the target.

Electronic equipment designed or modified to prematurely activate or prevent the initiation of Radio Controlled Improvised Explosive Devices (RCIED).

N.B.:

SEE ALSO MILITARY GOODS CONTROLS.

5A101

Telemetry and telecontrol equipment, including ground equipment, designed or modified for ‧missiles‧.

Technical Note:

In 5A101 ‧missile‧ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

5A101 does not control:

Equipment designed or modified for manned aircraft or satellites;

Ground based equipment designed or modified for terrestrial or marine applications;

Equipment designed for commercial, civil or ‧Safety of Life‧ (e.g. data integrity, flight safety) GNSS services;

5B1

Test, Inspection and Production Equipment

5B001

Telecommunications test, inspection and production equipment, components and accessories, as follows:

Equipment and specially designed components or accessories therefor, specially designed for the "development", "production" or "use" of equipment, functions or features, specified in 5A001;

5B001.a. does not control optical fibre characterization equipment.

Equipment and specially designed components or accessories therefor, specially designed for the "development" of any of the following telecommunication transmission or switching equipment:

Equipment employing digital techniques designed to operate at a "total digital transfer rate" exceeding 15 Gbit/s;

Technical Note:

For switching equipment the "total digital transfer rate" is measured at the highest speed port or line.

Equipment employing a "laser" and having any of the following:

A transmission wavelength exceeding 1 750 nm;

Performing "optical amplification" using praseodymium-doped fluoride fibre amplifiers (PDFFA);

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

Employing analogue techniques and having a bandwidth exceeding 2,5 GHz;

5B001.b.2.d. does not control equipment specially designed for the "development" of commercial TV systems.

Equipment employing "optical switching";

Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 256;

Equipment employing "common channel signalling" operating in non-associated mode of operation.

5C1

Materials

None

5D1

Software

5D001

"Software" as follows:

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

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

Specific "software" specially designed or modified to provide characteristics, functions or features of equipment, specified in 5A001 or 5B001;

"Software" specially designed or modified for the "development" of any of the following telecommunication transmission or switching equipment:

Equipment employing digital techniques designed to operate at a "total digital transfer rate" exceeding 15 Gbit/s;

Technical Note:

For switching equipment the "total digital transfer rate" is measured at the highest speed port or line.

Equipment employing a "laser" and having any of the following:

A transmission wavelength exceeding 1 750 nm;

Employing analogue techniques and having a bandwidth exceeding 2,5 GHz;

5D001.d.2.b. does not control "software" specially designed or modified for the "development" of commercial TV systems.

Equipment employing "optical switching";

Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 256.

5D101

"Software" specially designed or modified for the "use" of equipment specified in 5A101.

5E1

Technology

5E001

"Technology" as follows:

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

Specific "technology" as follows:

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

"Technology" for the "development" or "use" of "laser" communication techniques with the capability of automatically acquiring and tracking signals and maintaining communications through exoatmosphere or sub-surface (water) media;

"Technology" for the "development" of digital cellular radio base station receiving equipment whose reception capabilities that allow multi-band, multi-channel, multi-mode, multi-coding algorithm or multi-protocol operation can be modified by changes in "software";

"Technology" for the "development" of "spread spectrum" techniques, including "frequency hopping" techniques;

"Technology" according to the General Technology Note for the "development" or "production" of any of the following:

Equipment employing digital techniques designed to operate at a "total digital transfer rate" exceeding 15 Gbit/s;

Technical Note:

For switching equipment the "total digital transfer rate" is measured at the highest speed port or line.

Equipment employing a "laser" and having any of the following:

A transmission wavelength exceeding 1 750 nm;

Performing "optical amplification" using Praseodymium-Doped Fluoride Fibre Amplifiers (PDFFA);

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

Employing wavelength division multiplexing techniques of optical carriers at less than 100 GHz spacing;

Employing analogue techniques and having a bandwidth exceeding 2,5 GHz;

5E001.c.2.e. does not control "technology" for the "development" or "production" of commercial TV systems.

For "technology" for the "development" or "production" of non-telecommunications equipment employing a laser, see 6E.

Equipment employing "optical switching";

Radio equipment having any of the following:

Quadrature-Amplitude-Modulation (QAM) techniques above level 256;

Operating at input or output frequencies exceeding 31,8 GHz;

5E001.c.4.b. does not control "technology" for the "development" or "production" of equipment designed or modified for operation in any frequency band which is "allocated by the ITU" for radio-communications services, but not for radio-determination.

Operating in the 1,5 MHz to 87,5 MHz band and incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal;

Equipment employing "common channel signalling" operating in non-associated mode of operation;

Mobile equipment having all of the following:

Operating at an optical wavelength greater than or equal to 200 nm and less than or equal to 400 nm;

Operating as a "local area network";

"Technology" according to the General Technology Note for the "development" or "production" of Microwave Monolithic Integrated Circuit (MMIC) power amplifiers specially designed for telecommunications and having any of the following:

Rated for operation at frequencies exceeding 3,2 GHz up to and including 6 GHz and with an average output power greater than 4 W (36 dBm) with a "fractional bandwidth" greater than 15 %;

Rated for operation at frequencies exceeding 6 GHz up to and including 16 GHz and with an average output power greater than 1 W (30 dBm) with a "fractional bandwidth" greater than 10 %;

Rated for operation at frequencies exceeding 16 GHz up to and including 31,8 GHz and with an average output power greater than 0,8 W (29 dBm) with a "fractional bandwidth" greater than 10 %;

Rated for operation at frequencies exceeding 31,8 GHz up to and including 37,5 GHz;

Rated for operation at frequencies exceeding 37,5 GHz up to and including 43,5 GHz and with an average output power greater than 0,25 W (24 dBm) with a "fractional bandwidth" greater than 10 %;

Rated for operation at frequencies exceeding 43,5 GHz;

"Technology" according to the General Technology Note for the "development" or "production" of electronic devices and circuits, specially designed for telecommunications and containing components manufactured from "superconductive" materials, specially designed for operation at temperatures below the "critical temperature" of at least one of the "superconductive" constituents and having any of the following:

Current switching for digital circuits using "superconductive" gates with a product of delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10

-14

Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10 000.

5E101

"Technology" according to the General Technology Note for the "development", "production" or "use" of equipment specified in 5A101.

PART 2 "INFORMATION SECURITY"

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

Category 5 — Part 2 does not control products when accompanying their user for the user's personal use.

Cryptography Note

5A002 and 5D002 do not control goods that meet all of the following:

Generally available to the public by being sold, without restriction, from stock at retail selling points by means of any of the following:

Over-the-counter transactions;

Mail order transactions;

Electronic transactions;

Telephone call transactions;

The cryptographic functionality cannot easily be changed by the user;

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

When necessary, details of the goods are accessible and will be provided, upon request, to the competent authorities of the Member State in which the exporter is established in order to ascertain compliance with conditions described in paragraphs a. to c. above.

Technical Note:

In Category 5 — Part 2, parity bits are not included in the key length.

5A2

Systems, Equipment and Components

5A002

"Information security" systems, equipment and components therefor, as follows:

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

For the control of Global Navigation Satellite Systems (GNSS) receiving equipment containing or employing decryption (i.e., GPS or GLONASS), see 7A005.

Designed or modified to use "cryptography" employing digital techniques performing any cryptographic function other than authentication or digital signature and having any of the following:

Technical Notes:

Authentication and digital signature functions include their associated key management function.

Authentication includes all aspects of access control where there is no encryption of files or text except as directly related to the protection of passwords, Personal Identification Numbers (PINs) or similar data to prevent unauthorised access.

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

5A002.a.1. includes equipment designed or modified to use "cryptography" employing analogue principles when implemented with digital techniques.

A "symmetric algorithm" employing a key length in excess of 56 bits;

An "asymmetric algorithm" where the security of the algorithm is based on any of the following:

Factorisation of integers in excess of 512 bits (e.g., RSA);

Computation of discrete logarithms in a multiplicative group of a finite field of size greater than 512 bits (e.g., Diffie-Hellman over Z/pZ);

Discrete logarithms in a group other than mentioned in 5A002.a.1.b.2. in excess of 112 bits (e.g., Diffie-Hellman over an elliptic curve);

Designed or modified to perform cryptanalytic functions;

Not used;

Specially designed or modified to reduce the compromising emanations of information-bearing signals beyond what is necessary for health, safety or electromagnetic interference standards;

Designed or modified to use cryptographic techniques to generate the spreading code for "spread spectrum" systems, other than those specified in 5A002.a.6., including the hopping code for "frequency hopping" systems;

Designed or modified to use cryptographic techniques to generate channelising codes, scrambling codes or network identification codes, for systems using ultra-wideband modulation techniques and having any of the following:

A bandwidth exceeding 500 MHz;

A "fractional bandwidth" of 20 % or more;

Non-cryptographic information and communications technology (ICT) security systems and devices evaluated to an assurance level exceeding class EAL-6 (evaluation assurance level) of the Common Criteria (CC) or equivalent;

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

Designed or modified to use "quantum cryptography".

Technical Note:

"Quantum cryptography" is also known as Quantum Key Distribution (QKD).

5A002 does not control any of the following:

"Personalised smart cards" having any of the following:

Where the cryptographic capability is restricted for use in equipment or systems excluded from control under entries b. to g. of this Note;

For general public-use applications where the cryptographic capability is not user-accessible and it is specially designed and limited to allow protection of personal data stored within;

If a "personalised smart card" has multiple functions, the control status of each function is assessed individually.

Receiving equipment for radio broadcast, pay television or similar restricted audience broadcast of the consumer type, without digital encryption except that exclusively used for sending the billing or programme-related information back to the broadcast providers;

Equipment where the cryptographic capability is not user-accessible and which is specially designed and limited to allow any of the following:

Execution of copy-protected "software";

Access to any of the following:

Copy-protected contents stored on read-only media;

Information stored in encrypted form on media (e.g., in connection with the protection of intellectual property rights) when the media is offered for sale in identical sets to the public;

Copying control of copyright protected audio/video data;

Encryption and/or decryption for protection of libraries, design attributes, or associated data for the design of semiconductor devices or integrated circuits;

Cryptographic equipment specially designed and limited for banking use or ‧money transactions‧;

Technical Note:

‧Money transactions‧ in 5A002 Note d. includes the collection and settlement of fares or credit functions.

Portable or mobile radiotelephones for civil use (e.g., for use with commercial civil cellular radio communication systems) that are not capable of transmitting encrypted data directly to another radiotelephone or equipment (other than Radio Access Network (RAN) equipment), nor of passing encrypted data through RAN equipment (e.g., Radio Network Controller (RNC) or Base Station Controller (BSC));

Cordless telephone equipment not capable of end-to-end encryption where the maximum effective range of unboosted cordless operation (i.e. a single, unrelayed hop between terminal and home base station) is less than 400 metres according to the manufacturer's specifications;

Portable or mobile radiotelephones and similar client wireless devices for civil use, that implement only published or commercial cryptographic standards (except for anti-piracy functions, which may be non-published) and also meet the provisions of paragraphs b. to d. of the Cryptography Note (Note 3 in Category 5 — Part 2), that have been customised for a specific civil industry application with features that do not affect the cryptographic functionality of these original non-customised devices;

Equipment specially designed for the servicing of portable or mobile radiotelephones and similar client wireless devices that meet all the provisions of the Cryptography Note (Note 3 in Category 5, Part 2), where the servicing equipment meets all of the following:

The cryptographic functionality of the servicing equipment cannot easily be changed by the user of the equipment;

The servicing equipment is designed for installation without further substantial support by the supplier;

The servicing equipment cannot change the cryptographic functionality of the device being serviced;

Wireless "personal area network" equipment that implement only published or commercial cryptographic standards and where the cryptographic capability is limited to a nominal operating range not exceeding 30 metres according to the manufacturer’s specifications.

5B2

Test, Inspection and Production Equipment

5B002

"Information security" test, inspection and "production" equipment, as follows:

Equipment specially designed for the "development" or "production" of equipment specified in 5A002 or 5B002.b.;

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

5C2

Materials

None.

5D2

Software

5D002

"Software" as follows:

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

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

Specific "software", as follows:

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

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

5D002 does not control "software" as follows:

"Software" required for the "use" of equipment excluded from control by the Note to 5A002;

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

5E2

Technology

5E002

"Technology" according to the General Technology Note for the "development", "production" or "use" of equipment specified in 5A002, 5B002 or "software" specified in 5D002.a. or 5D002.c.

CATEGORY 6

SENSORS AND LASERS

6A

Systems, Equipment and Components

6A001

Acoustic systems, equipment and components, as follows:

Marine acoustic systems, equipment and specially designed components therefor, as follows:

Active (transmitting or transmitting-and-receiving) systems, equipment and specially designed components therefor, as follows:

6A001.a.1. does not control equipment as follows:

Depth sounders operating vertically below the apparatus, not including a scanning function exceeding ± 20°, and limited to measuring the depth of water, the distance of submerged or buried objects or fish finding;

Acoustic beacons, as follows:

Acoustic emergency beacons;

Pingers specially designed for relocating or returning to an underwater position.

Wide-swath bathymetric survey systems designed for sea bed topographic mapping and having all of the following:

Designed to take measurements at an angle exceeding 20° from the vertical;

Designed to measure depths exceeding 600 m below the water surface;

Designed to provide any of the following:

Incorporation of multiple beams any of which is less than 1.9°;

Data accuracies of better than 0.3 % of water depth across the swath averaged over the individual measurements within the swath;

Object detection or location systems, having any of the following:

A transmitting frequency below 10 kHz;

Sound pressure level exceeding 224 dB (reference 1 µPa at 1 m) for equipment with an operating frequency in the band from 10 kHz to 24 kHz inclusive;

Sound pressure level exceeding 235 dB (reference 1 µPa at 1 m) for equipment with an operating frequency in the band between 24 kHz and 30 kHz;

Forming beams of less than 1° on any axis and having an operating frequency of less than 100 kHz;

Designed to operate with an unambiguous display range exceeding 5 120 m;

Designed to withstand pressure during normal operation at depths exceeding 1 000 m and having transducers with any of the following:

Dynamic compensation for pressure;

Incorporating other than lead zirconate titanate as the transduction element;

Acoustic projectors, including transducers, incorporating piezoelectric, magnetostrictive, electrostrictive, electrodynamic or hydraulic elements operating individually or in a designed combination and having any of the following:

The control status of acoustic projectors, including transducers, specially designed for other equipment is determined by the control status of the other equipment.

6A001.a.1.c. does not control electronic sources which direct the sound vertically only, or mechanical (e.g., air gun or vapour-shock gun) or chemical (e.g., explosive) sources.

An instantaneous radiated ‧acoustic power density‧ exceeding 0,01 mW/mm

/Hz for devices operating at frequencies below 10 kHz;

A continuously radiated ‧acoustic power density‧ exceeding 0,001 mW/mm

/Hz for devices operating at frequencies below 10 kHz;

Technical Note:

‧Acoustic power density‧ is obtained by dividing the output acoustic power by the product of the area of the radiating surface and the frequency of operation.

Side-lobe suppression exceeding 22 dB;

Acoustic systems, equipment and specially designed components for determining the position of surface vessels or underwater vehicles, designed to operate at a range exceeding 1 000 m with a positioning accuracy of less than 10 m rms (root mean square) when measured at a range of 1 000 m;

6A001.a.1.d. includes:

Equipment using coherent "signal processing" between two or more beacons and the hydrophone unit carried by the surface vessel or underwater vehicle;

Equipment capable of automatically correcting speed-of-sound propagation errors for calculation of a point.

Passive (receiving, whether or not related in normal application to separate active equipment) systems, equipment and specially designed components therefor, as follows:

Hydrophones having any of the following:

The control status of hydrophones specially designed for other equipment is determined by the control status of the other equipment.

Incorporating continuous flexible sensing elements;

Incorporating flexible assemblies of discrete sensing elements with either a diameter or length less than 20 mm and with a separation between elements of less than 20 mm;

Having any of the following sensing elements:

Optical fibres;

‧Piezoelectric polymer films‧ other than polyvinylidene-fluoride (PVDF) and its co-polymers {P(VDF-TrFE) and P(VDF-TFE)};

‧Flexible piezoelectric composites‧;

A ‧hydrophone sensitivity‧ better than – 180 dB at any depth with no acceleration compensation;

Designed to operate at depths exceeding 35 m with acceleration compensation;

Designed for operation at depths exceeding 1 000 m;

Technical Notes:

‧Piezoelectric polymer film‧ sensing elements consist of polarised polymer film that is stretched over and attached to a supporting frame or spool (mandrel).

‧Flexible piezoelectric composite‧ sensing elements consist of piezoelectric ceramic particles or fibres combined with an electrically insulating, acoustically transparent rubber, polymer or epoxy compound, where the compound is an integral part of the sensing elements.

‧Hydrophone sensitivity‧ is defined as twenty times the logarithm to the base 10 of the ratio of rms output voltage to a 1 V rms reference, when the hydrophone sensor, without a pre-amplifier, is placed in a plane wave acoustic field with an rms pressure of 1 µPa. For example, a hydrophone of – 160 dB (reference 1 V per µPa) would yield an output voltage of 10

-8

V in such a field, while one of – 180 dB sensitivity would yield only 10

-9

V output. Thus, – 160 dB is better than – 180 dB

Towed acoustic hydrophone arrays having any of the following:

Hydrophone group spacing of less than 12,5 m or ‧able to be modified‧ to have hydrophone group spacing of less than 12,5 m;

Designed or ‧able to be modified‧ to operate at depths exceeding 35 m;

Technical Note:

‧Able to be modified‧ in 6A001.a.2.b.1. and 2. means having provisions to allow a change of the wiring or interconnections to alter hydrophone group spacing or operating depth limits. These provisions are: spare wiring exceeding 10 % of the number of wires, hydrophone group spacing adjustment blocks or internal depth limiting devices that are adjustable or that control more than one hydrophone group.

Heading sensors specified in 6A001.a.2.d.;

Longitudinally reinforced array hoses;

An assembled array of less than 40 mm in diameter;

Not used;

Hydrophone characteristics specified in 6A001.a.2.a.;

Processing equipment, specially designed for towed acoustic hydrophone arrays, having "user accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes;

Heading sensors having all of the following:

An accuracy of better than ± 0.5°;

Designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m;

Bottom or bay cable systems, having any of the following:

Incorporating hydrophones specified in 6A001.a.2.a.;

Incorporating multiplexed hydrophone group signal modules having all of the following characteristics:

Designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m;

Capable of being operationally interchanged with towed acoustic hydrophone array modules;

Processing equipment, specially designed for bottom or bay cable systems, having "user accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes;

Correlation-velocity and Doppler-velocity sonar log equipment, designed to measure the horizontal speed of the equipment carrier relative to the sea bed, as follows:

Correlation-velocity sonar log equipment having any of the following characteristics:

Designed to operate at distances between the carrier and the sea bed exceeding 500 m;

Having speed accuracy better than 1 % of speed;

Doppler-velocity sonar log equipment having speed accuracy better than 1 % of speed.

6A001.b. does not control depth sounders limited to any of the following:

Measuring the depth of water;

Measuring the distance of submerged or buried objects;

Fish finding.

6A001.b. does not control equipment specially designed for installation on surface vessels.

Diver deterrent acoustic systems specially designed or modified to disrupt divers and having a sound pressure level equal to or exceeding 190 dB (reference 1 µPa at 1 m) at frequencies of 200 Hz and below.

6A001.c. does not control diver deterrent systems based on underwater explosive devices, air guns or combustible sources.

6A001.c. includes diver deterrent acoustic systems that use spark gap sources, also known as plasma sound sources.

6A002

Optical sensors or equipment and components therefor, as follows:

N.B.:

6B

Test, Inspection and Production Equipment

6B004

Optical equipment as follows:

Equipment for measuring absolute reflectance to an accuracy of ±0,1 % of the reflectance value;

Equipment other than optical surface scattering measurement equipment, having an unobscured aperture of more than 10 cm, specially designed for the non-contact optical measurement of a non-planar optical surface figure (profile) to an "accuracy" of 2 nm or less (better) against the required profile.

6B004 does not control microscopes.

6B007

Equipment to produce, align and calibrate land-based gravity meters with a static accuracy of better than 0,1 mgal.

6B008

Pulse radar cross-section measurement systems having transmit pulse widths of 100 ns or less, and specially designed components therefor.

N.B.:

6C

Materials

6C002

Optical sensor materials as follows:

Elemental tellurium (Te) of purity levels of 99,9995 % or more;

Single crystals (including epitaxial wafers) of any of the following:

Cadmium zinc telluride (CdZnTe), with zinc content of less than 6 % by ‧mole fraction‧;

Cadmium telluride (CdTe) of any purity level;

Mercury cadmium telluride (HgCdTe) of any purity level.

Technical Note:

‧Mole fraction‧ is defined as the ratio of moles of ZnTe to the sum of moles of CdTe and ZnTe present in the crystal.

6C004

Optical materials as follows:

Zinc selenide (ZnSe) and zinc sulphide (ZnS) "substrate blanks", produced by the chemical vapour deposition process and having any of the following:

A volume greater than 100 cm

;

A diameter greater than 80 mm and a thickness of 20 mm or more;

Boules of any of the following electro-optic materials:

Potassium titanyl arsenate (KTA);

Silver gallium selenide (AgGaSe

);

Thallium arsenic selenide (Tl

AsSe

, also known as TAS);

Non-linear optical materials having all of the following:

Third order susceptibility (chi 3) of 10

-6

or more;

A response time of less than 1 ms;

"Substrate blanks" of silicon carbide or beryllium beryllium (Be/Be) deposited materials, exceeding 300 mm in diameter or major axis length;

Glass, including fused silica, phosphate glass, fluorophosphate glass, zirconium fluoride (ZrF

) and hafnium fluoride (HfF

) and having all of the following:

A hydroxyl ion (OH-) concentration of less than 5 ppm;

Integrated metallic purity levels of less than 1 ppm;

High homogeneity (index of refraction variance) less than 5 × 10

-6

;

Synthetically produced diamond material with an absorption of less than 10

-5

-1

for wavelengths exceeding 200 nm but not exceeding 14 000 nm.

6C005

Synthetic crystalline "laser" host material in unfinished form as follows:

Titanium doped sapphire;

Alexandrite.

6D

Software

6D001

"Software" specially designed for the "development" or "production" of equipment specified in 6A004, 6A005, 6A008 or 6B008.

6D002

"Software" specially designed for the "use" of equipment specified in 6A002.b., 6A008 or 6B008.

6D003

Other "software" as follows:

"Software" as follows:

"Software" specially designed for acoustic beam forming for the "real time processing" of acoustic data for passive reception using towed hydrophone arrays;

"Source code" for the "real time processing" of acoustic data for passive reception using towed hydrophone arrays;

"Software" specially designed for acoustic beam forming for "real time processing" of acoustic data for passive reception using bottom or bay cable systems;

"Source code" for "real time processing" of acoustic data for passive reception using bottom or bay cable systems;

Not used;

"Software" designed or modified for cameras incorporating "focal plane arrays" specified in 6A002.a.3.f. and designed or modified to remove a frame rate restriction and allow the camera to exceed the frame rate specified in 6A003.b.4. Note 3.a.

Not used;

"Software" as follows:

"Software" specially designed for magnetic and electric field "compensation systems" for magnetic sensors designed to operate on mobile platforms;

"Software" specially designed for magnetic and electric field anomaly detection on mobile platforms;

"Software" specially designed to correct motional influences of gravity meters or gravity gradiometers;

"Software" as follows:

Air Traffic Control (ATC) "software" application "programmes" hosted on general purpose computers located at Air Traffic Control centres and capable of any of the following:

Processing and displaying more than 150 simultaneous "system tracks";

Accepting radar target data from more than four primary radars;

"Software" for the design or "production" of radomes and having all of the following:

Specially designed to protect the "electronically steerable phased array antennae" specified in 6A008.e.;

Resulting in an antenna pattern having an ‧average side lobe level‧ more than 40 dB below the peak of the main beam level.

Technical Note:

"Average side lobe level‧ in 6D003.h.2.b. is measured over the entire array excluding the angular extent of the main beam and the first two side lobes on either side of the main beam.

6D102

"Software" specially designed or modified for the "use" of goods specified in 6A108.

6D103

"Software" which processes post-flight, recorded data, enabling determination of vehicle position throughout its flight path, specially designed or modified for ‧missiles‧.

Technical Note:

In 6D103 ‧missile‧ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

6E

Technology

6E001

"Technology" according to the General Technology Note for the "development" of equipment, materials or "software" specified in 6A, 6B, 6C or 6D.

6E002

"Technology" according to the General Technology Note for the "production" of equipment or materials specified in 6A, 6B or 6C.

6E003

Other "technology" as follows:

"Technology" as follows:

Optical surface coating and treatment "technology", "required" to achieve uniformity of 99,5 % or better for optical coatings 500 mm or more in diameter or major axis length and with a total loss (absorption and scatter) of less than 5 × 10

-3

;

CATEGORY 7

NAVIGATION AND AVIONICS

7A

Systems, Equipment and Components

For automatic pilots for underwater vehicles, see Category 8.

For radar, see Category 6.

7A001

Accelerometers as follows and specially designed components therefor:

N.B.:

7B

Test, Inspection and Production Equipment

7B001

Test, calibration or alignment equipment, specially designed for equipment specified in 7A.

7B001 does not control test, calibration or alignment equipment for ‧Maintenance Level I‧ or ‧Maintenance Level II‧.

Technical Notes:

The failure of an inertial navigation unit is detected on the aircraft by indications from the Control and Display Unit (CDU) or by the status message from the corresponding sub-system. By following the manufacturer's manual, the cause of the failure may be localised at the level of the malfunctioning Line Replaceable Unit (LRU). The operator then removes the LRU and replaces it with a spare.

The defective LRU is sent to the maintenance workshop (the manufacturer's or that of the operator responsible for level II maintenance). At the maintenance workshop, the malfunctioning LRU is tested by various appropriate means to verify and localise the defective Shop Replaceable Assembly (SRA) module responsible for the failure. This SRA is removed and replaced by an operative spare. The defective SRA (or possibly the complete LRU) is then shipped to the manufacturer.

‧Maintenance Level II‧ does not include the removal of controlled accelerometers or gyro sensors from the SRA.

7B002

Equipment specially designed to characterize mirrors for ring "laser" gyros, as follows:

N.B.:

7C

Materials

None.

7D

Software

7D001

"Software" specially designed or modified for the "development" or "production" of equipment specified in 7A. or 7B.

7D002

"Source code" for the "use" of any inertial navigation equipment, including inertial equipment not specified in 7A003 or 7A004, or Attitude and Heading Reference Systems (‧AHRS‧).

7D002 does not control "source code" for the "use" of gimballed ‧AHRS‧.

Technical Note:

‧AHRS‧ generally differ from Inertial Navigation Systems (INS) in that an ‧AHRS‧ provides attitude and heading information and normally does not provide the acceleration, velocity and position information associated with an INS.

7D003

Other "software" as follows:

"Software" specially designed or modified to improve the operational performance or reduce the navigational error of systems to the levels specified in 7A003, 7A004 or 7A008;

"Source code" for hybrid integrated systems which improves the operational performance or reduces the navigational error of systems to the level specified in 7A003 or 7A008 by continuously combining heading data with any of the following:

Doppler radar or sonar velocity data;

Global navigation satellite systems (i.e., GPS or GLONASS) reference data;

Data from "Data-Based Referenced Navigation" ("DBRN") systems;

"Source code" for integrated avionics or mission systems which combine sensor data and employ "expert systems";

"Source code" for the "development" of any of the following:

Digital flight management systems for "total control of flight";

Integrated propulsion and flight control systems;

Fly-by-wire or fly-by-light control systems;

Fault-tolerant or self-reconfiguring "active flight control systems";

Airborne automatic direction finding equipment;

Air data systems based on surface static data;

Raster-type head-up displays or three dimensional displays;

Computer-Aided-Design (CAD) "software" specially designed for the "development" of "active flight control systems", helicopter multi-axis fly-by-wire or fly-by-light controllers or helicopter "circulation controlled anti-torque or circulation-controlled direction control systems", whose "technology" is specified in 7E004.b., 7E004.c.1. or 7E004.c.2.

7D101

"Software" specially designed or modified for the "use" of equipment specified in 7A001 to 7A006, 7A101 to 7A106, 7A115, 7A116.a., 7A116.b., 7B001, 7B002, 7B003, 7B102 or 7B103.

7D102

Integration "software" as follows:

Integration "software" for the equipment specified in 7A103.b.;

Integration "software" specially designed for the equipment specified in 7A003 or 7A103.a.

Integration "software" designed or modified for the equipment specified in 7A103.c.

A common form of integration "software" employs Kalman filtering.

7D103

"Software" specially designed for modelling or simulation of the "guidance sets" specified in 7A117 or for their design integration with the space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

"Software" specified in 7D103 remains controlled when combined with specially designed hardware specified in 4A102.

7E

Technology

7E001

"Technology" according to the General Technology Note for the "development" of equipment or "software", specified in 7A, 7B or 7D.

7E002

"Technology" according to the General Technology Note for the "production" of equipment specified in 7A or 7B.

7E003

"Technology" according to the General Technology Note for the repair, refurbishing or overhaul of equipment specified in 7A001 to 7A004.

7E003 does not control maintenance "technology" directly associated with calibration, removal or replacement of damaged or unserviceable LRUs and SRAs of a "civil aircraft" as described in ‧Maintenance Level I‧ or ‧Maintenance Level II‧.

See Technical Notes to 7B001.

7E004

Other "technology" as follows:

"Technology" for the "development" or "production" of any of the following:

Airborne automatic direction finding equipment operating at frequencies exceeding 5 MHz;

Air data systems based on surface static data only, i.e., which dispense with conventional air data probes;

Raster-type head-up displays or three dimensional displays, for "aircraft";

Inertial navigation systems or gyro-astro compasses, containing accelerometers or gyros, specified in 7A001 or 7A002;

Electric actuators (i.e., electromechanical, electrohydrostatic and integrated actuator package) specially designed for "primary flight control";

"Flight control optical sensor array" specially designed for implementing "active flight control systems";

"DBRN" systems designed to navigate underwater, using sonar or gravity databases, that provide a positioning accuracy equal to or less (better) than 0,4 nautical miles;

"Development""technology", as follows, for "active flight control systems" (including fly-by-wire or fly-by-light):

Configuration design for interconnecting multiple microelectronic processing elements (on-board computers) to achieve "real time processing" for control law implementation;

Control law compensation for sensor location or dynamic airframe loads, i.e., compensation for sensor vibration environment or for variation of sensor location from the centre of gravity;

Electronic management of data redundancy or systems redundancy for fault detection, fault tolerance, fault isolation or reconfiguration;

7E004.b.3. does not control "technology" for the design of physical redundancy.

Flight controls which permit inflight reconfiguration of force and moment controls for real time autonomous air vehicle control;

Integration of digital flight control, navigation and propulsion control data, into a digital flight management system for "total control of flight";

7E004.b.5. does not control:

"Development""technology" for integration of digital flight control, navigation and propulsion control data, into a digital flight management system for "flight path optimisation";

"Development""technology" for "aircraft" flight instrument systems integrated solely for VOR, DME, ILS or MLS navigation or approaches.

Full authority digital flight control or multisensor mission management systems, employing "expert systems";

For "technology" for Full Authority Digital Engine Control ("FADEC"), see 9E003.a.9.

"Technology" for the "development" of helicopter systems, as follows:

Multi-axis fly-by-wire or fly-by-light controllers, which combine the functions of at least two of the following into one controlling element:

Collective controls;

Cyclic controls;

Yaw controls;

"Circulation-controlled anti-torque or circulation-controlled directional control systems";

Rotor blades incorporating "variable geometry airfoils", for use in systems using individual blade control.

7E101

"Technology" according to the General Technology Note for the "use" of equipment specified in 7A001 to 7A006, 7A101 to 7A106, 7A115 to 7A117, 7B001, 7B002, 7B003, 7B102, 7B103, 7D101 to 7D103.

7E102

"Technology" for protection of avionics and electrical subsystems against electromagnetic pulse (EMP) and electromagnetic interference (EMI) hazards, from external sources, as follows:

Design "technology" for shielding systems;

Design "technology" for the configuration of hardened electrical circuits and subsystems;

Design "technology" for the determination of hardening criteria of 7E102.a. and 7E102.b.

7E104

"Technology" for the integration of the flight control, guidance, and propulsion data into a flight management system for optimization of rocket system trajectory.

CATEGORY 8

MARINE

8A

Systems, Equipment and Components

8A001

Submersible vehicles and surface vessels, as follows:

For the control status of equipment for submersible vehicles, see:

— Category 5, Part 2 "Information Security" for encrypted communication equipment;

— Category 6 for sensors;

— Categories 7 and 8 for navigation equipment;

— Category 8A for underwater equipment.

Manned, tethered submersible vehicles designed to operate at depths exceeding 1 000 m;

Manned, untethered submersible vehicles having any of the following:

Designed to ‧operate autonomously‧ and having a lifting capacity of all the following:

10 % or more of their weight in air;

15 kN or more;

Designed to operate at depths exceeding 1 000 m;

Having all of the following:

Designed to continuously ‧operate autonomously‧ for 10 hours or more;

‧Range‧ of 25 nautical miles or more;

Technical Notes:

For the purposes of 8A001.b., ‧operate autonomously‧ means fully submerged, without snorkel, all systems working and cruising at minimum speed at which the submersible can safely control its depth dynamically by using its depth planes only, with no need for a support vessel or support base on the surface, sea-bed or shore, and containing a propulsion system for submerged or surface use.

For the purposes of 8A001.b., ‧range‧ means half the maximum distance a submersible vehicle can ‧operate autonomously‧.

Unmanned, tethered submersible vehicles designed to operate at depths exceeding 1 000 m and having any of the following:

Designed for self-propelled manoeuvre using propulsion motors or thrusters specified in 8A002.a.2.;

Fibre optic data link;

Unmanned, untethered submersible vehicles having any of the following:

Designed for deciding a course relative to any geographical reference without real-time human assistance;

Acoustic data or command link;

Fibre optic data or command link exceeding 1 000 m;

Ocean salvage systems with a lifting capacity exceeding 5 MN for salvaging objects from depths exceeding 250 m and having any of the following:

Dynamic positioning systems capable of position keeping within 20 m of a given point provided by the navigation system;

Seafloor navigation and navigation integration systems, for depths exceeding 1 000 m and with positioning accuracies to within 10 m of a predetermined point;

Surface-effect vehicles (fully skirted variety) having all of the following:

Maximum design speed, fully loaded, exceeding 30 knots in a significant wave height of 1,25 m (Sea State 3) or more;

Cushion pressure exceeding 3 830 Pa;

Light-ship-to-full-load displacement ratio of less than 0,70;

Surface-effect vehicles (rigid sidewalls) with a maximum design speed, fully loaded, exceeding 40 knots in a significant wave height of 3,25 m (Sea State 5) or more;

Hydrofoil vessels with active systems for automatically controlling foil systems, with a maximum design speed, fully loaded, of 40 knots or more in a significant wave height of 3,25 m (Sea State 5) or more;

‧Small waterplane area vessels‧ having any of the following:

Full load displacement exceeding 500 tonnes with a maximum design speed, fully loaded, exceeding 35 knots in a significant wave height of 3,25 m (Sea State 5) or more;

Full load displacement exceeding 1 500 tonnes with a maximum design speed, fully loaded, exceeding 25 knots in a significant wave height of 4 m (Sea State 6) or more.

Technical Note:

A ‧small waterplane area vessel‧ is defined by the following formula: waterplane area at an operational design draught less than 2 × (displaced volume at the operational design draught)

2/3

8A002

Marine systems, equipment and components, as follows:

For underwater communications systems, see Category 5, Part 1 — Telecommunications.

Systems, equipment and components, specially designed or modified for submersible vehicles and designed to operate at depths exceeding 1 000 m, as follows:

Pressure housings or pressure hulls with a maximum inside chamber diameter exceeding 1,5 m;

Direct current propulsion motors or thrusters;

Umbilical cables, and connectors therefor, using optical fibre and having synthetic strength members;

Components manufactured from material specified in 8C001;

Technical Note:

The objective of 8A002.a.4. should not be defeated by the export of ‧syntactic foam‧ specified in 8C001 when an intermediate stage of manufacture has been performed and it is not yet in the final component form.

Systems specially designed or modified for the automated control of the motion of submersible vehicles specified in 8A001, using navigation data, having closed loop servo-controls and having any of the following:

Enabling a vehicle to move within 10 m of a predetermined point in the water column;

Maintaining the position of the vehicle within 10 m of a predetermined point in the water column;

Maintaining the position of the vehicle within 10 m while following a cable on or under the seabed;

Fibre optic hull penetrators or connectors;

Underwater vision systems as follows:

Television systems and television cameras, as follows:

Television systems (comprising camera, monitoring and signal transmission equipment) having a ‧limiting resolution‧ when measured in air of more than 800 lines and specially designed or modified for remote operation with a submersible vehicle;

Underwater television cameras having a ‧limiting resolution‧ when measured in air of more than 1 100 lines;

Low light level television cameras specially designed or modified for underwater use and having all of the following:

Image intensifier tubes specified in 6A002.a.2.a.;

More than 150 000"active pixels" per solid state area array;

Technical Note:

‧Limiting resolution‧ is a measure of horizontal resolution usually expressed in terms of the maximum number of lines per picture height discriminated on a test chart, using IEEE Standard 208/1960 or any equivalent standard.

Systems specially designed or modified for remote operation with an underwater vehicle, employing techniques to minimise the effects of back scatter and including range-gated illuminators or "laser" systems;

Photographic still cameras specially designed or modified for underwater use below 150 m, with a film format of 35 mm or larger and having any of the following:

Annotation of the film with data provided by a source external to the camera;

Automatic back focal distance correction;

Automatic compensation control specially designed to permit an underwater camera housing to be usable at depths exceeding 1 000 m;

Electronic imaging systems specially designed or modified for underwater use and having any of the following:

Image intensifier tubes specified in 6A002.a.2.a. or 6A002.a.2.b., and using electron image amplification other than by microchannel plate;

Non-"space-qualified""focal plane arrays" specified in 6A002.a.3.g.;

Light systems specially designed or modified for underwater use, as follows:

Stroboscopic light systems capable of a light output energy of more than 300 J per flash and a flash rate of more than 5 flashes per second;

Argon arc light systems specially designed for use below 1 000 m;

"Robots" specially designed for underwater use, controlled by using a dedicated computer and having any of the following:

Systems that control the "robot" using information from sensors which measure force or torque applied to an external object, distance to an external object, or tactile sense between the "robot" and an external object;

The ability to exert a force of 250 N or more or a torque of 250 Nm or more and using titanium based alloys or "composite""fibrous or filamentary materials" in their structural members;

Remotely controlled articulated manipulators specially designed or modified for use with submersible vehicles and having any of the following:

Systems which control the manipulator using the information from sensors which measure the torque or force applied to an external object, or tactile sense between the manipulator and an external object;

Controlled by proportional master-slave techniques or by using a dedicated computer and having 5 degrees of ‧freedom of movement‧ or more;

Technical Note:

Only functions having proportional control using positional feedback or by using a dedicated computer are counted when determining the number of degrees of ‧freedom of movement‧.

Air independent power systems specially designed for underwater use, as follows:

Brayton or Rankine cycle engine air independent power systems having any of the following:

Chemical scrubber or absorber systems, specially designed to remove carbon dioxide, carbon monoxide and particulates from recirculated engine exhaust;

Systems specially designed to use a monoatomic gas;

Devices or enclosures, specially designed for underwater noise reduction in frequencies below 10 kHz, or special mounting devices for shock mitigation;

Systems having all of the following:

Specially designed to pressurise the products of reaction or for fuel reformation;

Specially designed to store the products of the reaction;

Specially designed to discharge the products of the reaction against a pressure of 100 kPa or more;

Diesel cycle engine air independent systems having all of the following:

Chemical scrubber or absorber systems, specially designed to remove carbon dioxide, carbon monoxide and particulates from recirculated engine exhaust;

Systems specially designed to use a monoatomic gas;

Devices or enclosures, specially designed for underwater noise reduction in frequencies below 10 kHz, or special mounting devices for shock mitigation;

Specially designed exhaust systems that do not exhaust continuously the products of combustion;

Fuel cell air independent power systems with an output exceeding 2 kW and having any of the following:

Devices or enclosures, specially designed for underwater noise reduction in frequencies below 10 kHz, or special mounting devices for shock mitigation;

Systems having all of the following:

Specially designed to pressurise the products of reaction or for fuel reformation;

Specially designed to store the products of the reaction;

Specially designed to discharge the products of the reaction against a pressure of 100 kPa or more;

Stirling cycle engine air independent power systems having all of the following:

Devices or enclosures, specially designed for underwater noise reduction in frequencies below 10 kHz, or special mounting devices for shock mitigation;

Specially designed exhaust systems which discharge the products of combustion against a pressure of 100 kPa or more;

Skirts, seals and fingers, having any of the following:

Designed for cushion pressures of 3 830 Pa or more, operating in a significant wave height of 1,25 m (Sea State 3) or more and specially designed for surface effect vehicles (fully skirted variety) specified in 8A001.f.;

Designed for cushion pressures of 6 224 Pa or more, operating in a significant wave height of 3,25 m (Sea State 5) or more and specially designed for surface effect vehicles (rigid sidewalls) specified in 8A001.g.;

Lift fans rated at more than 400 kW and specially designed for surface effect vehicles specified in 8A001.f. or 8A001.g.;

Fully submerged subcavitating or supercavitating hydrofoils, specially designed for vessels specified in 8A001.h.;

Active systems specially designed or modified to control automatically the sea-induced motion of vehicles or vessels, specified in 8A001.f., 8A001.g., 8A001.h. or 8A001.i.;

Propellers, power transmission systems, power generation systems and noise reduction systems, as follows:

Water-screw propeller or power transmission systems, as follows, specially designed for surface effect vehicles (fully skirted or rigid sidewall variety), hydrofoils or ‧small waterplane area vessels‧ specified in 8A001.f., 8A001.g., 8A001.h. or 8A001.i., as follows:

Supercavitating, super-ventilated, partially-submerged or surface piercing propellers, rated at more than 7,5 MW;

Contrarotating propeller systems rated at more than 15 MW;

Systems employing pre-swirl or post-swirl techniques, for smoothing the flow into a propeller;

Light-weight, high capacity (K factor exceeding 300) reduction gearing;

Power transmission shaft systems incorporating "composite" material components and capable of transmitting more than 1 MW;

Water-screw propeller, power generation systems or transmission systems, designed for use on vessels, as follows:

Controllable-pitch propellers and hub assemblies, rated at more than 30 MW;

Internally liquid-cooled electric propulsion engines with a power output exceeding 2,5 MW;

"Superconductive" propulsion engines or permanent magnet electric propulsion engines, with a power output exceeding 0,1 MW;

Power transmission shaft systems incorporating "composite" material components and capable of transmitting more than 2 MW;

Ventilated or base-ventilated propeller systems, rated at more than 2,5 MW;

Noise reduction systems designed for use on vessels of 1 000 tonnes displacement or more, as follows:

Systems that attenuate underwater noise at frequencies below 500 Hz and consist of compound acoustic mounts for the acoustic isolation of diesel engines, diesel generator sets, gas turbines, gas turbine generator sets, propulsion motors or propulsion reduction gears, specially designed for sound or vibration isolation and having an intermediate mass exceeding 30 % of the equipment to be mounted;

Active noise reduction or cancellation systems, or magnetic bearings, specially designed for power transmission systems, and incorporating electronic control systems capable of actively reducing equipment vibration by the generation of anti-noise or anti-vibration signals directly to the source;

Pumpjet propulsion systems having a power output exceeding 2,5 MW using divergent nozzle and flow conditioning vane techniques to improve propulsive efficiency or reduce propulsion-generated underwater-radiated noise;

Self-contained, closed or semi-closed circuit (rebreathing) diving and underwater swimming apparatus.

8A002.q. does not control an individual apparatus for personal use when accompanying its user.

8B

Test, Inspection and Production Equipment

8B001

Water tunnels having a background noise of less than 100 dB (reference 1 µPa, 1 Hz), in the frequency range from 0 to 500 Hz and designed for measuring acoustic fields generated by a hydro-flow around propulsion system models.

8C

Materials

8C001

‧Syntactic foam‧ designed for underwater use and having all of the following:

8D

Software

8D001

"Software" specially designed or modified for the "development", "production" or "use" of equipment or materials, specified in 8A, 8B or 8C.

8D002

Specific "software" specially designed or modified for the "development", "production", repair, overhaul or refurbishing (re-machining) of propellers specially designed for underwater noise reduction.

8E

Technology

8E001

"Technology" according to the General Technology Note for the "development" or "production" of equipment or materials, specified in 8A, 8B or 8C.

8E002

Other "technology" as follows:

"Technology" for the "development", "production", repair, overhaul or refurbishing (re-machining) of propellers specially designed for underwater noise reduction;

"Technology" for the overhaul or refurbishing of equipment specified in 8A001, 8A002.b., 8A002.j., 8A002.o. or 8A002.p.

CATEGORY 9

AEROSPACE AND PROPULSION

9A

Systems, Equipment and Components

For propulsion systems designed or rated against neutron or transient ionizing radiation, see the Military Goods Controls.

9A001

Aero gas turbine engines having any of the following:

N.B.:

SEE ALSO 9A119.

Liquid propellant rocket engines usable in "missiles", other than those specified in 9A005, having a total impulse capacity equal to or greater than 1,1 MNs;

Liquid propellant rocket engines, usable in complete rocket systems or unmanned aerial vehicles, capable of a range of 300 km, other than those specified in 9A005 or 9A105.a., having a total impulse capacity equal to or greater than 0,841 MNs.

9A106

Systems or components, other than those specified in 9A006 as follows, specially designed for liquid rocket propulsion systems:

Ablative liners for thrust or combustion chambers, usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104;

Rocket nozzles, usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104;

Thrust vector control sub-systems, usable in "missiles";

Technical Note:

Examples of methods of achieving thrust vector control specified in 9A106.c. are:

Flexible nozzle;

Fluid or secondary gas injection;

Movable engine or nozzle;

Deflection of exhaust gas stream (jet vanes or probes);

Thrust tabs.

Liquid and slurry propellant (including oxidisers) control systems, and specially designed components therefor, usable in "missiles", designed or modified to operate in vibration environments greater than 10 g rms between 20 Hz and 2 kHz.

The only servo valves and pumps specified in 9A106.d., are the following:

Servo valves designed for flow rates equal to or greater than 24 litres per minute, at an absolute pressure equal to or greater than 7 MPa, that have an actuator response time of less than 100 ms;

Pumps, for liquid propellants, with shaft speeds equal to or greater than 8 000 r.p.m. or with discharge pressures equal to or greater than 7 MPa.

9A107

Solid propellant rocket engines, usable in complete rocket systems or unmanned aerial vehicles, capable of a range of 300 km, other than those specified in 9A007, having total impulse capacity equal to or greater than 0,841 MNs.

N.B.:

SEE ALSO 9A119.

9A108

Components, other than those specified in 9A008, as follows, specially designed for solid rocket propulsion systems:

Rocket motor cases and "insulation" components therefor, usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104;

Rocket nozzles, usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104;

Thrust vector control sub-systems, usable in "missiles".

Technical Note:

Examples of methods of achieving thrust vector control specified in 9A108.c. are:

Flexible nozzle;

Fluid or secondary gas injection;

Movable engine or nozzle;

Deflection of exhaust gas stream (jet vanes or probes);

Thrust tabs.

9A109

Hybrid rocket motors, usable in ‧missiles‧, other than those specified in 9A009, and specially designed components therefor.

N.B.:

SEE ALSO 9A119.

Technical Note:

In 9A109 ‧missile‧ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

9A110

Composite structures, laminates and manufactures thereof, other than those specified in 9A010, specially designed for use in ‧missiles‧ or the subsystems specified in 9A005, 9A007, 9A105, 9A106.c., 9A107, 9A108.c., 9A116 or 9A119.

N.B.:

9B

Test, Inspection and Production Equipment

9B001

Equipment, tooling and fixtures, specially designed for manufacturing gas turbine blades, vanes or tip shroud castings, as follows:

Directional solidification or single crystal casting equipment;

Ceramic cores or shells;

9B002

On-line (real time) control systems, instrumentation (including sensors) or automated data acquisition and processing equipment, specially designed for the "development" of gas turbine engines, assemblies or components and incorporating "technologies" specified in 9E003.a.

9B003

Equipment specially designed for the "production" or test of gas turbine brush seals designed to operate at tip speeds exceeding 335 m/s and temperatures in excess of 773 K (500 °C), and specially designed components or accessories therefor.

9B004

Tools, dies or fixtures, for the solid state joining of "superalloy", titanium or intermetallic airfoil-to-disk combinations described in 9E003.a.3. or 9E003.a.6. for gas turbines.

9B005

On-line (real time) control systems, instrumentation (including sensors) or automated data acquisition and processing equipment, specially designed for use with any of the following:

N.B.:

9C

Materials

9C108

"Insulation" material in bulk form and "interior lining", other than those specified in 9A008, for rocket motor cases usable in "missiles" or specially designed for ‧missiles‧.

Technical Note:

In 9C108 ‧missile‧ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

9C110

Resin impregnated fibre prepregs and metal coated fibre preforms therefor, for composite structures, laminates and manufactures specified in 9A110, made either with organic matrix or metal matrix utilising fibrous or filamentary reinforcements having a "specific tensile strength" greater than 7,62 × 10

m and a "specific modulus" greater than 3,18 × 10

N.B.:

9D

Software

9D001

"Software" specially designed or modified for the "development" of equipment or "technology", specified in 9A001 to 9A119, 9B or 9E003.

9D002

"Software" specially designed or modified for the "production" of equipment specified in 9A001 to 9A119 or 9B.

9D003

"Software" specially designed or modified for the "use" of "Full Authority Digital Electronic Engine Controls" ("FADEC") for propulsion systems specified in 9A or equipment specified in 9B, as follows:

"Software" in digital electronic controls for propulsion systems, aerospace test facilities or air breathing aero-engine test facilities;

Fault-tolerant "software" used in "FADEC" systems for propulsion systems and associated test facilities.

9D004

Other "software" as follows:

2D or 3D viscous "software", validated with wind tunnel or flight test data required for detailed engine flow modelling;

"Software" for testing aero gas turbine engines, assemblies or components, specially designed to collect, reduce and analyse data in real time and capable of feedback control, including the dynamic adjustment of test articles or test conditions, as the test is in progress;

"Software" specially designed to control directional solidification or single crystal casting;

"Software" in "source code", "object code" or machine code, required for the "use" of active compensating systems for rotor blade tip clearance control;

9D004.d. does not control "software" embedded in equipment not specified in Annex I or required for maintenance activities associated with the calibration or repair or updates to the active compensating clearance control system.

"Software" specially designed or modified for the "use" of "UAVs" and associated systems, equipment and components, specified in 9A012;

"Software" specially designed to design the internal cooling passages of aero gas turbine blades, vans and tip shrouds;

"Software" having all of the following:

Specially designed to predict aero thermal, aeromechanical and combustion conditions in aero gas turbine engines;

Theoretical modelling predictions of the aero thermal, aeromechanical and combustion conditions, which have been validated with actual aero gas turbine engine (experimental or production) performance data.

9D101

"Software" specially designed or modified for the "use" of goods specified in 9B105, 9B106, 9B116 or 9B117.

9D103

"Software" specially designed for modelling, simulation or design integration of the space launch vehicles specified in 9A004 or sounding rockets specified in 9A104, or the subsystems specified in 9A005, 9A007, 9A105, 9A106.c., 9A107, 9A108.c., 9A116 or 9A119.

"Software" specified in 9D103 remains controlled when combined with specially designed hardware specified in 4A102.

9D104

"Software" specially designed or modified for the "use" of goods specified in 9A001, 9A005, 9A006.d., 9A006.g., 9A007.a., 9A008.d., 9A009.a., 9A010.d., 9A011, 9A101, 9A102, 9A105, 9A106.c., 9A106.d., 9A107, 9A108.c., 9A109, 9A111, 9A115.a., 9A116.d., 9A117 or 9A118.

9D105

"Software" which coordinates the function of more than one subsystem, specially designed or modified for "use" in space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

9E

Technology

"Development" or "production""technology" specified in 9E001 to 9E003 for gas turbine engines remains controlled when used as "use""technology" for repair, rebuild and overhaul. Excluded from control are: technical data, drawings or documentation for maintenance activities directly associated with calibration, removal or replacement of damaged or unserviceable line replaceable units, including replacement of whole engines or engine modules.

9E001

"Technology" according to the General Technology Note for the "development" of equipment or "software", specified in 9A001.b., 9A004 to 9A012, 9A350, 9B or 9D.

9E002

"Technology" according to the General Technology Note for the "production" of equipment specified in 9A001.b., 9A004 to 9A011, 9A350 or 9B.

For "technology" for the repair of controlled structures, laminates or materials, see 1E002.f.

9E003

Other "technology" as follows:

"Technology""required" for the "development" or "production" of any of the following gas turbine engine components or systems:

Gas turbine blades, vanes or tip shrouds, made from directionally solidified (DS) or single crystal (SC) alloys and having (in the 001 Miller Index Direction) a stress-rupture life exceeding 400 hours at 1 273 K (1 000 °C) at a stress of 200 MPa, based on the average property values;

Multiple domed combustors operating at average burner outlet temperatures exceeding 1 813 K (1 540 °C) or combustors incorporating thermally decoupled combustion liners, non-metallic liners or non-metallic shells;

Components manufactured from any of the following:

Organic "composite" materials designed to operate above 588 K (315 °C);

Metal "matrix""composite", ceramic "matrix", intermetallic or intermetallic reinforced materials, specified in 1C007;

"Composite" material specified in 1C010 and manufactured with resins specified in 1C008;

Uncooled turbine blades, vanes, tip-shrouds or other components, designed to operate at gas path total (stagnation) temperatures of 1 323 K (1 050 °C) or more at sea-level static take-off (ISA) in a ‧steady state mode‧ of engine operation;

Cooled turbine blades, vanes or tip-shrouds, other than those described in 9E003.a.1., exposed to gas path total (stagnation) temperatures of 1 643 K (1 370 °C) or more at sea-level static take-off (ISA) in a ‧steady state mode‧ of engine operation;

Technical Note:

The term ‧steady state mode‧ defines engine operation conditions, where the engine parameters, such as thrust/power, rpm and others, have no appreciable fluctuations, when the ambient air temperature and pressure at the engine inlet are constant.

Airfoil-to-disk blade combinations using solid state joining;

Gas turbine engine components using "diffusion bonding""technology" specified in 2E003.b.;

Damage tolerant gas turbine engine rotating components using powder metallurgy materials specified in 1C002.b.;

"FADEC" for gas turbine and combined cycle engines and their related diagnostic components, sensors and specially designed components;

10.

Adjustable flow path geometry and associated control systems for:

Gas generator turbines;

Fan or power turbines;

Propelling nozzles;

Adjustable flow path geometry and associated control systems in 9E003.a.10. do not include inlet guide vanes, variable pitch fans, variable stators or bleed valves, for compressors.

9E003.a.10. does not control "development" or "production""technology" for adjustable flow path geometry for reverse thrust.

11.

Hollow fan blades;

"Technology""required" for the "development" or "production" of any of the following:

Wind tunnel aero-models equipped with non-intrusive sensors capable of transmitting data from the sensors to the data acquisition system;

"Composite" propeller blades or propfans, capable of absorbing more than 2 000 kW at flight speeds exceeding Mach 0,55;

"Technology""required" for the "development" or "production" of gas turbine engine components using "laser", water jet, Electro-Chemical Machining (ECM) or Electrical Discharge Machines (EDM) hole drilling processes to produce holes having any of the following:

All of the following:

Depths more than four times their diameter;

Diameters less than 0,76 mm;

‧Incidence angles‧ equal to or less than 25°;

All of the following:

Depths more than five times their diameter;

Diameters less than 0,4 mm;

‧Incidence angles‧ of more than 25°;

Technical Note:

For the purposes of 9E003.c., ‧incidence angle‧ is measured from a plane tangential to the airfoil surface at the point where the hole axis enters the airfoil surface.

"Technology""required" for the "development" or "production" of helicopter power transfer systems or tilt rotor or tilt wing "aircraft" power transfer systems;

"Technology" for the "development" or "production" of reciprocating diesel engine ground vehicle propulsion systems having all of the following:

‧Box volume‧ of 1,2 m

or less;

An overall power output of more than 750 kW based on 80/1269/EEC, ISO 2534 or national equivalents;

Power density of more than 700 kW/m

of ‧box volume‧;

Technical Note:

‧Box volume‧ in 9E003.e. is the product of three perpendicular dimensions measured in the following way:

The length of the crankshaft from front flange to flywheel face;

The widest of any of the following

The outside dimension from valve cover to valve cover;

The dimensions of the outside edges of the cylinder heads;

The diameter of the flywheel housing;

The largest of any of the following

The dimension of the crankshaft centre-line to the top plane of the valve cover (or cylinder head) plus twice the stroke;

The diameter of the flywheel housing.

"Technology""required" for the "production" of specially designed components for high output diesel engines, as follows:

"Technology""required" for the "production" of engine systems having all of the following components employing ceramics materials specified in 1C007:

Cylinder liners;

Pistons;

Cylinder heads;

One or more other components (including exhaust ports, turbochargers, valve guides, valve assemblies or insulated fuel injectors);

"Technology""required" for the "production" of turbocharger systems with single-stage compressors and having all of the following:

Operating at pressure ratios of 4:1 or higher;

Mass flow in the range from 30 to 130 kg per minute;

Variable flow area capability within the compressor or turbine sections;

"Technology""required" for the "production" of fuel injection systems with a specially designed multifuel (e.g., diesel or jet fuel) capability covering a viscosity range from diesel fuel (2,5 cSt at 310,8 K (37,8 °C)) down to gasoline fuel (0,5 cSt at 310,8 K (37,8 °C)) and having all of the following:

Injection amount in excess of 230 mm

per injection per cylinder;

Electronic control features specially designed for switching governor characteristics automatically depending on fuel property to provide the same torque characteristics by using the appropriate sensors;

"Technology""required" for the "development" or "production" of ‧high output diesel engines‧ for solid, gas phase or liquid film (or combinations thereof) cylinder wall lubrication and permitting operation to temperatures exceeding 723 K (450 °C), measured on the cylinder wall at the top limit of travel of the top ring of the piston.

Technical Note:

‧High output diesel engines‧ are diesel engines with a specified brake mean effective pressure of 1,8 MPa or more at a speed of 2 300 r.p.m., provided the rated speed is 2 300 r.p.m. or more.

9E101

"Technology" according to the General Technology Note for the "development" of goods specified in 9A101, 9A102, 9A104 to 9A111 or 9A115 to 9A119.

"Technology" according to the General Technology Note for the "production" of ‧UAV‧s specified in 9A012 or goods specified in 9A101, 9A102, 9A104 to 9A111 or 9A115 to 9A119.

Technical Note:

In 9E101.b. ‧UAV‧ means unmanned aerial vehicle systems capable of a range exceeding 300 km.

9E102

"Technology" according to the General Technology Note for the "use" of space launch vehicles specified in 9A004, goods specified in 9A005 to 9A011, ‧UAV‧s specified in 9A012 or goods specified in 9A101, 9A102, 9A104 to 9A111, 9A115 to 9A119, 9B105, 9B106, 9B115, 9B116, 9B117, 9D101 or 9D103.

Technical Note:

In 9E102 ‧UAV‧ means unmanned aerial vehicle systems capable of a range exceeding 300 km.

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

(2) The numbers in parenthesis refer to the Notes following this Table.

ANNEX II

COMMUNITY GENERAL EXPORT AUTHORISATION No EU001

(referred to in Article 9 of this Regulation)

Issuing authority: European Community

Part 1

This export authorisation covers the following items:

All dual-use items specified in any entry in Annex I of this Regulation except those listed in Part 2 of this Annex.

Part 2

—

All items specified in Annex IV.

— 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.

— 0C002

"Special fissile materials" other than those specified in Annex IV.

— 0D001

"Software" specially designed or modified for the "development", "production" or "use" of goods specified in Category 0, insofar as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV.

— 0E001

"Technology" according to the Nuclear Technology Note for the "development", "production" or "use" of goods specified in Category 0, insofar as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV.

— 1A102

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

— 1C351

Human pathogens, zoonoses and "toxins".

— 1C352

Animal pathogens.

— 1C353

Genetic elements and genetically modified organisms.

— 1C354

Plant pathogens.

— 7E104

"Technology" for the integration of the flight control, guidance, and propulsion data into a flight management system for optimisation of rocket system trajectory.

— 9A009.a.

Hybrid rocket propulsion systems with total impulse capacity exceeding 1.1 MNs.

— 9A117

Staging mechanisms, separation mechanisms, and interstages, usable in "missiles".

Part 3

This export authorisation is valid throughout the Community for exports to the following destinations:

— Australia

— Canada

— Japan

— New Zealand

— Norway

— Switzerland

— United States of America

Conditions and requirements for use of this authorisation

Exporters that use the Community General Export Authorisation (EU 001) shall notify the competent authorities of the Member State where they are established of their first use of the Community General Export Authorisation no later than 30 days after the date when the first export took place.

Exporters shall also report in the Single Administrative Document the fact that they are using this authorisation EU 001 by indicating in box 44 the reference X002.

The Community General Export Authorisation may not be used 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, or if the exporter is aware that the items in question are intended for such use;

— 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 for a military end use as defined in Article 4(2) of this Regulation 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 in question are intended for the above mentioned uses;

— the relevant items are exported to a customs free zone or free warehouse which is located in a destination covered by this authorisation.

Reporting requirements attached to the use of this Community General Export Authorisation and the additional information that the Member State from which the export is made might require on items exported under this authorisation are defined by Member States.

A Member State may require the exporters established in that Member State to register prior to the first use of this Community General Export Authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without delay and in any case within ten working days of receipt.

Where applicable the requirements set out in the first two paragraphs of this point shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations.

ANNEX IIIa

(model for individual or global export authorisation forms)

(referred to in Article 14(1) of this Regulation)

When granting the export authorisations, Member States will strive to ensure the visibility of the nature of the authorisation (individual or global) on the form issued.

This is an export authorisation valid in all Member States of the European Union until its expiry date.

[Bild bitte in Originalquelle ansehen]

ANNEX IIIb

(model for brokering services authorisation forms)

(referred to in Article 14(1) of this Regulation)

[Bild bitte in Originalquelle ansehen]

ANNEX IIIc

COMMON ELEMENTS FOR PUBLICATION OF NATIONAL GENERAL EXPORT AUTHORISATIONS IN NATIONAL OFFICIAL JOURNALS

(referred to in Article 9(4)(b) of this Regulation)

Title of general export authorisation

Authority issuing the authorisation

EC validity. The following text shall be used:

"This is a general export authorisation under the terms of Article 9(2) of Regulation (EC) No 428/2009. This authorisation, in accordance with Article 9(2) of that Regulation, is valid in all Member States of the European Union."

Validity: according to national practices.

Items concerned: the following introductory text shall be used:

"This export authorisation covers the following items"

Destinations concerned: the following introductory text shall be used:

"This export authorisation is valid for exports to the following destinations"

Conditions and requirements

ANNEX IV

(List referred to in Article 22(1) of this Regulation)

The entries do not always cover the complete description of the item and the related notes in Annex I(1). Only Annex I provides for the complete description of the items.

The mention of an item in this Annex does not affect the application of the provisions concerning mass-market products in Annex I.

PART I

(possibility of National General Authorisation for intra-Community trade)

Items of stealth technology

1C001

Materials specially designed for use as absorbers of electromagnetic waves, or intrinsically conductive polymers.

N.B.:

Items of the Community strategic control

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.

Explosive detonator firing sets designed to drive

multiple controlled

detonators specified in 1A007.b.

below

;

Electrically driven explosive detonators as follows:

Exploding bridge (EB);

Exploding bridge wire (EBW);

Slapper;

Exploding foil initiators (EFI).

1A007.b. does not control detonators using only primary explosives, such as lead azide.

1C239

High explosives, other than those specified in the military goods controls, or substances or mixtures containing more than 2 % thereof, with a crystal density greater than 1,8 g/cm

and having a detonation velocity greater than 8 000 m/s.

1E201

"Technology" according to the General Technology Note for the "use" of goods specified in 1C239.

3A229

High-current pulse generators, as follows …

N.B.:

Items of the Community strategic control — Cryptography — Category 5 Part 2

5A002.a.2.

Equipment designed or modified to perform cryptanalytic functions.

5D002.c.1

Only software having the characteristics, or performing or simulating the functions, of equipment specified in 5A002.a.2.

5E002

Only "technology" for the "development", "production" or "use" of the goods specified in 5A002.a.2. or 5D002.c.1. above.

Items of the MTCR technology

7A117

"Guidance sets", usable in "missiles" capable of achieving system accuracy of 3,33 % or less of the range (e.g., a "CEP" of 10 km or less at a range of 300 km),

except

guidance sets

designed for missiles with a range under 300 km or manned aircraft

7B001

Test, calibration or alignment equipment specially designed for equipment specified

in 7A117 above

7B001 does not control test, calibration or alignment equipment for Maintenance Level I or Maintenance Level II.

7B003

Equipment specially designed for the "production" of equipment specified in

7A117 above

7B103

"Production facilities" specially designed for equipment specified in 7A117

above

7D101

"Software" specially designed for the "use" of equipment specified in 7B003 or 7B103

above

7E001

"Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 7A117, 7B003, 7B103 or 7D101

above

7E002

"Technology" according to the General Technology Note for the "production" of equipment specified in 7A117, 7B003 and 7B103

above

7E101

"Technology" according to the General Technology Note for the "use" of equipment specified in 7A117, 7B003, 7B103 and 7D101

above

9A004

Space launch vehicles

capable of delivering at least a 500 kg payload to a range of at least 300 km

N.B.:

SEE ALSO 9A119.

Total impulse capacity exceeding 1,1 MNs;

9A008.d.

Components, as follows, specially designed for solid rocket propulsion systems:

N.B.:

SEE ALSO 9A119.

Liquid propellant rocket engines usable in "missiles", other than those specified in 9A005, having a total impulse capacity equal to or greater than 1,1 MNs;

except liquid propellant apogee engines designed or modified for satellite applications and having all of the following

nozzle throat diameter of 20 mm or less; and

combustion chamber pressure of 15 bar or less.

9A106.c.

Systems or components, other than those specified in 9A006, usable in "missiles", as follows, specially designed for liquid rocket propulsion systems:

Thrust vector control sub-systems,

except those designed for rocket systems that are not capable of delivering at least a 500 kg payload to a range of at least 300 km

Technical Note:

Examples of methods of achieving thrust vector control specified in 9A106.c. are:

Flexible nozzle;

Fluid or secondary gas injection;

Movable engine or nozzle;

Deflection of exhaust gas stream (jet vanes or probes);

Thrust tabs.

9A108.c.

Components, other than those specified in 9A008, usable in "missiles" as follows, specially designed for solid rocket propulsion systems:

Thrust vector control sub-systems,

except those designed for rocket systems that are not capable of delivering at least a 500 kg payload to a range of at least 300 km

Technical Note:

Examples of methods of achieving thrust vector control specified in 9A108.c. are:

Flexible nozzle;

Fluid or secondary gas injection;

Movable engine or nozzle;

Deflection of exhaust gas stream (jet vanes or probes);

Thrust tabs.

9A116

Reentry vehicles, usable in "missiles", and equipment designed or modified therefor, as follows,

except for reentry vehicles designed for non-weapon payloads

Reentry vehicles;

Heat shields and components therefor fabricated of ceramic or ablative materials;

Heat sinks and components therefor fabricated of light-weight, high heat capacity materials;

Electronic equipment specially designed for reentry vehicles.

9A119

Individual rocket stages, usable in complete rocket systems or unmanned aerial vehicles, capable of

delivering at least a 500 kg payload to

a range of 300 km, other than those specified in 9A005 or 9A007.a.

above

9B115

Specially designed "production equipment" for the systems, sub-systems and components specified in 9A005, 9A007.a., 9A008.d., 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119

above

9B116

Specially designed "production facilities" for the space launch vehicles specified in 9A004, or systems, sub-systems, and components specified in 9A005, 9A007.a., 9A008.d., 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119

above

9D101

"Software" specially designed for the "use" of goods specified in 9B116

above

9E001

"Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 9A004, 9A005, 9A007.a., 9A008.d., 9B115, 9B116 or 9D101

above

9E002

"Technology" according to the General Technology Note for the "production" of equipment specified in 9A004, 9A005, 9A007.a., 9A008.d., 9B115 or 9B116

above

For "technology" for the repair of controlled structures, laminates or materials, see 1E002.f.

9E101

"Technology" according to the General Technology Note for the "development" or "production" of goods specified in 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119

above

9E102

"Technology" according to the General Technology Note for the "use" of space launch vehicles specified in 9A004, 9A005, 9A007.a., 9A008.d., 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116, 9A119, 9B115, 9B116 or 9D101

above

Exemptions:

Annex IV does not control the following items of the MTCR technology:

that are transferred on the basis of orders pursuant to a contractual relationship placed by the European Space Agency (ESA) or that are transferred by ESA to accomplish its official tasks;

that are transferred on the basis of orders pursuant to a contractual relationship placed by a Member State's national space organisation or that are transferred by it to accomplish its official tasks;

that are transferred on the basis of orders pursuant to a contractual relationship placed in connection with a Community space launch development and production programme signed by two or more European governments;

that are transferred to a State-controlled space launching site in the territory of a Member State, unless that Member State controls such transfers within the terms of this Regulation.

PART II

(no National General Authorisation for intra-Community trade)

Items of the CWC (Chemical Weapons Convention)

1C351.d.4.

Ricin

1C351.d.5.

Saxitoxin

Items of the NSG technology

All Category 0 of Annex I is included in Annex IV, subject to the following:

— 0C001: this item is not included in Annex IV.

— 0C002: this item is not included in Annex IV, with the exception of special fissile materials as follows:

(a) separated plutonium;

(b) "uranium enriched in the isotopes 235 or 233" to more than 20 %.

— 0D001 (software) is included in Annex IV except insofar as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV.

— 0E001 (technology) is included in Annex IV except insofar as these related to 0C001 or to those items of 0C002 that are excluded from Annex IV.

N.B.:

For

0C003

and

0C004

, only if for use in a "nuclear reactor" (within 0A001.a.).

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.

1B226 includes separators:

Capable of enriching stable isotopes;

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

1C012

Materials as follows:

Technical Note:

These materials are typically used for nuclear heat sources.

"Previously separated" neptunium-237 in any form.

1C012.b. does not control shipments with a neptunium-237 content of 1 g or less.

1B231

Tritium facilities or plants, and equipment therefor, as follows:

Facilities or plants for the production, recovery, extraction, concentration, or handling of tritium;

Equipment for tritium facilities or plants, as follows:

Hydrogen or helium refrigeration units capable of cooling to 23 K (– 250 °C) or less, with heat removal capacity greater than 150 W;

Hydrogen isotope storage or purification systems using metal hydrides as the storage or purification medium.

1B233

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

Facilities or plants for the separation of lithium isotopes;

Equipment for the separation of lithium isotopes, as follows:

Packed liquid-liquid exchange columns specially designed for lithium amalgams;

Mercury or lithium amalgam pumps;

Lithium amalgam electrolysis cells;

Evaporators for concentrated lithium hydroxide solution.

1C233

Lithium enriched in the lithium-6 (

1C233 does not control thermoluminescent dosimeters.

Technical Note:

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

1C235

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

1C235 does not control a product or device containing less than 1,48 × 10

GBq (40 Ci) of tritium.

1E001

"Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 1C012.b.

1E201

"Technology" according to the General Technology Note for the "use" of goods specified in 1B226, 1B231, 1B233, 1C233 or 1C235.

3A228

Switching devices, as follows:

Cold-cathode tubes, whether gas filled or not, operating similarly to a spark gap, having all of the following characteristics:

Containing three or more electrodes;

Anode peak voltage rating of 2,5 kV or more;

Anode peak current rating of 100 A or more;

Anode delay time of 10 µs or less;

3A228 includes gas krytron tubes and vacuum sprytron tubes.

Triggered spark-gaps having both of the following characteristics:

An anode delay time of 15 µs or less;

Rated for a peak current of 500 A or more;

3A231

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

Designed for operation without an external vacuum system;

Utilizing electrostatic acceleration to induce a tritium-deuterium nuclear reaction

3E201

"Technology" according to the General Technology Note for the "use" of equipment specified in 3A229 or 3A232.

6A203

Cameras and components, other than those specified in 6A003, as follows:

Mechanical rotating mirror cameras, as follows, and specially designed components therefor:

Framing cameras with recording rates greater than 225 000 frames per second;

Streak cameras with writing speeds greater than 0,5 mm per microsecond;

In 6A203.a. components of such cameras include their synchronizing electronics units and rotor assemblies consisting of turbines, mirrors and bearings.

6A225

Velocity interferometers for measuring velocities exceeding 1 km/s during time intervals of less than 10 microseconds.

6A225 includes velocity interferometers such as VISARs (Velocity interferometer systems for any reflector) and DLIs (Doppler laser interferometers).

6A226

Pressure sensors, as follows:

Manganin gauges for pressures greater than 10 GPa;

Quartz pressure transducers for pressures greater than 10 GPa.

(1) The differences in the wordings/scopes between Annex I and Annex IV are indicated with bold italic text.

ANNEX V

Repealed Regulation with its successive amendments

Council Regulation (EC) No 1334/2000	(OJ L 159, 30.6.2000, p. 1)
Council Regulation (EC) No 2889/2000	(OJ L 336, 30.12.2000, p. 14)
Council Regulation (EC) No 458/2001	(OJ L 65, 7.3.2001, p. 19)
Council Regulation (EC) No 2432/2001	(OJ L 338, 20.12.2001, p. 1)
Council Regulation (EC) No 880/2002	(OJ L 139, 29.5.2002, p. 7)
Council Regulation (EC) No 149/2003	(OJ L 30, 5.2.2003, p. 1)
Council Regulation (EC) No 1504/2004	(OJ L 281, 31.8.2004, p. 1)
Council Regulation (EC) No 394/2006	(OJ L 74, 13.3.2006, p. 1)
Council Regulation (EC) No 1183/2007	(OJ L 278, 22.10.2007, p. 1)
Council Regulation (EC) No 1167/2008	(OJ L 325, 3.12.2008, p. 1)

ANNEX VI

Correlation Table

Regulation (EC) No 1334/2000	This Regulation
Article 1	Article 1
Article 2, introductory wording	Article 2, introductory wording
Article 2(a)	Article 2(1)
Article 2(b), introductory wording	Article 2(2), introductory wording
Article 2(b)(i)	Article 2(2)(i)
Article 2(b)(ii)	Article 2(2)(ii)
Article 2(b)(iii)	Article 2(2)(iii)
—	Article 2(2)(iv)
Article 2(c)(i)	Article 2(3)(i)
Article 2(c)(ii)	Article 2(3)(ii)
Article 2(d)	Article 2(4)
—	Article 2(5) to (13)
Article 3(1)	Article 3(1)
Article 3(2)	Article 3(2)
Article 3(3)	Article 7
Article 3(4)	—
Article 4	Article 4
Article 5	Article 8
Article 6(1)	Article 9(1)
Article 6(2)	Article 9(2)
Article 6(3)	Article 9(4)(a)
—	Article 9(4)(b)
Article 6(4)	Article 9(4)(c)
Article 6(5)	Article 9(5)
Article 6(6)	Article 9(6)
Article 7	Article 11
Article 8	Article 12(1)
—	Article 12(2)
Article 9(1)	Article 9(2), third subparagraph
Article 9(2)	Article 13(1)
—	Article 13(2)
—	Article 13(3)
—	Article 13(4)
Article 9(3)	Article 13(5)
—	Article 13(6)
—	Article 13(7)
Article 10(1)	Article 14(1)
Article 10(2)	Article 14(2)
Article 10(3)	Article 9(4)(b)
Article 11	Article 15(1) and (2)
Article 12	Article 16
Article 13	Article 17
Article 14	Article 18
Article 15(1)	Article 19(1)
Article 15(2)	Article 19(2)
Article 15(3)	Article 19(3)
—	Article 19(4) to (6)
Article 16(1)	Article 20(1)
—	Article 20(2)
Article 16(2)	Article 20(3)
Article 17	Article 21
Article 18	Article 23
Article 19	Article 24
Article 20	Article 25
Article 21	Article 22
Article 22	Article 26
Article 23	Article 27
Article 24	Article 28
Annex I	Annex I
Annex II Part 1	Annex II Part 1
Annex II Part 2	Annex II Part 2
Annex II Part 3(1), (2) and (3)	Annex II Part 3(2)
Annex II Part 3(4)	Annex II Part 3(1) and (3)
Annex IIIa	Annex IIIa
Annex IIIb	Annex IIIb
—	Annex IIIc
Annex IV	Annex IV
—	Annex V
—	Annex VI

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)

CHAPTER I

SUBJECT AND DEFINITIONS

Article 1

Article 2

CHAPTER II

SCOPE

Article 3

Article 4

Article 5

Article 6

Article 7

Article 8

CHAPTER III

EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES

Article 9

Article 10

Article 11

Article 12

Article 13

Article 14

CHAPTER IV

UPDATING OF LIST OF DUAL-USE ITEMS

Article 15

CHAPTER V

CUSTOMS PROCEDURES

Article 16

Article 17

Article 18

CHAPTER VI

ADMINISTRATIVE COOPERATION

Article 19

CHAPTER VII

CONTROL MEASURES

Article 20

Article 21

CHAPTER VIII

OTHER PROVISIONS

Article 22

Article 23

Article 24

Article 25

Article 26

Article 27

Article 28

ANNEX I

List referred to in Article 3 of this Regulation

LIST OF DUAL-USE ITEMS

CONTENTS

GENERAL NOTES TO ANNEX I

NUCLEAR TECHNOLOGY NOTE (NTN)

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

GENERAL TECHNOLOGY NOTE (GTN)

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

GENERAL SOFTWARE NOTE (GSN)

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

EDITORIAL PRACTICES IN THE OFFICIAL JOURNAL OF THE EC

DEFINITIONS OF TERMS USED IN THIS ANNEX

ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX

CATEGORY 0

NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT

0A

Systems, Equipment and Components

0B

Test, Inspection and Production Equipment

0C

Materials

0D

Software

0E

Technology

CATEGORY 1

SPECIAL MATERIALS AND RELATED EQUIPMENT

1A

Systems, Equipment and Components

1B

Test, Inspection and Production Equipment