02009R0428 — EN — 07.10.2021 — 013.001

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►B COUNCIL REGULATION (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (Recast) (OJ L 134 29.5.2009, p. 1)

Amended by:





Corrected by:









▼B

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

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

Article 2

For the purposes of this Regulation:

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

2. ‘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;

3. ‘exporter’ shall mean any natural or legal person or partnership: (i) on whose behalf an export declaration is made, that is to say the person who, at the time when the declaration is accepted, holds the contract with the consignee in the third country and has the power for determining the sending of the item out of the customs territory of the Community. If no export contract has been concluded or if the holder of the contract does not act on its own behalf, the exporter shall mean the person who has the power for determining the sending of the item out of the customs territory of the Community; (ii) which decides to transmit or make available software or technology by electronic media including by fax, telephone, electronic mail or by any other electronic means to a destination outside the Community. Where the benefit of a right to dispose of the dual-use item belongs to a person established outside the Community pursuant to the contract on which the export is based, the exporter shall be considered to be the contracting party established in the Community;

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

5. ‘brokering services’ shall mean: — the negotiation or arrangement of transactions for the purchase, sale or supply of dual-use items from a third country to any other third country, or — the selling or buying of dual-use items that are located in third countries for their transfer to another third country. For the purposes of this Regulation the sole provision of ancillary services is excluded from this definition. Ancillary services are transportation, financial services, insurance or re-insurance, or general advertising or promotion;

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

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

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

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9. ‘union general export authorisation’ shall mean an export authorisation for exports to certain countries of destination available to all exporters who respect its conditions and requirements for use as listed in Annexes IIa to IIf;

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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 ►M1 imposed by a decision or a common position ◄ adopted by the Council or a decision of the Organisation for Security and Cooperation in Europe (OSCE) or an arms embargo imposed by a binding resolution of the Security Council of the United Nations and if the exporter has been informed by the authorities referred to in paragraph 1 that the items in question are or may be intended, in their entirety or in part, for a military end-use. For the purposes of this paragraph, ‘military end-use’ shall mean: (a) incorporation into military items listed in the military list of Member States; (b) use of production, test or analytical equipment and components therefor, for the development, production or maintenance of military items listed in the abovementioned list; (c) use of any unfinished products in a plant for the production of military items listed in the abovementioned list.

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

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

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

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

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

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

Article 5

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

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

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

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

Article 6

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

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

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

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

Article 7

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

Article 8

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

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

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

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







CHAPTER III

EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES

Article 9

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1. Union General Export Authorisations for certain exports as set out in Annexes IIa to IIf are established by this Regulation.

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

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

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In order to ensure that only low-risk transactions are covered by the Union General Export Authorisations included in Annexes IIa to IIf, the Commission shall be empowered to adopt delegated acts in accordance with Article 23a to remove destinations from the scope of those Union General Export Authorisations, if such destinations become subject to an arms embargo as referred to in Article 4(2).

Where, in cases of such arms embargoes, imperative grounds of urgency require a removal of particular destinations from the scope of a Union General Export Authorisation, the procedure provided for in Article 23b shall apply to delegated acts adopted pursuant to this paragraph.

▼B

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: ▼M1 (a) exclude from their scope items listed in Annex IIg; ▼B (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 ►M1 imposed by a decision or a common position ◄ 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 ►M1 Annex IIa ◄ 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 ►M1 a decision or a common position ◄ 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 ( 1 ); (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.

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

▼B

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.

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

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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 ►M1 Union General Export Authorisations ◄ ; (b) data on sensitive end users, actors involved in suspicious procurement activities, and, where available, routes taken.

3. mutatis mutandis , without prejudice to Article 23 of this Regulation. 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 ( 2 ), and in particular the provisions on the confidentiality of information, shall apply, without prejudice to Article 23 of this Regulation.

▼M1

4. A secure and encrypted system for the exchange of information between Member States and, whenever appropriate, the Commission shall be set up by the Commission, in consultation with the Dual-Use Coordination Group set up pursuant to Article 23. The European Parliament shall be informed about the system’s budget, development, provisional and final set-up and functioning, and network costs.

▼B

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 ( 3 ) 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 ( 4 ).







CHAPTER VII

CONTROL MEASURES

Article 20

1. Exporters of dual-use items shall keep detailed registers or records of their exports, in accordance with the national law or practice in force in the respective Member States. Such registers or records shall include in particular commercial documents such as invoices, manifests and transport and other dispatch documents containing sufficient information to allow the following to be identified: (a) the description of the dual-use items; (b) the quantity of the dual-use items; (c) the name and address of the exporter and of the consignee; (d) where known, the end-use and end-user of the dual-use items.

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

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

Article 21

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

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

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







CHAPTER VIII

OTHER PROVISIONS

Article 22

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

2. A Member State may impose an authorisation requirement for the transfer of other dual-use items from its territory to another Member State in cases where at the time of transfer: — the operator knows that the final destination of the items concerned is outside the Community, — export of those items to that final destination is subject to an authorisation requirement pursuant to Articles 3, 4 or 8 in the Member State from which the items are to be transferred, and such export directly from its territory is not authorised by a general authorisation or a global authorisation, — no processing or working as defined in Article 24 of the Community Customs Code is to be performed on the items in the Member State to which they are to be transferred.

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

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

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

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

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

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

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

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

Article 23

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

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

▼M1

3. The Commission shall submit an annual report to the European Parliament on the activities, examinations and consultations of the Dual-Use Coordination Group, which shall be subject to Article 4 of Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents ( 5 ).

▼M3

Article 23a

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

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

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

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

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

Article 23b

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

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

▼B

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.

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Article 25

1. 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.

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

3. Special sections of the report shall deal with: (a) the Dual-Use Coordination Group and its activities. Information that the Commission provides on the Dual-Use Coordination Group’s examinations and consultations shall be treated as confidential pursuant to Article 4 of Regulation (EC) No 1049/2001. Information shall in any case be considered to be confidential if its disclosure is likely to have a significantly adverse effect upon the supplier or the source of such information; (b) the implementation of Article 19(4), and shall report on the stage reached in the set-up of the secure and encrypted system for the exchange of information between Member States and the Commission; (c) the implementation of Article 15(1); (d) the implementation of Article 15(2); (e) comprehensive information provided on the measures taken by the Member States pursuant to Article 24 and notified to the Commission under paragraph 1 of this Article.

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

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Article 25a

Without prejudice to the provisions on mutual administrative assistance agreements or protocols in customs matters concluded between the Union and third countries, the Council may authorise the Commission to negotiate with third countries agreements providing for the mutual recognition of export controls of dual-use items covered by this Regulation and in particular to eliminate authorisation requirements for re-exports within the territory of the Union. These negotiations shall be conducted in accordance with the procedures established in Article 207(3) of the Treaty on the Functioning of the European Union and the Treaty establishing the European Atomic Energy Community, as appropriate.

▼B

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.

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ANNEX I

LIST OF DUAL-USE ITEMS

(referred to in Article 3 of this Regulation)

This list implements internationally agreed dual-use controls including the Australia Group ( 6 ), the Missile Technology Control Regime (MTCR) ( 7 ), the Nuclear Suppliers Group (NSG) ( 8 ), the Wassenaar Arrangement ( 9 ) and the Chemical Weapons Convention (CWC) ( 10 ).

CONTENTS Notes Acronyms and abbreviations Definitions Category 0 Nuclear materials, facilities and equipment Category 1 Special materials and related equipment Category 2 Materials processing Category 3 Electronics Category 4 Computers Category 5 Telecommunications and ‘information security’ Category 6 Sensors and lasers Category 7 Navigation and avionics Category 8 Marine Category 9 Aerospace and propulsion

GENERAL NOTES TO ANNEX I

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

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

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

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

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

NUCLEAR TECHNOLOGY NOTE (NTN)

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

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

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

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

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

GENERAL TECHNOLOGY NOTE (GTN)

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

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

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

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

Note: This does not release such ‘technology’ specified in 1E002.e., 1E002.f., 8E002.a. and 8E002.b.

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

NUCLEAR SOFTWARE NOTE (NSN)

(This note overrides any control within section D of Category 0)

Section D of Category 0 of this list does not control ‘software’ which is the minimum necessary ‘object code’ for the installation, operation, maintenance (checking) or repair of those items whose export has been authorised.

The approval of goods for export also authorises the export to the same end-user of the minimum necessary ‘object code’ for the installation, operation, maintenance (checking) or repair of the goods

Note: The Nuclear Software Note does not release ‘software’ specified in Category 5 – Part 2 (‘Information Security’).

GENERAL SOFTWARE NOTE (GSN)

(This note overrides any control within section D of Categories 1 to 9.)

Categories 1 to 9 of this list do not control ‘software’ which is any of the following:

a. Generally available to the public by being: 1. Sold from stock at retail selling points, without restriction, by means of: a. Over-the-counter transactions; b. Mail order transactions; c. Electronic transactions; or d. Telephone call transactions; and 2. Designed for installation by the user without further substantial support by the supplier; Note: Entry a. of the General Software Note does not release ‘software’ specified in Category 5 – Part 2 (‘Information Security’).

b. ‘In the public domain’; or

c. The minimum necessary ‘object code’ for the installation, operation, maintenance (checking) or repair of those items whose export has been authorised. Note: Entry c. of the General Software Note does not release ‘software’ specified in Category 5 – Part 2 (‘Information Security’).

GENERAL ‘INFORMATION SECURITY’ NOTE (GISN)

‘Information security’ items or functions should be considered against the provisions in Category 5 – Part 2, even if they are components, ‘software’ or functions of other items.

EDITORIAL PRACTICES IN THE OFFICIAL JOURNAL OF THE EUROPEAN UNION

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

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

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

The text reproduced in this annex follows the above-described practice.

ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX

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







Acronym or meaning abbreviation ABEC Annular Bearing Engineers Committee ABMA American Bearing Manufacturers Association ADC Analogue-to-Digital Converter AGMA American Gear Manufacturers’ Association AHRS Attitude and Heading Reference Systems AISI American Iron and Steel Institute ALE Atomic Layer Epitaxy ALU Arithmetic Logic Unit ANSI American National Standards Institute APP Adjusted Peak Performance APU Auxiliary Power Unit ASTM American Society for Testing and Materials ATC Air Traffic Control BJT Bipolar Junction Transistors BPP Beam Parameter Product BSC Base Station Controller CAD Computer-Aided-Design CAS Chemical Abstracts Service CCD Charge Coupled Device CDU Control and Display Unit CEP Circular Error Probable CMM Coordinate Measuring Machine CMOS Complementary Metal Oxide Semiconductor CNTD Controlled Nucleation Thermal Deposition CPLD Complex Programmable Logic Device CPU Central Processing Unit CVD Chemical Vapour Deposition CW Chemical Warfare CW (for lasers) Continuous Wave DAC Digital-to-Analogue Converter DANL Displayed Average Noise Level DBRN Data-Base Referenced Navigation DDS Direct Digital Synthesizer DMA Dynamic Mechanical Analysis DME Distance Measuring Equipment DMOSFET Diffused Metal Oxide Semiconductor Field Effect Transistor DS Directionally Solidified EB Exploding Bridge EB-PVD Electron Beam Physical Vapour Deposition EBW Exploding Bridge Wire ECM Electro-Chemical Machining EDM Electrical Discharge Machines EFI Exploding Foil Initiators EIRP Effective Isotropic Radiated Power EMP Electromagnetic Pulse ENOB Effective Number of Bits ERF Electrorheological Finishing ERP Effective Radiated Power ESD Electrostatic Discharge ETO Emitter Turn-Off Thyristor ETT Electrical Triggering Thyristor EU European Union EUV Extreme Ultraviolet FADEC Full Authority Digital Engine Control FFT Fast Fourier Transform FPGA Field Programmable Gate Array FPIC Field Programmable Interconnect FPLA Field Programmable Logic Array FPO Floating Point Operation FWHM Full-Width Half-Maximum GLONASS Global Navigation Satellite System GNSS Global Navigation Satellite System GPS Global Positioning System GSM Global System for Mobile Communications GTO Gate Turn-off Thyristor HBT Hetero-Bipolar Transistors HDMI High-Definition Multimedia Interface HEMT High Electron Mobility Transistor ICAO International Civil Aviation Organization IEC International Electro-technical Commission IED Improvised Explosive Device IEEE Institute of Electrical and Electronic Engineers IFOV Instantaneous-Field-Of-View IGBT Insulated Gate Bipolar Transistor IGCT Integrated Gate Commutated Thyristor IHO International Hydrographic Organization ILS Instrument Landing System IMU Inertial Measurement Unit INS Inertial Navigation System IP Internet Protocol IRS Inertial Reference System IRU Inertial Reference Unit ISA International Standard Atmosphere ISAR Inverse Synthetic Aperture Radar ISO International Organization for Standardization ITU International Telecommunication Union JT Joule-Thomson LIDAR Light Detection and Ranging LIDT Laser Induced Damage Threshold LOA Length Overall LRU Line Replaceable Unit LTT Light Triggering Thyristor MLS Microwave Landing Systems MMIC Monolithic Microwave Integrated Circuit MOCVD Metal Organic Chemical Vapour Deposition MOSFET Metal-Oxide-Semiconductor Field Effect Transistor MPM Microwave Power Module MRF Magnetorheological Finishing MRF Minimum Resolvable Feature size MRI Magnetic Resonance Imaging MTBF Mean-Time-Between-Failures MTTF Mean-Time-To-Failure NA Numerical Aperture NDT Non-Destructive Test NEQ Net Explosive Quantity NIJ National Institute of Justice OAM Operations, Administration or Maintenance OSI Open Systems Interconnection PAI Polyamide-imides PAR Precision Approach Radar PCL Passive Coherent Location PDK Process Design Kit PIN Personal Identification Number PMR Private Mobile Radio PVD Physical Vapour Deposition ppm parts per million QAM Quadrature-Amplitude-Modulation QE Quantum Efficiency RAP Reactive Atom Plasmas RF Radio Frequency rms Root Mean Square RNC Radio Network Controller RNSS Regional Navigation Satellite System ROIC Read-out Integrated Circuit S-FIL Step and Flash Imprint Lithography SAR Synthetic Aperture Radar SAS Synthetic Aperture Sonar SC Single Crystal SCR Silicon Controlled Rectifier SFDR Spurious Free Dynamic Range SHPL Super High Powered Laser SLAR Sidelooking Airborne Radar SOI Silicon-on-Insulator SQUID Superconducting Quantum Interference Device SRA Shop Replaceable Assembly SRAM Static Random Access Memory SSB Single Sideband SSR Secondary Surveillance Radar SSS Side Scan Sonar TIR Total Indicated Reading TVR Transmitting Voltage Response u Atomic Mass Unit UPR Unidirectional Positioning Repeatability UV Ultraviolet UTS Ultimate Tensile Strength VJFET Vertical Junction Field Effect Transistor VOR Very High Frequency Omni-directional Range WHO World Health Organization WLAN Wireless Local Area Network

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:

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

‘Accuracy’ (2 3 6 7 8), 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) is a minimum (single) element of the solid state array which has a photoelectric transfer function when exposed to light (electromagnetic) radiation.

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

NB: See Category 4, Technical Note.

‘Aircraft’ (1 6 7 9) means a fixed wing, swivel wing, rotary wing (helicopter), tilt rotor or tilt-wing airborne vehicle.

NB: See also ‘civil aircraft’.

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

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

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

NB: Additional and alternative allocations are not included.

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

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

‘APP’ (4) is equivalent to ‘Adjusted Peak Performance’.

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

NB: A common use of ‘asymmetric algorithms’ is key management.

‘Authentication’ (5) means verifying the identity of a user, process or device, often as a prerequisite to allowing access to resources in an information system. This includes verifying the origin or content of a message or other information, and 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 unauthorized access.

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

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

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

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

a. The common hardware and software architecture;

b. The common design and process technology; and

c. The common basic characteristics.

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

‘Bias’ (accelerometer) (7) means the average over a specified time of accelerometer output, measured at specified operating conditions, that has no correlation with input acceleration or rotation. ‘Bias’ is expressed in g or in metres per second squared (g or m/s2). (IEEE Std 528-2001) (Micro g equals 1x10–6 g).

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

‘Biological agents’ (1) are pathogens or toxins, selected or modified (such as altering purity, shelf life, virulence, dissemination characteristics, or resistance to UV radiation) to produce casualties in humans or animals, degrade equipment or damage crops or the environment.

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

‘CEP’ (7) means ‘Circular Error Probable’ – In a circular normal distribution, the radius of the circle containing 50 % of the individual measurements being made, or the radius of the circle within which there is a 50 % probability of being located.

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

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

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

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

NB: See also ‘aircraft’.

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

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

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

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

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

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

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

1. A single instance of the item; or

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

Technical Notes:

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

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

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

Notes:

1. ‘Cryptography’ does not include ‘fixed’ data compression or coding techniques.

2. ‘Cryptography’ includes decryption.

Technical Notes:

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

2. ‘Fixed’: the coding or compression algorithm cannot accept externally supplied parameters (e.g., cryptographic or key variables) and cannot be modified by the user.

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

‘Cyber incident response’ (4) means the process of exchanging necessary information on a cybersecurity incident with individuals or organisations responsible for conducting or coordinating remediation to address the cybersecurity incident.

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

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

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

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

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

a. Accept data;

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

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

d. Provide output of data.

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

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

NB: See also ‘total digital transfer rate’.

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

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

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

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

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

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

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

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

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

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

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

‘Equivalent density’ (6) means the mass of an optic per unit optical area projected onto the optical surface.

‘Equivalent standards’ (1) means comparable national or international standards recognised by one or more EU Member States or Wassenaar Arrangement Participating States and applicable to the relevant entry.

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

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

‘Fibrous or filamentary materials’ (0 1 8 9) include:

a. Continuous ‘monofilaments’;

b. Continuous ‘yarns’ and ‘rovings’;

c. ‘Tapes’, fabrics, random mats and braids;

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

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

f. Aromatic polyamide pulp.

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

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

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

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

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

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

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

‘Frequency hopping’ (5 6) means a form of ‘spread spectrum’ in which the transmission frequency of a single communication channel is made to change by a random or pseudo-random sequence of discrete steps.

‘Frequency switching time’ (3) means the time (i.e., delay) taken by a signal when switched from an initial specified output frequency, to arrive at or within any of the following:

a. ±100 Hz of a final specified output frequency of less than 1 GHz; or

b. ±0,1 part per million of a final specified output frequency equal to or greater than 1 GHz.

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

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

‘Hard selectors’ (5) means data or set of data, related to an individual (e.g., family name, given name, email, street address, phone number or group affiliations).

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

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

a. Containing at least one unencapsulated device;

b. Connected together using typical IC production methods;

c. Replaceable as an entity; and

d. Not normally capable of being disassembled.

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

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

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

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

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

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

Technical Note:

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

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

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

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

‘Interleaved Analogue-to-Digital Converter (ADC)’ (3) means devices that have multiple ADC units that sample the same analogue input at different times such that when the outputs are aggregated, the analogue input has been effectively sampled and converted at a higher sampling rate.

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

NB: See also ‘magnetic gradiometer’.

‘Intrusion software’ (4 5) means ‘software’ specially designed or modified to avoid detection by ‘monitoring tools’, or to defeat ‘protective countermeasures’, of a computer or network-capable device, and performing any of the following:

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

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

Notes:

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

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

b. Digital Rights Management (DRM) ‘software’; or

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

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

Technical Notes:

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

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

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

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

‘Laser’ (0 1 2 3 5 6 7 8 9) is an item that produces spatially and temporally coherent light through amplification by stimulated emission of radiation.

NB: See also ‘Chemical laser’; ‘CW laser’; ‘Pulsed laser’; ‘Super High Power Laser’.

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

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

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

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

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

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

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

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

NB: See also ‘intrinsic magnetic gradiometer’.

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

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

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

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

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

NB: The internal storage may be augmented by an external storage.

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

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

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

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

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

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

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

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

b. Can be considered as indivisibly associated; and

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

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

‘Monolithic Microwave Integrated Circuit’ (‘MMIC’) (3 5) means a ‘monolithic integrated circuit’ that operates at microwave or millimeter wave frequencies.

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

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

‘Multiple channel Analogue-to-Digital Converter (ADC)’ (3) means devices that integrate more than one ADC, designed so that each ADC has a separate analogue input.

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

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

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

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

‘Numerical control’ (2) means the automatic control of a process performed by a device that makes use of numeric data usually introduced as the operation is in progress (ref. ISO 2382:2015).

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

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

a. Establishing or managing any of the following: 1. Accounts or privileges of users or administrators; 2. Settings of an item; or 3. Authentication data in support of the tasks described in paragraphs a.1. or a.2.;

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

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

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

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

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

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

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

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

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

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

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

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

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

Technical Notes:

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

2. The ‘local area network’ extends beyond the geographical area of the ‘personal area network’.

‘Previously separated’ (1) is the application of any process intended to increase the concentration of the controlled isotope.

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

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

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

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

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

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

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

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

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

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

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

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

Technical Note:

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

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

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

‘Required’ (GTN 3 5 6 7 9), as applied to ‘technology’, refers to only that portion of ‘technology’ which is peculiarly responsible for achieving or extending the controlled performance levels, characteristics or functions. Such ‘required’‘technology’ may be shared by different goods.

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

Technical Note:

Tear gases are a subset of ‘riot control agents’.

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

a. Is multifunctional;

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

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

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

NB: The above definition does not include the following devices:

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

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

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

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

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

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

NB: ‘Strand’ is a bundle of ‘monofilaments’ (typically over 200) arranged approximately parallel.

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

‘Sample rate’ (3) for an Analogue-to-Digital Converter (ADC) means the maximum number of samples that are measured at the analogue input over a period of one second, except for oversampling ADCs. For oversampling ADCs the ‘sample rate’ is taken to be its output word rate. ‘Sample rate’ may also be referred to as sampling rate, usually specified in Mega Samples Per Second (MSPS) or Giga Samples Per Second (GSPS), or conversion rate, usually specified in Hertz (Hz).

‘Satellite navigation system’ (5 7) means a system consisting of ground stations, a constellation of satellites, and receivers, that enables receiver locations to be calculated on the basis of signals received from the satellites. It includes Global Navigation Satellite Systems (GNSS) and Regional Navigation Satellite Systems (RNSS).

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

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

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

‘Software’ (GSN All) means a collection of one or more ‘programs’ or ‘microprograms’ fixed in any tangible medium of expression.

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

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

‘Spacecraft’ (9) means active and passive satellites and space probes.

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

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

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

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

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

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

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

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

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

‘Spread spectrum’ radar (6) – see ‘Radar spread spectrum’.

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

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

‘Steady State Mode’ (9) 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.

‘Sub-orbital craft’ (9) means a craft having an enclosure designed for the transport of people or cargo which is designed to:

a. Operate above the stratosphere;

b. Perform a non-orbital trajectory; and

c. Land back on Earth with the people or cargo intact.

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

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

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

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

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

‘Superalloys’ (2 9) means nickel-, cobalt- or iron-base alloys having a stress rupture life greater than 1 000 hours at 400 MPa at 922 K (649°C) or higher.

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

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

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