Proposal for a Council Regulation (EC) setting up a Community regime for the control of exports of dual-use goods and technology
Date: 1998-05-15
Institutions: European Commission
Subjects: EU policy, dual-use good, export licence, export monitoring, export policy

•et 

& 

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels,  15.05.1998 

COM(1998) 257  final 

98/0162 (ACC) 

-#; 

••*• 

&: 

- M î f ' --

Proposal for a 
COUNCIL REGULATION (EC) 
setting up a Community regime for the control of exports of dual-use goods 
and technology 

(presented by the Commission) 

EXPLANATORY  MEMORANDUM 

1. 

Introduction 

Export  controls  are  a  trade  aspect  of  international  security.  Until  fairly  recently,  in  the 
European Union,  such controls were  enforced  by national  legislation  only.  The completion  of 
the Internal Market however required  a minimum  of harmonization of export controls in order 
to  allow  for  the  free  movement  of dual-use  goods  inside the  Community.  It  is  in  this  context 
that  the  Council  of  the  European  Union  adopted,  on  19  December  1994,  the  current 
Community  export  control  regime  for  dual-use  goods:  a  two-pillar  system  consisting  of 
Council Regulation  (EC) No  3381/941 and Council Decision  94/942/CFSP2.  The  former  deals 
chiefly  with  licensing  aspects  and  administrative  cooperation;  the  latter  contains  the  lists  of 
controlled  products  and  an  indicative  list  of  countries  for  which  simplified 
licensing 
procedures  may  be  applied  by  Member  States.  In  summary,  the  two  major  elements  of  the 
present regime  are, on the one hand,  a common product  list  and, on the other, the principle  of 
mutual recognition of export licences. 

At  the time  of  the  adoption  of this  legislation,  which  became  applicable  on  1 July  1995, the 
Council  and  Commission  agreed,  in  a  declaration  to  the  Council  minutes,  that  the  regime 
should  be  reviewed  after  two  years  of  application.  It  was  clear  to  Member  States  and  the 
Commission  alike  that  the  regime  was  but  a  first  step,  confined  to  the  very  minimal 
harmonization  which  was  indispensable  to  ensure  the  free  movement  of  goods  inside  the 
Community,  and  that  further  harmonization  was  indeed  desirable.  As  is  stated  in  the 
Regulation itself, the current regime was considered to be transitory in nature. 

2. 

The reasons for the present proposal 

After  two  years  of  application,  it  has  become  clear  that  the  present  common  export  control 
mechanism is not functioning  satisfactorily. 

The report  to Parliament  and  Council  on the practical  application  of the Regulation  which  the 
Commission  is submitting  simultaneously  with this proposal  concludes  that  whilst  the  regime 
has  been,  on  the whole,  successful  in terms  of Internal  Market  objectives,  it  has  failed  at  the 
same time, due to an insufficient  convergence of national policies  and practices, to  establish  a 
credible  common  system  of  export  controls  accepted  by  exporters  and  routinely  enforced 
by customs. 

It  appears  that  the  present  regime,  where  numerous  types  of  national  global  and  general 
licences,  often  for  the  same  destinations  but  with  slightly  different  product  scope,  coexist,  is 
too  complex  to  be  routinely  managed  by  custom  officials  at  the  border,  and  is  judged  by 
industry to be too cumbersome to be useful  in practice. In other words, the legitimate  activities 
of exporters are hampered by delays at borders without  any commensurate benefits  in terms of 
combating  proliferation. 

1 

2 

OJ  L  367,  31.12.1994,  as  amended  by  Regulation  (EC)  No  837/95  of  10  April  1995  (OJ  L  90, 
21.4.1995). 
OJ L 367, 31.12.1994, as last amended by Council Decision 98/232/CFSP (OJ L 92, 25.3.1998). 

2 

The Commission therefore considers it necessary to simplify  and strengthen the present regime 
with  a  view  to .facilitate  legitimate  trade  and  to  allow  resources  to  be  concentrated  on  the 
control of sensitive exports and the combat of fraud. 

The  present  proposal  is  in  important  legislative  instrument  to  attain  these  goals.  It  should 
however not be seen as an isolated iniative, on the contrary. 

On the  one  hand,  the  proposal  is  one  of  the measures  envisaged  in  the  Commission's  recent 
Communication on "Implementing European Union strategy on defence-related  industries"3. 

On the other hand, export control legislation is linked to non-proliferation  objectives,  and it is 
clear that,  at Union level, non-proliferation  issues are and will continue to be dealt with in the 
CFSP  context.  The  Commission,  in  pursuing  the  objective  of  an  overall  coherence  of  the 
Unions'  external  action, therefore  intends to present  in the near  futur  appropriate  measures  to 
accompany or to complement the present proposal. 

3. 

Key elements of the present proposal 

Compared with the present regime the major elements of change are as follows: 

(a) 

Creation  of  a  general  Community  Licence  for  certain  exports:  Article  6(1) 
and Annex  II) 

This  proposal  aims  to  consolidate  the  substantial  amount  of  de  facto  convergence  of 
Member States  licensing policies vis-à-vis the countries mentioned  in Annex  II of the  present 
CFSP  decision:  Australia,  Canada,  Japan,  New  Zealand,  Norway,  Switzerland  and  the 
United States. 

Presently,  12 Member States out of  15 have granted a general export  authorization  for the vast 
majority  of  dual-use  items  when  shipped  to  these  countries.  The  three  Member  States  not 
presently applying any general licences have indicated that they could envisage to do so. 

The proposal  of  the  Commission  is  to  translate  this  de facto  convergence  into  a  harmonized 
Community  licence. On the one hand, such a licence would  greatly contribute to reducing  the 
complexity  of  the  present  regime  to  manageable  levels,  and  would  cover  a  considerable 
volume  of  trade,  estimated  to  account  for  more than  70% of  exports  of these  goods  from  the 
Community.  One  the  other  hand,  the  most  sensitive  dual-use  items  would  be  excluded  from 
the benefit  of this General Licence. 

Finally,  it  is proposed  to  extend  the  application  of  this  General  Licence  to  those  Central  and 
Eastern  European  countries  applying  for  membership  of  the  European  Union  with  whom 
accession negiotiations  are to begin on 31 of March  1998 and which are also very advanced  in 
terms  of  effective  export  control  legislation  and  membership  in  the  relevant  international 
non-proliferation  regimes: Czech Republic, Hungary and Poland. 

The  list  of  countries  covered  by  the  Community  General  Licence  will  be  kept  under 
constant review. 

3 

COM(97) 583 final, in Annex II (Action Plan, page 6, point V 9). 

3 

For  items  not  covered  by  the  Community  General  Licence  and  for  all  exports  to  other 
destinations  the  current  situation  will  continue  to  apply:  national  licence  authorities  will  be 
competent  for  determining  if an export  is  authorized  or not.  Mechanisms  aimed  at  increasing 
transparency,  exchange  of  information  and  consultation  between  Member  States with  regard 
to exports not covered by the Community licence should however be enhanced. 

(b) 

The legal basis 

The European  Court of Justice, in two rulings of  17 October  1995 (C-70/94  and  C-83/94)  has 
clearly  established  exclusive  Community  competence  for  export  controls  concerning  dual-use 
goods.  The  Court  has  explicitly  stated  that  neither  the particular  nature  of  the  goods  nor  the 
fact  that the control measures  are taken in light of foreign  policy or security consideration  has 
any  bearing  on  Article  113  being  applicable.  However,  the  Court  has  also  ruled  that 
Article  113  does  not  preclude  national  measures  regarding  export  controls,  provided  this  is 
done  on  the  basis  of  a  delegation  of  powers  by  the  EC  and  within  the  limitations  posed  by 
Regulation (EEC) No 2603/69. 

On  this  basis,  therefore,  the  Commission  must  strike  a  balance  between  the  principle  of 
Community  competence that the Court has so clearly  affirmed,  and the legitimate concerns of 
Member States to remain in control of matters relating to their national  security. 

On the one hand, in conformity  with the Court Rulings, the Commission considers Article  113 
to  be  the  appropriate  legal  basis  for  a  Community  export-control  regime  concerning 
dual-use goods. 

On  the  other  hand,  the  present  proposal  recognizes  that  all  security  relevant  issues,  and  in 
particular  the  issuing  of  export  licences  to  sensitive  destinations,  remain  in  the  hands  of  the 
competent national authorities. 

Furthermore,  recognizing  that  the  technical  expertise  of  Member  States  is  indispensable  to 
assess  which  goods  are  to  be  controlled,  the  responsibility  of  adapting  the  list  of  controlled 
goods  is  delegated  to  them.  A  List  Group,  chaired  by  the  Member  State  exercising  the 
Presidency,  will  therefore  be  in  charge  of  updating  the product  list.  Any  modification  of  the 
list  of  controlled  items  by  means  of  a  Commission  Regulation  shall  be  based  on  the 
deliberations of this List Group. 

(c) 

Extension  of the catch-all to all military end-use for  shipments to countries  subject 
to an  UN embargo: Article 4(2) 

A  "catch-all"  clause  means  that  any  unlisted  good  may  also  be  made  subject  to  an 
authorization  requirement  if there are concerns  about  its end-use. The solution  adopted by  the 
Council  in  1994  limits  the  scope  of  Article  4(2)  of  the  present  Regulation  to  concerns  in 
relation with programmes of "weapons of mass destruction." 

This proposal  foresees  an extension of the catch-all  to all military end-use, when the goods  in 
question are destined for a country which is subject to an UN embargo. 

It  should  be  noted  that  this  clause  does  not  in  any  way  interfere  with  the  right  of 
Member States  to  grant  permission  to  export  dual-use  items  which  will  have  a  military 
end-use.  The  objective  of  this  proposal  is  solely  to  allow  the  competent  authorities  in 
Member States to exercise judgment on a case-by-case basis on the desirability of such exports 
to certain destinations. 

(d) 

Coverage of technology transfer by PC, fax  and telephone: Article  3(5) 

The present regime (see Decision  94/942/CFSP, Annex  1, General notes, note No  3)  specifies 
that the control  of technology  transfer  is limited  to "tangible  forms".  Transmission  of data  by 
other  means  is  therefore  not  covered.  This  means  that  if  a  blueprint  concerning  controlled 
technology  is  send  by  mail  (in  a  "tangible"  form),  the  Regulation  and  the  authorization 
requirement  applies  -  if  the  same  blueprint  is  however  sent  by  fax  or  E-mail,  there  is  no 
licensing  obligation.  Given  the  degree  to  which  modern  means  of  communication  are  now 
routinely used, this situation is simply anachronistic, as has been recognized by Member  States 
which  have  repeatedly  discussed  the  issue.  It  is  therefore  proposed  to  close  the  loophole  in 
legislation at Community level. 

(e) 

Abolition  of licensing procedures for  intra-Community  trade: Article  22(3) 

Article  19(5)  of  this  Regulation  foresees  that,  after  a  transitory  phase,  certain  restrictions 
concerning intra-Community trade are to be reviewed. 

It is proposed that nearly all still existing licensing requirements for intra-Community  transfers 
of  dual-use  items  contained  in  Annexes  IY  and  V  of  the  present  CFSP  Decision  should 
be abolished. 

However, recognizing the particular sensitivity of certain items listed in the present Annex  IV, 
the  Commission  is  proposing  a  notification  procedure  for  their  transfers  allowing  the 
competent  authorities  to  be  aware  of  all  intra-Community  trade  with  them.  Furthermore,  if 
these  items  are  to  be  subsequently  exported  to  third  countries,  the  Member  State  where  they 
were  originally  located  must  be  consulted  and  may  oppose  the  granting  of  an  export 
authorization, in which case the export will not be allowed. 

The objective  of the proposal is to eliminate any restrictions on the right to transfer  such  items 
within the Community whilst ensuring that trade with them can be monitored  and that  exports 
are tightly controlled and subject to consultation procedures if necessary. 

(f) 

Reinforced  administrative  cooperation:  Article  9(3);  Articles  4(4),  5,  6  and  7: 
Article  16(2) 

The  key  proposal  is  to  reinforce  the  exchange  of  information  and  consultations  between 
Member  States regarding  sensitive exports, be it for  listed items or for transactions covered  by 
the  catch-all  clause.  Whilst  Member  States  maintain  the  right  to  decide  to  grant  an  export 
permission which  another Member  State has refused,  the proposal  stipulates that in such  cases 
prior  consultations  are  obligatory,  and  that  a  Member  State  must  state  the  reason  for 
authorizing  an  export  which  another Member  State has previously  denied.  The  objective  is  to 

create  an  on-going  exchange  of  views between  the  competent  authorities  on  export  control 
policy, in order to reduce differences  in perception and knowledge of security concerns among 
Member States, and allow for a more consistent,  and therefore  more effective,  application of 
export controls throughout the Community. 

Proposal for a 
COUNCIL REGULATION (EC) 
setting up a Community regime for the control of exports of dual-use goods 
and technology 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  113 thereof, 

Having regard to the proposal from the Commission4, 

(1)  Whereas dual-use goods and technology (dual-use items) should be subject  to  effective 

control when they are exported from the Community; 

(2)  Whereas an effective  common system of export controls on dual-use items is necessary 
to  ensure  that  the  international  commitments  of  the  Member  States  and  the 
European Union, especially regarding non-proliferation,  are complied with; 

(3)  Whereas the existence of a common control system is a prerequisite for establishing  the 

free movement of dual-use items inside the Community; 

(4)  Whereas  the  current  regime  of  export  controls  on  dual-use  items  established  by 
Council  Regulation  (EC)  No  3381/945,  as  amended  by  Regulation  (EC)  No  837/956, 
and  Council  Decision  94/942/CFSP7,  as  last  amended  by  Decision  98/232/CFSP8, 
needs  to  be  further  harmonized  in  order  to  guarantee  the  effective  application 
of controls; 

(5)  Whereas  common  lists  of  dual-use  items,  destinations  and  guidelines  are  essential 
elements  for  an  effective  export  control  system;  whereas  such  lists  have  been 
established  by  Decision  94/942/CFSP  and  should  be 
the 
present Regulation; 

incorporated 

into 

(6)  Whereas  the  responsibility  for  issuing  export  licences  lies  essentially  with  national 
authorities;  whereas  national  provisions  and  decisions  affecting  exports  of  dual-use 
items must be taken in the framework of the Common Commercial Policy; 

(7)  Whereas  the  expertise  of  Member  States'  authorities  is  indispensable  to  ensure  the 
regular  updating  of  the  list  of  controlled  items; whereas  the  task  of  updating  that  list 
should  be  delegated  to  a  List  Group  composed  of  Member  States'  experts  and  a 
representative of the Commission; 

4 
5 
6 
7 
8 

OJ 
OJ L 367, 31.12.1994, p. 1. 
OJ L 90, 21.4.1995, p. 1. 
OJL  367, 31.12.1994, p. 8. 
OJ L 92, 25.3.1998, p. 1. 

(8)  Whereas  the  updated  lists  should  be  immediately  integrated  into  this  Regulation  by 

way of a Commission  Regulation; 

(9)  Whereas export  of technology by means of electronic media,  fax  and telephone  should 

also be controlled; 

(10)  Whereas  the  Ministers  for  Foreign  Affairs  of  the  Member  States  adopted,  on 
20 November  1984, the Declaration  of  Common  Policy, which  was  subsequently  also 
adopted  by  Spain,  Portugal,  Austria,  Finland  and  Sweden,  which  covers  in  particular 
the arrangements  concerning  intra-Community transfers  of separated plutonium  and  of 
uranium  enriched  to more  than  20%, as well  as of  installations, the  main  components 
of crucial  importance  and technology related to reprocessing, to enrichment  and to  the 
production of heavy water; 

(11)  Whereas  the  Community  has  adopted  a  body  of  customs  rules,  contained  in 
Council Regulation  (EEC) No 2913/929, as last amended by Regulation  (EC) No  82/97 
of the European  Parliament  and  of the Council10  (the  Community  Customs  Code)  and 
Commission  Regulation  (EEC)  No  2454/93n,  as  last  amended  by  Regulation  (EC) 
No 75/9812, which  lay down,  among other things, provisions relating to the export  and 
re-export  of  goods;  whereas  nothing  in  this  Regulation  constrains  any  powers  under 
and pursuant to the Community Customs Code and its implementing provisions; 

(12)  Whereas  Member  States  should,  when  considering  conditions  concerning  re-export  or 

end-use of dual-use items, take into account relevant principles of international  law; 

(13)  Whereas, in order to ensure that this Regulation is properly applied, each Member  State 

should take measures giving the competent authorities appropriate powers; 

(14)  Whereas each Member  State should determine the penalties to be imposed in the event 

of breach of the provisions of this Regulation; 

(15)  Whereas in view of the foregoing, Regulation (EC) No 3381/94 should be repealed, 

HAS ADOPTED THIS REGULATION: 

CHAPTER I 

Subject and  definitions 

Article 1 

This  Regulation  sets  up  a  Community  system  of  export  controls  for  dual-use  goods 
and technology. 

OJL302,  19.10.1992, p. 1. 
OJL  17, 21.1.1997, p. 1. 
OJL253,  11.10.1993, p. 1. 
OJL  7,  13.1.1998,p. 3. 

For the purpose of this Regulation: 

Article  2 

(a) 

"dual-use items" shall mean goods or technology which can be used  for both civil  and 
military purposes; 

(b)^ 

(c) 

(d) 

1. 

2. 

3. 

4. 

referred 

shall  mean 

a  procedure 

the 
"export" 
Community Customs Code under which  Community  goods temporarily  or  definitively 
leave  the  customs  territory  of  the  Community.  It  includes  re-export,  that  is  to  say  a 
transaction  of the kind referred  to in Article  182 of the Community  Customs  Code  by 
which  non-Community  goods  leave  the  customs  territory  of  the  Community.  It  also 
includes transmission of technology by electronic media, fax and telephone; 

in  Article  161  of 

to 

"exporter"  shall  mean  any  natural  or  legal  person  on  whose  behalf  the  export 
declaration is made and who, at the time when the declaration is accepted, has the right 
of  disposal  over  the  dual-use  item.  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. "Exporter" shall also mean any natural 
or legal person transmitting technology by electronic media, fax and telephone; 

"export  declaration"  shall  mean 
the 
prescribed form  and  manner  the  wish  to  place  dual-use  items  under  an  export  or 
re-export procedure. 

the  act  whereby  a  person 

indicates 

in 

CHAPTER H 

Scope 

Article 3 

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

The  authorization  requirement  applies  not  only  to  the  physical  export  of  goods  or 
technologies, but  also  to  transmission  of  technologies  via  electronic  media,  telephone 
and  fax.  However,  this  Regulation  does  not  apply  to  the  supply  of  services  or  the 
transmission of technology requiring cross-border movement of natural persons. 

In pursuance  of Article 4 or Article  5, an authorization  may be required  for  the  export 
to all or certain destinations of certain dual-use items not listed in Annex I. 

This Regulation  does not apply to dual-use items which only pass through the  territory 
of the  Community,  that  is those which  are not  assigned  a customs-approved  treatment 
or  use  other  than  the  external  transit  procedure  or  which  are  merely  placed  in  a  free 
zone  or  free  warehouse  and  where  no  record  of  them  has  to  be  kept  in  an  approved 
stock record. 

5. 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

Dual-use  items  which  are  exported  by  governments  of  Member  States  or  legal  or 
natural  persons  acting  on behalf  of  governments  of Member  States  are  not  subject  to 
the authorization requirement laid down in paragraph  1. 

Article 4 

An authorization 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 the development,  production, maintenance  or  storage 
of missiles capable of delivering such weapons. 

An  authorization  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  a 
military end-use in a country subject to a UN embargo. 

If the exporter is aware that the dual-use items are intended,  in their entirety or in part, 
for one of the purposes referred  to in paragraphs  1 and 2, 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  authorization. 

Member  States may  adopt  or maintain  national  legislation  providing  that  the  exporter 
must  notify  the  authorities  referred  to  in  paragraph  1  where  he  has  grounds  for 
suspecting  that  the  dual-use  items  are  intended  wholly  or  in  part,  for  one  of  the 
purposes referred  to in paragraphs  1 and 2, and that in such a case the export  operation 
may be made subject to authorization. 

A  Member  State  which  imposes  an  authorization  requirement,  in  application  of 
paragraphs  1 to 4 on  an unlisted  dual-use  item,  shall  inform  the  other  Member  States 
and the Commission.  The other Member  States shall give all due consideration  to  this 
information  and  shall  inform,  to  the  extent  possible,  their  customs  offices  and  other 
relevant national authorities. 

If  a  Member  State  denies  authorization  for  an  export  of  an  unlisted  dual-use  item,  it 
shall immediately inform  the other Member States and the Commission. 

If a Member  States authorizes  an export of an unlisted  dual-use item that  is  essentially 
identical to an export which has been denied authorization by another Member  State, it 
shall  inform  the other  Member  States and the Commission  of its decision  and  provide 
all relevant information  on the reasons for the decision. 

Article 5 

1. 

A Member State may exceptionally prohibit or make subject to authorization the export 
of dual-use items not listed in Annex I for reasons of national  security. 

10 

2. 

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

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

3. 

The  Commission  shall  publish  the  measures  notified  to  it  pursuant  to  paragraph  2  in 
the "C" series of the OfficialJournal  of the European  Communities. 

CHAPTER III 

Export  authorization 

Article 6 

1. 

An  authorization  shall  be  required  for  each  export  subject  to  this  Regulation. 
The authorization  shall  be  granted  by  the  competent  authorities  of  the  Member  State 
the 
where 
Community General Export Authorization as set out in Annex U. 

those  exports  covered  by 

is  established,  except  for 

the  exporter 

2. 

The authorization may be an individual, global or general  authorization. 

However,  national  general  authorizations  may  be  granted  only  in  respect  of  a type  or 
category  of  dual-use  items  for  export  to  destinations  other  than  those  listed  in 
Schedule B of Annex II. 

Member  States  shall  maintain  or  introduce  in  their  respective  national  legislation  the 
possibility  of  granting  a  global  authorization  to  a  specific  exporter  in  respect  of  a 
type or  category  of  dual-use  items  which  may  be  valid  for  exports  to  one  or  more 
specified  countries. 

The  authorization  may  be  subject,  if  appropriate,  to  certain  requirements  and 
conditions.  In  particular,  the  competent  authorities  of  a Member  State  shall  require  a 
statement of end-use for exports of goods and technology which are both: 

3. 

4. 

(a) 

subject to an individual authorization; and 

(b) 

exported to a destination not listed in Schedule B of Annex II. 

5. 

The authorization shall be valid throughout the Community. 

Article 7 

1. 

If the dual-use items in respect of which an application has been made for an individual 
export  authorization  to  a  destination  not  specifically  mentioned  in  Annex  II  or  to  all 
destinations  in  the  case  of  very  sensitive  dual-use  items  which  are  referred  to  in 
Annex IV are or will be located in a different  Member  State, or have been  located  in a 
different  Member  State  in  the  last  nine  months,  that  fact  shall  be  indicated  in  the 

11 

application. The licensing  authorities of the Member  State to which the application  for 
authorization  has been made  shall  immediately  consult  the  licensing  authorities  of  the 
Member  State  or  States  in  question  and  provide  the  relevant  information.  The 
Member State  or  States  consulted  shall  make  known  within  ten working  days,  any 
objections  it  or  they  may  have  to  the  granting  of  such  an  authorization,  which  shall 
bind the Member State in which the application has been made. 

If no objections  are received within ten working days, the opinion of the Member  State 
consulted shall be regarded as positive. 

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

2. 

3. 

4. 

If an export might prejudice its essential security interests, a Member State may request 
another Member  State not to grant an export  authorization  or, if such  authorization  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 
ten working days. 

Member  States  shall  furnish  the  Commission  with  a  list  of  the  competent  authorities 
empowered to grant export authorizations for dual-use items. 

The  Commission  shall  publish  the  list  of  the  authorities  referred  to  in  paragraph  3  in 
the "C" series of the OffïcialJournal  of the European  Communities. 

Article 8 

In  deciding  whether  or  not  to  grant  an  export  authorization,  the  Member  States  shall  take 
into account: 

(a) 

(b) 

(c) 

their commitments  under international  agreements  on non-proliferation  and the  control 
of sensitive goods; 

their  obligations  under  sanctions  imposed  by  the  UN  Security  Council  or  agreed  in 
other international  fora; 

considerations  of national  foreign  and security policy,  including, where relevant,  those 
covered  by  the  criteria  agreed  by the  European  Council  in Luxembourg  in  June  1991 
and in Lisbon in June  1992 with regard to the export of conventional arms; 

(d) 

considerations  about intended end-use and the risk of diversion. 

Article 9 

1. 

Exporters  shall  supply the competent  authorities  with  all relevant  information  required 
for their applications  for  authorization. 

12 

2. 

3. 

1. 

2. 

3. 

4. 

The  competent  authorities,  acting  in  accordance  with  this  Regulation,  may  refuse  to 
grant  an  export  authorization  and  may  annul,  suspend,  modify  or  revoke  an  export 
authorization  which  they  have  already  granted.  Where  they  refuse,  annull,  suspend, 
substantially  limit  or  revoke  an  authorization,  they  shall  inform  the  competent 
authorities  of the other  Member  States  and  the  Commission  thereof  and  exchange  the 
relevant  information  with  the  other  Member  States  and  the  Commission,  while 
complying  with  the  provisions  of  Article  16(3)  concerning  the  confidentiality  of 
such  information. 

A Member State, before  authorizing an essentially identical export that has been denied 
authorization  by  another  -Member  State,  shall  consult  that  Member  State.  If  the 
first-mentioned  Member  State  decides,  after  those  consultations,  to  grant  an  export 
authorization, 
the 
inform 
Commission  of  its  decision,  and  provide  all  relevant  information  on  the  reasons  for 
the decision. 

the  other  Member  States  and 

immediately 

it  shall 

Article 10 

All  individual  national  export  authorizations  shall  be  issued  on  forms  in  accordance 
with the model set out in Annex UJ. 

At the request  of  exporters,  national  general  and  global  authorizations  shall  be  issued 
on the forms referred  to in paragraph  1. 

At  the request  of  exporters,  global  authorizations  that  contain  quantitative  limitations 
may be split. 

Legally  valid  copies  of  authorizations  shall  be  made  available  to  exporters  in 
accordance with national regulations concerning certification  of copies. 

CHAPTER IV 

Imports and reexports 

Article 11 

International  Import  Certificates  or  an  equivalent  end-use  certificate  shall  be  used  only  to 
certify  that an authorization for reexport from the Community exists. 

Member  States  shall only  give the commitment  that  the relevant  items will not be  reexported 
without  the  authorization  of  the  authorities  of  the  Member  State  in  which  the  exporter 
is established. 

13 

1. 

2. 

3. 

4. 

1. 

2. 

3. 

CHAPTER V 

Updating of list of dual-use items 

Article 12 

The  list  set  out  in  Annex  I  shall  be  updated  by  a  List  Group  composed  of  a 
representative of each Member State and of the Commission. 

The  List  Group  shall  be  chaired  by  the  Member  State  holding  the  Presidency  of  the 
Council and shall be assisted by a technical secretariat from one of the Member States. 

The  Member  State  holding  the  Presidency  shall  call  for  meetings  and  present 
appropriate  proposals  for  the  updating  of  Annex  I,  in  particular  after  the  meetings  of 
the international non-proliferation  regimes. Meetings may also be held at the request  of 
any other Member  State or the Commission.  Member  States and the Commission  may 
submit proposals regarding the establishment  and updating of Annex I. 

Decisions on updating of Annex I shall be taken by the Member States'  representatives 
by  consensus  and  shall  be 
to  Annex  I  by  a 
Commission Regulation. 

implemented  as  amendments 

CHAPTER VI 

Customs procedures 

Article 13 

When completing  the export  formalities  at the customs office  responsible  for  handling 
the  export  declaration,  the  exporter  shall  furnish  proof  that  the  export  has  been 
duly authorized. 
Hnlv  anthon7ftrl 

A translation  of any documents  furnished  as proof into the official  language  or  one  of 
the  official  languages  of the Member  State where  the declaration  is presented  may  be 
required of the exporter. 

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 
ten working  days,  suspend  the  process  of  release  for  export  from  its  territory,  or,  if 
necessary, otherwise prevent the dual-use items listed in Annex I which are covered by 
a  valid  authorization  from  leaving  the  Community  via  its  territory,  where  it  has 
grounds for suspicion that: 

(a) 

relevant  information  was  not  taken  into  account  when  the  authorization  was 
granted, or 

(b) 

circumstances have materially changed since the grant of the authorization. 

14 

In such cases, the competent  authorities  of the Member  State which  granted the  export 
authorization  shall  be  consulted  forthwith  in order  that  they  may  take  action  pursuant 
to Article 9(2). 

If those authorities decide to maintain the authorization or if no reply is received within 
ten working days, the dual-use items shall be released immediately. 

Article  14 

1. 

2. 

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. 

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  Communities. 

Article 15 

The provisions  of Part  II, Title II, Chapter  11 of Regulation  (EEC) No  2454/93  also  apply  to 
the restrictions relating to the reexportation of dual-use items covered by this Regulation. 

CHAPTER VII 

Administrative  cooperation 

Article 16 

1. 

2. 

3. 

Acting  in  liaison  with  the  Commission,  Member  States  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  may  lead  to  a  deflection  of  trade,  which  could  create 
difficulties  for one or more Member States. 

Member  States  shall  take  all  appropriate  measures  to  establish  direct  cooperation 
and exchange  of  information  between  competent  authorities  on  sensitive  end-users 
with  a  view  to  providing  a  similar  level  of  guidance  to  exporters  concerned  by 
this Regulation. 

Council  Regulation  (EC)  No  515/97  of  13  March  199713,  and  in  particular  the 
provisions  on the confidentiality  of information,  shall  apply mutatis  mutandis,  without 
prejudice to Article  19 of this Regulation. 

OJL  82, 22.3.1997, p. 1. 

15 

CHAPTER  Vin 

Control  measures 

Article 17 

1. 

The  exporters  shall  keep  detailed  registers  or  records  of  their  transactions,  in 
accordance with the 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. 

The registers and records and the documents referred  to in paragraph  1 shall be kept  for 
at  least  three  years  from  the  end  of  the  calendar  year  in  which  the  export  took  place. 
They shall be produced to the competent authorities on request. 

Article 18 

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

(a) 

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

(b) 

to establish that the 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. 

CHAPTER IX 

General and final  provisions 

Article 19 

1. 

A  Coordinating  Group  chaired by  a representative  of the  Commission  shall be  set  up. 
Each Member State shall appoint a representative to the Coordinating Group. 

The Coordinating  Group  shall examine any question concerning the application of this 
Regulation  which  may  be  raised  either  by  the  chairman  or  by  a  representative  of  a 
Member  State  and, 
taken  by 
Member States to inform  exporters of their obligations under this Regulation. 

the  measures  which  should  be 

in  particular, 

16 

2. 

The  Coordinating  Group  may,  whenever  it  considers  it  to  be  necessary,  consult 
organizations representative of exporters concerned by this Regulation. 

Article 20 

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. 

In  particular,  for  the  implementation  of  Article  4(3),  each  Member  State  shall  lay  down  and 
specify  the nature of the breach of national law and shall determine the nature of the penalty to 
be imposed. 

Article 21 

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 20. The Commission  shall  forward  the information  to the other Member  States.  Every 
three years the Commission  shall present  a report to the European Parliament  and the  Council 
on  the  application  of  this  Regulation.  Member  States  shall  provide  to  the  Commission  all 
appropriate information  for the preparation of the report. 

Article 22 

1. 

2. 

3. 

Paragraphs  2  to  5  shall  apply  in  respect  of  consignments  dispatched  from  one 
Member State to another. 

For transfers  of dual-use items listed in Annex IV, Part B, notification  by the natural or 
legal  person  transferring  the  items  to  the  competent  authorities  of  the  Member  State 
where  the  items  are  located  shall  be  required  by  all  Member  States.  The  information 
contained  in  such  a  notification  must  be  identical  to  the  information  supplied  to 
national  authorities  by a natural  or legal person  which  applies  for  an  individual  export 
authorization for those dual-use items. 

The  procedure  for  notification  and  provision  of  information  shall  not  introduce  or 
maintain  unjustified  and  disproportionate  restrictions  on  the  free  movement  of  goods 
within the Community. 

In  the  case where  a dual-use  item  listed  in  Annex  IV has previously  been  transferred 
from one Member State to another and is subsequently to be exported, that fact  shall be 
indicated  in the application  for  an export  authorization.  The Member  State or States  in 
which the item was originally located must be consulted by the Member  State in which 
the potential  exporter  is  established.  The  licensing  authorities  of  the Member  State  or 
States  consulted  shall make known within  ten working days, any objections  they  may 
have  to  the  grant  of  an  export  authorization.  The  opinion  of  the  consulted 
Member State shall be binding. 

17 

4. 

5. 

1. 

2. 

If no objections  are received within ten working days, the opinion of the Member  State 
consulted shall be regarded as positive. 

The Member State consulted may request the extension of the ten-day period. 

Documents  and  records  of  infra-Community  consignments  of  dual-use  items  listed  in 
Annex  I  shall  be  kept  for  at  least  three  years  from  the  end  of  the  year  in  which  a 
transaction took place and shall be produced to the competent authorities on request. 

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  are, in particular,  the 
sales contract, the order confirmation,  the invoice or the dispatch note. 

Article 23 

An  authorization  shall  be  required  for  intra-Community  transfers  of  separated 
plutonium  and  uranium  enriched  to  more  than  20%,  as  well  as  installations,  main 
to 
components  of  crucial 
enrichment  and to the production of heavy water, under the terms of the Declaration  of 
Common  Policy  of  20  November  1984.  The  relevant  items  are  listed  in  Annex  IV, 
Part A. 

importance  and  technology  related  to  reprocessing, 

The  authorization  procedure  pursuant  to paragraph  1 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. 

Article 24 

This  Regulation  does  not  affect 
European Atomic Energy  Community. 

the  application  of 

the  Treaty  establishing 

the 

Regulation (EC) No 3381/94 is repealed. 

Article 25 

However,  for  export authorization  applications made before  the date of entry into  force  of this 
Regulation, the relevant provisions of Regulation (EC) No 3381/94 shall continue to apply. 

This Regulation shall enter into force on  1  January 1999. 

Article 26 

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

Done at Brussels, 

For the Council 
The President 

18 

ANNEX I - LIST OF PRODUCTS  SUBJECT TO AN EXPORT  AUTHORIZATION 

19 

GENERAL  NOTES TO ANNEX I 

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

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

N.B. 

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

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

"NUCLEAR TECHNOLOGY  NOTE  (NTN)  „ 

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

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

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

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

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

GENERAL  TECHNOLOGY  NOTE  (GTN) 

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

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

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

Controls do not apply to that "technology" which is the minimum necessary for the installation , operation, 
maintenance (checking) and repair of those goods which are not controlled or whose export has been  authorised. 
N.B.:  This does not release such  "technology " specified  in lE002.e.  and lE002.f. and 8E002.a.  and  8E002.b. 

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

GENERAL  SOFTWARE  NOTE  (GSN) 

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

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

a.  Generally available to the public by being: 

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

20 

a.  Over-the-counter  transactions; 
b.  Mail order transactions; or 
c.  Telephone order transactions; and 

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

b.  "In the public  domain". 

DEFINITIONS OF TERMS IN THIS ANNEX 

Category references  are given in brackets after  the defined  term. 

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

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

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

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

"Adaptive control" (2) means a control system that adjusts  the response from  conditions detected during the 
operation (ref. ISO 2806-1980). 

"Aircraft"  (17  9) means a fixed  wing, swivel wing, rotary wing (helicopter), tilt rotor or tilt-wing airborne 
vehicle. 
N.B.: See also  "civil aircraft". 

"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 (réf. VDI/VDE 2617, Draft:  'Rotary tables on coordinate measuring machines'). 

"Asynchronous transfer mode" ("ATM")  (5) means a transfer mode in which the information  is organised  into 
cells; it is asynchronous in the sense that the recurrence of cells depends on the required or instantaneous bit rate 
(CCITT recommendation L.l 13). 

"ATM" is equivalent to "Asynchronous transfer mode". 

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

"Basic gate propagation delay time" (3) means the propagation delay time value corresponding  to the basic gate 
used within a "family"  of "monolithic integrated circuits".  This may be specified,  for a given "family",  either as 
the propagation  delay time per typical gate or as the typical propagation delay time per gate. 
N.B.:  "Basic gate propagation  delay time" is not to be confused with the input/output delay time of a complex 

"monolithic integrated circuit". 

"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 an accelerometer output when no acceleration  is applied. 

"Camming" (axial displacement) (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 
(ref.  ISO 230/1  1986, paragraph  5.63). 

21 

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

"CE" is equivalent to "computing  element". 

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

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

"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"  (17  9) means those "aircraft"  listed by designation in published ainvorthiness certification  lists by 
the civil aviation authorities to fly commercial civil internal and external routes or for legitimate civil, private or 
business use. 
N.B.: See also "aircraft". 

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

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

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

"Communications  channel controller" (5) 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. 

"Composite" (12  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. 

"Composite theoretical performance"  ("CTP") (3 4) is a measure of computational performance  given in millions 
of theoretical operations per second (Mtops), calculated using the aggregation of "computing elements" ("CE"). 
N.B.:  See Category 4, Technical Note. 

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

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

"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 (réf. ISO/DIS 2806 - 1980). 

"Critical temperature" (13  6) (sometimes referred  to as the transition temperature) of a specific 
"superconductive" material means the temperature at which the material loses all resistance to the flow  of direct 
electrical  current. 

"Cryptography" (5) means the discipline which embodies principles, means and methods for the  transformation 
of data in order to hide its information  content, prevent its undetected modification  or prevent its unauthorized 
use. "Cryptography"  is limited to the transformation  of information  using one or more "secret parameters" (e.g., 
crypto variables) or associated key  management. 
N.B. :  "Secret parameter":  a constant or key kept from  the knowledge of others or shared only within a group. 

22 

"CTP" is equivalent to "composite theoretical  performance". 

"Data signalling rate" (5) means the rate, as defined  in ITU Recommendation  53-36, taking into account that,  for 
non-binary modulation, baud and bit per second are not equal.  Bits for coding, checking and  synchronisation 
functions  are to be included. 
N.B.:  1.  When determining the  "data signalling rate", servicing and administrative channels shall  be 

excluded. 
It is the maximum one-way rate, i.e., the maximum rate in either transmission or reception. *" 

2. 

"Deformable  mirrors" (6) (also known as adaptive optic mirrors) means mirrors having: 
a.  a single continuous optical reflecting  surface  which is dynamically deformed  by the application of individual 

torques or forces to compensate for distortions in the optical waveform incident upon the mirror; or 

b.  multiple optical reflecting  elements that can be individually  and dynamically repositioned by the  application 

of torques or forces to compensate for distortions in the optical waveform  incident upon the mirror. 

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

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

"Diffusion  bonding" (12  9) means a solid state molecular joining of at least two separate metals into a single 
piece with a joint strength equivalent to that of the weakest material. 

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

a.  Accept data; 
b.  Store data or instructions in fixed or alterable (writable) storage devices; 
c.  Process data by means of a stored sequence of instructions which is modifiable;  and 
d.  Provide output of data. 
N.B. :  Modifications  of a stored sequence  of instructions include replacement of fixed storage  devices, but not a 

physical  change in wiring or  interconnections. 

"Digital transfer  rate" (5) means the total bit rate of the information  that is directly transferred  on any type of 
medium. 
N.B.:  See also  "total digital transfer rate". 

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

"Drift  rate" (gyro) (7) means the time rate of output deviation from the desired output. It consists of random and 
systematic components and is expressed as an equivalent input angular displacement per unit time with respect to 
inertial space. 

"Dynamic adaptive routing" (5) means automatic rerouting of traffic  based on sensing and analysis of current 
actual network conditions. 
NB.  :  This does not include cases of routing decisions taken on predefined  information. 

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

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

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

23 

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" (3 4 5) means a number of electronic components (i.e., "circuit elements",  'discrete 
components', integrated circuits, etc.) connected together to perform  (a) specific  function(s),  replaceable as an 
entity and normally capable of being  disassembled. 
N.B.:  1. 

"Circuit element" a single active or passive functional  part  of an electronic circuit, such as one 
diode, one transistor, one resistor, one capacitor, etc. 
"Discrete component":  a separately packaged  "circuit element" with its own external  connections. 

2. 

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

"End-effectors"  (2) include grippers, "active tooling units" and any other tooling that is attached to the baseplate 
on the end of a "robot" manipulator  arm. 
N.B.:  "Active tooling unit": a device for  applying motive power, process  energy or sensing  to the  workpiece. 

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

"Expert systems" (4 7) mean systems providing results by application of rules to data which are stored 
independently  of the "programme" and capable of any of the  following: 
a.  Modifying  automatically the "source code" introduced by the user; 
b.  Providing knowledge linked to a class of problems in quasi-natural language; or 
c.  Acquiring the knowledge required for their development (symbolic training). 

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

"Family" (3) means a group of microprocessor or microcomputer microcircuits with: 
a.  The same architecture; 
b.  The same basic instruction set; and 
c.  The same basic technology (e.g., only NMOS or only CMOS). 

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

"Fibrous or filamentary materials" (0  1 8) include: 
a.  Continuous  "monofilaments"; 
b.  Continuous  "yams" and "rovings"; 
c.  "Tapes", fabrics, random mats and braids; 
d.  Chopped fibres, staple fibres and coherent fibre blankets; 
e.  Whiskers, either monocrystalline  or polycrystalline, of any length; 
f.  Aromatic polyamide pulp. 

"Film type integrated circuit" (3) means an array of 'circuit elements' and metallic interconnections  formed  by 
deposition of a thick or thin film on an insulating  "substrate". 
N.B.:  "Circuit element" is a single active or passive functional  part  of an electronic circuit, such as one  diode, 

one transistor, one resistor, one capacitor, etc. 

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

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

24 

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

"Focal plane array" (6) means a linear or two-dimensional planar layer, or combination of planar layers, of 
individual detector elements, with or without readout electronics, which work in the focal plane. 
N.B. :  This is not intended to include a stack of single detector elements or any two, three or four  element 

detectors provided  time delay and integration is not performed  within the element. 

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

"Frequency switching time" (3 5) means the maximum time (i.e., delay), taken by a signal, when switched  from 
one selected output frequency  to another selected output frequency,  to reach: 
a.  A frequency  within  100 Hz of the final  frequency;  or 
b.  An output level within  1  dB of the final output level. 

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

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

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

"Gateway" (5) means the function,  realised by any combination of equipment and "software",  to carry out the 
conversion of conventions for representing, processing or communicating  information used in one system into 
the corresponding but different  conventions used in another system. 

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

"Global interrupt latency time" (4) means the time taken by the computer system to recognize an interrupt due to 
the event, service the interrupt and perform  a context switch to an alternate memory-resident task waiting on the 
interrupt. 

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

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

"Hybrid computer" (4) means equipment which can perform  all of the  following: 
a.  Accept data; 
b.  Process data, in both analogue and digital representations; and 
c.  Provide output of data. 

"Hybrid  integrated circuit" (3) means any combination  of integrated circuit(s), or integrated circuit with  "circuit 
elements" or "discrete components" connected together to perform  (a) specific  function(s),  and having all of the 
following  characteristics: 
a.  Containing  at least one unencapsulated  device; 
b.  Connected together using typical IC production methods; 
c.  Replaceable as an entity; and 
d.  Not normally capable of being  disassembled. 

25 

N.B.:  1. 

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. 
"Discrete component": a separately packaged  "circuit element" with its own external  connections. 

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

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

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

"Information  security" (4 5) is all the means and functions  ensuring the accessibility, confidentiality  or integrity 
of information  or communications, excluding the means and functions  intended to safeguard  against 
malfunctions.  This includes "cryptography",  'cryptanalysis', protection against compromising  emanations and 
computer security. 
N.B.:  "Cryptanalysis": analysis of a cryptographic system or its inputs and outputs to derive  confidential 

variables or sensitive data, including clear text. 

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

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

"Insulation" (9) is applied to the components of a rocket motor, ie. 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. 

"Integrated Services Digital Network" (ISDN) (5) means a unified  end-to-end digital network, in which data 
originating  from  all types of communication  (e.g., voice, text, data, still and moving pictures) are transmitted 
from  one port (terminal) in the exchange (switch) over one access line to and from the subscriber. 

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

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

"Intrinsic Magnetic Gradiometer" (6) is a single magnetic field gradient sensing element and  associated 
electronics the output of which is a measure of magnetic field gradient. 
/V.2?.:  See also  "magnetic  gradiometer". 

"ISDN" is equivalent to "Integrated  Services Digital Network". 

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

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

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

26 

N.B.:  See also: 

"Chemical laser"; 
"Q-switched laser"; 
"Super High Power Laser"; 
"Transfer laser". 

"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) is a data communication system having all of the following  characteristics: 
a.  Allows an arbitrary number of independent  'data devices' to communicate directly with each other; and 
b.  Is confined  to a geographical area of moderate size (e.g., office  building, plant, campus, warehouse). 
N.B. :  "Data device" means equipment capable of transmitting or receiving sequences of digital  information. 

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

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

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

"Materials resistant to corrosion by UF6" (0) may be copper, stainless steel, aluminium, aluminium oxide, 

aluminium 

alloys, nickel or alloy containing 60 weight percent or more nickel and UF6- resistant fully  fluorinated 

hydrocarbon 

polymers, as appropriate for the type of separation process." 

"Matrix" (12  8 9) means a substantially continuous phase that fills the space between particles, whiskers or 
fibres. 

"Measurement uncertainty" (2) is the characteristic parameter which specifies  in what range around the output 
value the correct value of the measurable variable lies with a confidence  level of 95 %.  It includes the 
uncorrected systematic deviations, the uncorrected backlash and the random deviations (ref. ISO  10360-2, or 
VDI/VDE2617). 

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

"Media access unit" (5) means equipment which contains one or more communication interfaces  ("network 
access controller",  "communications channel controller", modem or computer bus) to connect terminal 
equipment to a network. 

"Melt Extraction" (1) means a process to 'solidify  rapidly' and extract a ribbon-like alloy product by the insertion 
of a short segment of a rotating chilled block into a bath of a molten metal alloy. 
N.B.:  "Solidify rapidly": solidification  of molten material at cooling rates exceeding 1,000 K/sec. 

"Melt Spinning" (1) means a process to "solidify  rapidly" a molten metal stream impinging upon a rotating 
chilled block, forming  a flake, ribbon or rod-like product. 
N.B.:  "Solidify rapidly": solidification  of molten material at cooling rates exceeding 1,000 K/sec. 

27 

"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. 
JV.tf. :  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. 

2. 

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

"Microorganisms" (12) 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" (13  5 6 7 9) means complete rocket systems and unmanned  air vehicle systems, capable of delivering 
at least 500 kg pay load to a range of at least 300 km. 

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

"Monolithic integrated circuit" (3) means a combination of passive or active "circuit elements" or both which: 
a.  Are formed by means of diffusion  processes, implantation processes or deposition processes in or on a single 

semiconducting piece of material, a so-called "chip"; 

b.  Can be considered  as indivisibly associated; and 
c.  Perform  the function(s)  of a circuit. 
N.B.:  "Circuit element" is a single active or passive functional  part  of an electronic circuit, such as one  diode, 

one transistor, one resistor, one capacitor, etc. 

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

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

"Multi-data-stream processing" (4) means the "microprogramme" or equipment architecture technique which 
permits simultaneous processing of two or more data sequences under the control of one or more  instruction 
sequences by means such as: 
a.  Single Instruction Multiple Data (SIMD) architectures such as vector or array processors; 
b.  Multiple Single Instruction Multiple Data (MSIMD) architectures; 
c.  Multiple Instruction Multiple Data (MIMD) architectures, including those which are tightly coupled,  closely 

coupled or loosely coupled; or 

d.  Structured arrays of processing elements, including systolic arrays. 
N.B.:  "Microprogramme" means a sequence  of elementary instructions, maintained in a special storage,  the 

execution of which is initiated by the introduction of its reference instruction into an instruction  register. 

"Multilevel security" (5) means a class of system containing information  with different  sensitivities that 
simultaneously permits access by users with different  security clearances and needs-to-know, but prevents  users 
from obtaining access to information  for which they lack authorization. 
N.B.:  "Multilevel security" is computer security and not computer reliability which deals with equipment  fault 

prevention  or human error prevention  in general. 

"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. 

28 

"Network access controller" (4 5) means a physical interface  to a distributed switching network.  It uses a 
common medium which operates throughout at the same "digital transfer rate" using arbitration (e.g., token or 
carrier sense) for transmission.  Independently from any other, it selects data packets or data groups (e.g., IEEE 
802) addressed to it.  It is an assembly that can be integrated into computer or telecommunications  equipment to 
provide communications access. 

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

"Noise level" (6) means an electrical signal given in terms of power spectral density.  The relation between 
"noise level" expressed in peak-to-peak  is given by S 2 pp = 8N0(f2-f,),  where Spp is the peak-to-peak value of the 
signal (e.g., nanoteslas), N0 is the power spectral density (e.g., (nanotesla)2/Hz) and (f2-f,)  defines the bandwidth 
of interest. 

"Nuclear reactor" (0) means the items within or attached directly to the reactor vessel, the equipment which 
controls the level of power in the core, and the components which normally contain, come into direct contact 
with or control the primary coolant of the reactor core. 

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

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

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

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

"Optical fibre preforms" (5 6) means bars, ingots, or rods of glass, plastic or other materials which have been 
specially processed for use in fabricating  optical fibres. The characteristics of the preform  determine the basic 
parameters of the resultant drawn optical  fibres. 

"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) means a participating  state in the Wassenaar  Arrangement. 

"Peak power" (6), means energy per pulse in joules divided by the pulse duration in seconds. 

"Personalized smart card" (5) means a smart card containing a microcircuit which has been programmed for a 
specific  application and cannot be reprogrammed for any other application by the user. 

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

29 

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

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

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

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

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

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

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

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

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

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

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

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

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

"Real time processing" (2 4 6 7) means the processing of data by a computer system providing a required level of 
service, as a function  of available resources, within a guaranteed response time, regardless of the load of the 
system, when stimulated by an external event. 

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

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

30 

"Robot" (2 8) means a manipulation mechanism, which may be of the continuous path or of the point-to-point 
variety, may use sensors, and has all the following  characteristics: 
a.  Is  multifunctional; 
b.  Is capable of positioning or orienting material, parts, tools or special devices through variable movements in 

three dimensional space; 

c.  Incorporates three or more closed or open loop servo-devices which may include stepping motors; and 
d.  Has "user-accessible programmability" by means of teach/playback method or by means of an electronic 

computer which may be a programmable  logic controller, i.e., without mechanical  intervention. 

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

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

2.  Fixed sequence manipulation  mechanisms which are automated moving devices,  operating 

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

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

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

5. 

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

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

"Roving" (1) is a bundle (typically  12-120) of approximately parallel "strands". 
N.B. :  "Strand' is a bundle of  "monofilaments " (typically over 200) arranged approximately  parallel. 

"Run out" (out-of-true  running) (2) 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 
(ref. ISO 230/1-1986, paragraph  5.61). 

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

"SDH" is equivalent to "synchronous digital hierarchy". 

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

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

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

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

31 

"Software" (GSN AU) means a collection of one or more "programmes" or "microprogrammes" fixed in any 
tangible medium of expression. 
N.B.:  "Microprogramme" means a sequence  of elementary instructions, maintained in a special storage,  the 

execution of which is initiated by the introduction of its reference instruction into an instruction register. 

"SONET" is equivalent to "synchronous  optical network". 

"Source code" (or source language) (4 5 6 7 9) is a convenient expression of one or more processes which may 
be turned by a programming system into equipment executable form ("object  code" (or object language)). 

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

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

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

and  ^ 

any material containing the  foregoing." 

"Specific  modulus" (0  1) 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) 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)%. 

"Spectral efficiency"  (5) is a figure of merit parametrized to characterize the efficiency  of transmission  system 
which uses complex modulation schemes such as QAM (quadrature amplitude modulation), Trellis coding, 
QPSK (Q-phased shift key), etc.  It is defined  as follows: 

"Spectral efficiency"  = 

"Digital transfer  rate"(bits/second) 

6 dB spectrum bandwidth (Hz) 

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

"Solidify rapidly": solidification  of molten material at cooling rates exceeding 1,000 K/sec. 

"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. 

"Stored programme controlled" (2 3 5) means controlled by using instructions stored in an electronic  storage 
which a processor can execute in order to direct the performance  of predetermined  functions. 
N.B.:  Equipment  may be  "storedprogramme  controlled" whether the electronic storage is internal or  external 

to the equipment. 

"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.: 

"Discrete component": a separately packaged  "circuit element" with its own external  connections. 
"Circuit element": a single  active or passive functional  part  of an electronic circuit, such as one 
diode, one transistor, one resistor, one capacitor, etc. 

1. 
2. 

32 

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

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

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

"Superconductive" (13  6 8) means materials, i.e., metals, alloys or compounds, which can lose all electrical 
resistance, i.e., which can attain infinite  electrical conductivity and carry very large electrical currents without 
Joule heating. 
N.B.: 

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

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

"Superplastic  forming" (12) means a deformation  process using heat for metals that are normally  characterised 
by low values of elongation (less than 20%) at the breaking point as determined at room temperature by 
conventional tensile strength testing, in order to achieve elongations during processing which are at least 2 times 
those values. 

"Switch fabric" (5) is that hardware and associated "software"  which provides the physical or virtual  connection 
path for in-transit message traffic  being  switched. 

"Synchronous digital hierarchy" ("SDH") (5) means a digital hierarchy providing a means to manage, multiplex 
and access various forms of digital traffic  using a synchronous transmission format on different  types of media. 
The format  is based on the Synchronous Transport Module (STM) which is defined by CCITT Recommendation 
G.703, G.707, G.708, G.709 and others yet to be published.  The first level rate of "SDH" is  155.52 Mbit/s. 

"Synchronous optical network" ("SONET")  (5) means a network providing a means to manage, multiplex and 
access various forms of digital traffic  using a synchronous transmission format on fibre optics.  The format  is the 
North America version of "SDH" and also uses the Synchronous Transport Module (STM).  However, it uses the 
Synchronous Transport Signal (STS) as the basic transport module with a first level rate of 51.81 Mbit/s.  The 
"SONET' standards are being integrated into those of "SDH". 

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

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

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

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

1. 

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

"Technical assistance" may take forms  such as instructions, skills, training, working  knowledge 
and consulting services and may involve the transfer of  "technical data ". 
"Technical data" may take forms  such as blueprints, plans,  diagrams, models,  formulae, 
tables, engineering designs and specifications,  manuals and instructions written or recorded on other 
media or devices such as disk, tape, read-only memories. 

2. 

"Terminal interface equipment" (4) means equipment at which information  enters or leaves the 
telecommunication system, e.g., telephone, data device, computer, facsimile  device. 

33 

"Three dimensional Vector Rate" (4) means the number of vectors generated per second which have  10 pixel 
poly line vectors, clip tested, randomly oriented, with either integer or floating point X-Y-Z coordinate  values 
(whichever produces the maximum rate). 

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

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

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

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

See also  "digital transfer rate". 

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

"Toxins" (12) means toxins in the form of deliberately isolated preparations or mixtures, no matter how 
produced, other than toxins present as contaminants of other materials such as pathological specimens, crops, 
foodstuffs  or seed stocks of "microorganisms". 

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

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

"Uranium enriched in the isotopes 235 or 233" (0) means uranium containing the isotopes 235 or 233, or both, in 
an amount such that the abundance ratio of the sum of these isotopes to the isotope 238 is more than the ratio of 
the isotope 235 to the isotope 238 occurring in nature (isotopic ratio 0.72 per cent). 

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

"User-accessible programmability" (4 5 6) means the facility  allowing a user to insert, modify  or replace 
"programmes" by means other than: 
a. 
b. 

A physical change in wiring or interconnections; or 
The setting of function  controls including entry of parameters. 

"Vaccine" (1) is a medicinal product which is intended to stimulate a protective immunological response in 
humans or animals in order to prevent disease. 

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

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

"Yarn" (1) is a bundle of twisted "strands". 
N.B. : 

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

34 

ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX 

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

ACRONYM OR 
ABBREVIATION 

MEANING 

ABEC 
AGMA 
AHRS 
AISI 
ALU 
ANSI 
ASTM 
ATC 
AVLIS 
CAD 
CCITT 
CDU 
CEP 
CNTD 
CRISLA 
CVD 
CW 
CW (for  lasers) 
DME 
DS 
EB-PVD 
ECM 
ECR 
EDM 
EEPROMS 
EIA 
EMC 
FFT 
GLONASS 
GPS 
HBT 
HDDR 
HEMT 

Annular Bearing Engineers  Committee 
American Gear Manufacturers'  Association 
attitude and heading reference  systems 
American Iron and Steel Institute 
arithmetic logic unit 
American National Standards Institute 
the American Society for Testing and Materials 
air traffic  control 
atomic vapour "laser" isotope  separation 
computer-aided-design 
International Telegraph and Telephone Consultative  Committee 
control and display unit 
circular error probable 
controlled nucleation thermal deposition 
chemical reaction by isotope selective "laser" activation 
chemical vapour deposition 
chemical  warfare 
continuous wave 
distance measuring  equipment 
directionally  solidified 
electron beam physical vapour  deposition 
electro-chemical  machining 
electron cyclotron resonance 
electrical discharge machines 
electrically erasable programmable read only memory 
Electronic Industries Association 
electromagnetic  compatibility 
Fast Fourier  Transform 
global navigation satellite system 
global positioning  system 
hetero-bipolar  transistors 
high density digital recording 
high electron mobility  transistors 

35 

ACRONYM  OR 
ABBREVIATION 

MEANING 

ICAO 
IEEE 
IFOV 
ILS 
IRIG 
ISAR 
ISO 
ITU 
JIS 
JT 
LIDAR 
LRU 
MAC 
Mach 
MLS 
MLIS 
MOCVD 
MRI 
MTBF 
Mtops 
MTTF 
NBC 
NDT 
PAR 
PIN 
ppm 
PSD 
QAM 
RF 
SACMA 
SAR 
SC 
SLAR 
SRA 
SRAM 
SRM 
SSB 
SSR 
TCSEC 
TIR 
UV 
UTS 
VOR 
YAG 

International Civil Aviation  Organisation 
Institute of Electrical and Electronic  Engineers 
instantaneous-field-of-view 
instrument landing  system 
inter-range instrumentation  group 
inverse synthetic aperture radar 
International Organization for  Standardization 
International Telecommunication  Union 
Japanese Industrial Standard 
Joule-Thomson 
light detection and ranging 
line replaceable unit 
message authentication code 
ratio of speed of an object to speed of sound (after  Ernst  Mach) 
microwave landing systems 
molecular "laser" isotope separation. 
metal organic chemical vapour deposition 
magnetic resonance  imaging 
mean-time-between-failures 
million theoretical operations per second 
mean-time-to-failure 
Nuclear, Biological and Chemical 
non-destructive  test 
precision approach radar 
personal identification  number 
parts per million 
power spectral density 
quadrature-amplitude-modulation 
radio  frequency 
Suppliers of Advanced Composite Materials Association 
synthetic aperture radar 
single crystal 
sidelooking airborne radar 
shop replaceable  assembly 
static random access memory 
SACMA Recommended  Methods 
single sideband 
secondary surveillance radar 
trusted computer system evaluation criteria 
total indicated reading 
ultraviolet 
ultimate tensile strength 
very high frequency  omni-directional range 
yttrium/aluminum garnet 

36 

CATEGORY 0 - NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT 

"OA 

Systems, Equipment and Components 

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

follows: 

a. 

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

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

c.  Manipulative equipment specially designed or prepared for inserting or removing fuel  in 

a "nuclear reactor"; 

d.  Control rods specially designed or prepared for the control of the fission process in a 

"nuclear reactor", support or suspension structures therefor,  rod drive mechanisms and 
rod guide tubes; 

e.  Pressure tubes specially designed or prepared to contain fuel  elements and the primary 

coolant in a "nuclear reactor" at an operating pressure in excess of 5.1 MPa; 

f. 

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

g.  Coolant  pumps  specially  designed  or prepared  for  circulating  the primary  coolant  of 

"nuclear  reactors"; 

h. 

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

Note: 

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

the  core, 

radiation 

i.  Heat  exchangers  (steam  generators)  specially  designed  or prepared  for  use  in  the 

primary  coolant  circuit  of  a  "nuclear  reactor"; 

j. 

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

0A002 

Power  generating  or propulsion  equipment  specially  designed  for  use  with  space, marine  or  mobile 
"nuclear  reactors". 

N.B.:  SEE  ALSO  MILITARY  GOODS  CONTROLS. 

Note: 

0A002  does  not  apply  to  conventional  power  generating  equipment  which,  although  designed 
use  in  a particular  nuclear  station,  could  in principle  be  used  in  conjunction  with 
conventional 

systems. 

for 

OB 

Test, Inspection  and  Production  Equipment 

0B001 

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

37 

a.  Plant specially designed for separating isotopes of "natural uranium",  "depleted uranium", 

and "special fissile materials", as follows: 

1.  Gas centrifuge  separation plant; 
2.  Gaseous diffusion  separation plant; 
3.  Aerodynamic  separation plant; 
4.  Chemical exchange separation plant; 
Ion-exchange  separation plant; 
5. 
6.  Atomic vapour "laser" isotope separation (AVLIS) plant; 
7.  Molecular  "laser" isotope separation (MLIS) plant; 
8.  Plasma separation plant; 
9.  Electro magnetic separation plant; 

b.  Gas centrifuges  and assemblies and components, specially designed or prepared for  gas 

centrifuge  separation process, as follows: 

Note: 

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

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

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

or 

c. 

"Fibrous or filamentary materials" with a  "specific modulus" of more than 
3.18 x  10° m and a  "specific tensile strength" greater than  76.2 x  10^ m; 

'  1.  Gas  centrifuges; 

2.  Complete rotor assemblies; 

3.  Rotor tube cylinders with a wall thickness of  12 mm or less, a diameter of between 75 

mm and 400 mm, made from 'high strength-to-density ratio materials'; 

4.  Rings or bellows with a wall thickness of 3 mm or less and a diameter of between 75 

mm and 400 mm and designed to give local support to a rotor tube or to join a number 
together, made from 'high strength-to-density ratio materials'; 

5.  Baffles  of between 75 mm and 400 mm diameter for mounting inside a rotor tube, made 

from 'high strength-to-density ratio materials'; 

6.  Top or bottom caps of between 75 mm and 400 mm diameter to fit the ends of a rotor 

tube, made from 'high strength-to-density ratio materials'; 

7.  Magnetic suspension bearings consisting of an annular magnet suspended within a 

housing made of or protected by "materials resistant to corrosion by UF6" containing a 
damping medium and having the magnet coupling with a pole piece or second magnet 
fitted to the top cap of the rotor; 

8. 

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

9.  Molecular pumps comprised of cylinders having internally machined or extruded 

helical grooves and internally machined bores; 

10.  Ring-shaped motor stators for multiphase AC hysteresis (or reluctance) motors  for 

synchronous operation within a vacuum in the frequency range of 600 to 2,000 Hz and 
a power range of 50 to  1,000  Volt-Amps; 

38 

11.  Centrifuge  housing/recipients to contain the rotor tube assembly of a gas  centrifuge, 
consisting of a rigid cylinder of wall thickness up to 30 mm with precision  machined 
ends and made of or protected by "materials resistant to corrosion by UF6"; 

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

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

a.  Multiphase output of 600 to 2,000 Hz; 
b.  Frequency control better than  0.1%; 
c.  Harmonic distortion of less than 2%; and 
d.  An efficiency  greater than 80%; 

c.  Equipment and components, specially designed or prepared for gaseous diffusion  separation 

process, as follows: 

1. 

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

2. 

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

3. 

4. 

5. 

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

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

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

6. 

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

d.  Equipment and components, specially designed or prepared for aerodynamic  separation 

process, as follows: 

1. 

2. 

3. 

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

Tangential inlet flow-driven cylindrical or conical tubes (vortex tubes), made of or 
protected by "materials resistant to corrosion by UF6" with a diameter of between  0.5 
cm and 4 cm and a length to diameter ratio of 20:1 or less and with one or more 
tangential inlets; 

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

39 

4. 

5. 

6. 

7. 

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

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

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

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

a.  Cryogenic heat exchangers and cryoseparators capable of temperatures of  153 K (-

120°C) or less; 

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

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

d.  UF6 cold traps capable of temperatures  of 253 K (-20°C) or less; 

e.  Equipment and components, specially designed or prepared for chemical exchange  separation 

process, as follows: 

1. 

2. 

3. 

4. 

5. 

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

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

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

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

Feed preparation systems for producing high purity uranium chloride  solution 
consisting of dissolution, solvent extraction and/or ion exchange equipment  for 
purification  and electrolytic cells for reducing the uranium LT6 or U+4 to LP3; 

6. 

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

f. 

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

1. 

Fast reacting ion-exchange resins, pellicular or porous macro-reticulated resins in 
which the active chemical exchange groups are limited to a coating on the surface  of an 
inactive porous support structure, and other composite structures in any suitable  form, 
including particles or fibres, with diameters of 0.2 mm or less, resistant to concentrated 
hydrochloric  acid and designed to have an exchange rate half-time  of less than 
10 seconds and capable of operating at temperatures in the range of 373 K (100°C) to 
473 K (200°C); 

40 

2. 

3. 

Ion exchange columns (cylindrical) with a diameter greater than  1,000 mm, made of or 
protected by materials resistant to concentrated hydrochloric acid (e.g. titanium or 
fluorocarbon plastics) and capable of operating at temperatures in the range of 373 K 
( 100°C) to 473 K (200°C) and pressures above 0.7 MPa; 

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

g.  Equipment and components, specially designed or prepared for atomic vapour "laser" isotope 

separation process (AVLIS), as follows: 

1. 

2. 

3. 

4. 

5. 

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

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

NB: see also 2A225. 

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

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

"Lasers" or "laser" systems for the separation of uranium isotopes with a spectrum 
frequency stabiliser for operation over extended periods of time; 

NB: see also 6A005 and 6A205. 

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

1.  Supersonic expansion nozzles for cooling mixtures of UF6 and carrier gas to  150 K (-

123°C) or less and made from "materials resistant to corrosion by UF6"; 

2.  Uranium pentafluoride  (UF5) product collectors consisting of filter, impact, or 

cyclone-type  collectors or combinations thereof, and made of "materials resistant to 
corrosion by UF5/UF6"; 

3.  Compressors made of or protected by "materials resistant to corrosion by UF6", and 

rotary shaft  seals  therefor; 

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

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

a.  Cryogenic heat exchangers and cryoseparators capable of temperatures of  153 K 

(-120°C)orless; 

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

c.  UF6 cold traps capable of temperatures of 253 K (-20°C) or less; 

41 

6.  "Lasers" or "laser" systems for the separation of uranium isotopes with a spectrum 

frequency stabiliser for operation over extended periods of time; 

NB: see also 6A005 and 6A205. 

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

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

2.  Radio frequency  ion excitation coils for frequencies of more than  100 kHz and capable 

of handling more than 40 kW mean power; 

3.  Uranium plasma generation systems; 

4.  Liquid metal handling systems for molten uranium or uranium alloys, consisting of 

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

NB: see also 2A225. 

5.  Product and tails collectors made of or protected by materials resistant to the heat and 

corrosion of uranium vapour such as yttria-coated graphite or tantalum; 

6.  Separator module housings (cylindrical) for containing the uranium plasma source, 

radio-frequency  drive coil and the product and tails collectors and made of a suitable 
non-magnetic material (e.g. stainless steel); 

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

1. 

2. 

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

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

3.  Vacuum housings for uranium electromagnetic separators made of non-magnetic 

materials (e.g. stainless steel) and designed to operate at pressures of 0.1 Pa or lower; 

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

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

a.  Capable of continuous  operation; 
b.  Output voltage of 20,000 V or greater; 
c.  Output current of  1  A or greater; and 
d.  Voltage regulation of better than 0.01% over a period of 8 hours; 

NB: see also 3A227.  * 

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

characteristics: 

42 

a.  Capable of continuous operation with a current output of 500 A or greater at a voltage 

of  100 V or greater; and 

b.  Current or voltage regulation better than 0.01% over a period of 8 hours. 

NB: see also 3A226. 

0B002 

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

a. 

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

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

transfer upon heating; 

c. 

Product and tails stations for transferring  UF6 into containers; 

d. 

e. 

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

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

f. 

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

or 

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

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

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

2. 

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

3.  Electron bombardment  ionization sources; and 

4.  Collector system suitable for isotopic analysis. 

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

follows: 

a. 
b. 
c. 
d. 
e. 
f. 
g 
h. 

Systems for the conversion of uranium ore concentrates to U03; 
Systems for the conversion of U03 to UF6; 
Systems for the conversion of U03 to U02; 
Systems for the conversion of U02 to UF4; 
Systems for the conversion of UF4 to UF6; 
Systems for the conversion of UF4 to uranium metal; 
Systems for the conversion of UF6 to U02; 
Systems for the conversion of UF6 to UF4. 

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

a. 

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

43 

1.  Water-hydrogen  sulphide exchange plants; 
2.  Ammonia-hydrogen  exchange plants; 

b. 

Equipment and components, as follows: 

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

2.  Single stage, low head (i.e. 0.2 MPa) centrifugal  blowers or compressors for  hydrogen 
sulphide gas circulation (i.e. gas containing more than 70% H2S) with a throughput 
capacity greater than or equal to 56 mVsecond when operating at pressures greater than 
or equal to  1.8 MPa^uction and having seals designed for wet H2S service; 

3.  Ammonia-hydrogen  exchange towers greater than or equal to 35 m in height with 

diameters of  1.5 m to 2.5 m capable of operating at pressures greater than  15 MPa; 

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

5.  Ammonia crackers with operating pressures greater than or equal to 3 MPa for  heavy 

water production utilizing the ammonia-hydrogen exchange process; 

6. 

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

7.  Catalytic burners for the conversion of enriched deuterium gas into heavy water utilizing 

the ammonia-hydrogen exchange process; 

8.  Complete heavy water upgrade systems, or columns therefor,  for the upgrade of heavy 

water to reactor-grade deuterium  concentration. 

0B005 

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

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

a.  Normally comes into direct contact with or directly processes  or controls the 

production  flow  of nuclear materials; 
b.  Seals the nuclear materials within the cladding; 
c.  Checks the integrity of the cladding or the seal; or 
d.  Checks the finish treatment of the solid fuel. 

0B006 

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

Note:0B006  includes: 

a.  Plant for  the reprocessing of irradiated  "nuclear reactor" fuel  elements  including 

equipment and components which normally come into direct contact with and 
directly control the irradiated fuel  and the major nuclear material and fission 
product processing  streams; 

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

44 

c.  Dissolvers, critically safe tanks (e.g. small diameter, annular or slab tanks)  specially 

designed or prepared for  the dissolution of irradiated  "nuclear reactor" fuel, 
which are capable of withstanding hot, highly corrosive liquids, and which can 
be remotely loaded and maintained; 

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

e.  Holding or storage vessels specially designed to be critically safe and resistant to the 

corrosive effects of nitric acid; 

Note: 

'  Holding or storage  vessels may have the following  features: 

1.  Walls or internal structures with a boron equivalent  (calculated 

for  all constituent elements as defined in the note to 0C004) of 
at least two percent; 

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

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

f  Complete systems specially designed or prepared for  the conversion of  plutonium 

nitrate to plutonium  oxide; 

g.  Complete systems specially designed or prepared for  the production  of  plutonium 

metal; 

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

OC  Materials 

OCOOl 

"Natural uranium" or "depleted uranium" or thorium in the form of metal, alloy, chemical compound or 

concentrate and any other material containing one or more of the  foregoing; 

Note: 

OCOOl  does not control the following: 

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

component  in instruments; 

b. 

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

1.  Shielding; 
2.  Packaging; 
3.  Ballasts having a mass not greater than 100 Kg; 
4.  Counter-weights having a mass not greater than 100 Kg; 

-

c. 

Alloys  containing less than 5% thorium; 

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

0C002 

"Special fissile materials". 

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

component  in instruments. 

45 

0C003  Deuterium, heavy water (deuterium oxide) and other compounds of deuterium, and mixtures and 

solutions containing deuterium, in which the isotopic ratio of deuterium to hydrogen  exceeds 
1:5,000. 

OC004 

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

Note  1:  0C004 does not control the following: 

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

b.  graphite powder. 

Note 2: 

In 0C004, 'boron equivalent' (BE) is defined as the sum  ofBEzfor 

impurities (excluding BEcaroon 
impurity) including boron, where: 

since carbon is not considered  an 

BEZ (ppm) = CFx  Concentration of element Z in ppm; 
crz AB 

where CF is the conversion factor  = 

and  O~B and oz  are the thermal neutron capture cross sections  (in 
barns) for  naturally occurring boron and element Z  respectively; 
andAjj  and Az  are the atomic masses of naturally occurring  boron 
and element Z respectively. 

VB^Z 

0C005 

0C006 

Specially prepared compounds or powders for the manufacture  of gaseous diffusion  barriers, resistant 
to corrosion by UF6 (e.g. nickel or alloy containing 60 weight percent or more nickel, aluminium  oxide 
and fully fluorinated hydrocarbon polymers), having a purity of 99.9 weight percent or more and a 
mean particle size of less than  10 micrometres measured by American Society for Testing and 
Materials (ASTM) B330 standard and a high degree of particle size  uniformity. 

Nickel powder or porous nickel metal, specially prepared for the manufacture  of gaseous  diffusion 
barriers, as follows: 
N.B.: SEE ALSO 1C240. 
a.  Powder with a nickel purity content of 99.9 weight percent or more and a mean particle size of 

less than  10 micrometres measured by American Society for Testing and Materials (ASTM) B330 
standard and a high degree of particle size uniformity;  or 

b.  Porous nickel metal produced from materials specified  in 0C006.a. 

0D 

Software 

0D001 

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

0E 

Technology 

0E001 

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

46 

CATEGORY  1 - MATERIALS, CHEMICALS, "MICROORGANISMS" & "TOXINS" 

1A Systems, Equipment  and Components 

1A001  Components made from fluorinated compounds, as follows: 

a. 

b. 

c. 

Seals, gaskets, sealants or fuel bladders specially designed for  "aircraft"  or aerospace use made 
from more than 50% by weight of any of the materials specified  in  lC009.b. or 1C009.C.; 

Piezoelectric polymers and copolymers made from vinylidene fluoride materials specified  in 
lC009.a.: 

1. In sheet or film form; and 
2. With a thickness exceeding 200 um; 

Seals, gaskets, valve seats, bladders or diaphragms made from fluoroelastomers containing at least 
one vinylether monomer, specially designed for  "aircraft",  aerospace or missile use. 

Note:  In lAOOl.c,  "missile" means complete rocket systems and unmanned air vehicle  systems. 

1A002. 

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

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

a. 

b. 

An organic "matrix" and made from materials specified  in  ICOlO.c., ICOlO.d. or  ICOlO.e.; or 

A metal or carbon  "matrix" and made from: 
1.  Carbon  "fibrous  or filamentary materials" with: 

a.  A "specific  modulus" exceeding  10.15x  106 m; and 
b.  A "specific  tensile" strength exceeding  17.7xl04m; or 

2.  Materials specified  in  ICOlO.c. 

Notes:  1.  1A002 does not control composite structures or laminates made from epoxy resin 

impregnated carbon  "fibrous or filamentary materials" for  the repair of aircraft 
structures or laminates, provided  the size does not exceed  lm^. 

2.  1A002 does not control finished or semi-finished  items specially designed for  purely 

civilian applications as follows: 
a.  Sporting  goods; 
b.  Automotive  industry; 
c.  Machine  tool industry; 
d.  Medical  applications. 

1A003.  Manufactures  of non-fluorinated polymeric substances specified  in  lC008.a.3. in film, sheet, tape or 

ribbon form with either of the following  characteristics: 
a.  With a thickness exceeding 0.254 mm; or 
b. 

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

Note:  1A003 does not control manufactures when coated or laminated with copper and designed  for 

the production  of electronic printed  circuit boards. 

1A004 

Protective and detection equipment and components, other than those specified  in military goods 
controls, as follows: 
N.B.: SEE ALSO 2B351 AND 2B352. 

a. 

b. 

Gas masks, filter canisters and decontamination  equipment therefor designed or modified  for 
defence  against biological agents or radioactive materials "adapted for use in war" or chemical 
warfare  (CW) agents and specially designed components  therefor; 

Protective suits, gloves and shoes specially designed or modified  for defence  against biological 
agents or radioactive materials "adapted for use in war" or chemical warfare  (CW) agents; 

47 

c. 

Nuclear, biological and chemical (NBC) detection systems specially designed or modified  for 
detection or identification  of biological agents or radioactive materials  "adapted for use in war" 
or chemical warfare  (CW) agents and specially designed components  therefor. 

Note:  1A004 does not control : 

a.  Personal  radiation monitoring dosimeters; 
b.  Equipment  limited by design or function  to protect  against hazards specific  to civil 
industries, such as mining, quarrying, agriculture, pharmaceuticals,  medical, 
veterinary, environmental, waste management, or to the food  industry. 

1A005 

Body armour, and specially designed components therefor,  other than those manufactured  to military 
standards or specifications  or to their equivalents in performance. 
N.B.: SEE ALSO MILITARY GOODS CONTROLS. 

Notes: 

1.  1A005 does not control individual suits of body armour and accessories  therefor, 

when accompanying  their users for  his/her own personal  protection. 

2.  1A005 does not control body armour designed to provide frontal protection  only 

from  both fragment and blast from non-military explosive devices. 

1A102 

Resâturated pyrolized carbon-carbon materials designed for space launch vehicles specified  in 9A004 
or sounding rockets specified  in 9A104. 

1A202 

1A225 

1A226 

1A227 

Composite structures, other than those specified  in  1A002, in the form of tubes with an inside 
diameter of between 75 mm and 400 mm made with any of the "fibrous  or filamentary materials" 
specified  in  ICOlO.a. or b. or  lC210.a. or with carbon prepreg materials specified  in 1C210.C. 
N.B.: SEE ALSO 9A010 AND 9A110. 

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

Specialized packings  for use in separating heavy water from ordinary water and made of phosphor 
bronze mesh (chemically treated to improve wettability) and designed for use in vacuum distillation 
towers. 

High-density (lead glass or other) radiation shielding windows greater than 0.09 m2 on cold area and 
with a density greater than 3 g/cm3 and a thickness of  100 mm or greater; and specially  designed 
frames  therefor. 

IB 

Test, Inspection and Production Equipment 

1B001 

Equipment for the production of fibres, prepregs, preforms  or "composites" specified  in  1A002 or 
1C010., as follows,  and specially designed components and accessories  therefor: 
JV.B.:SEE ALSO 1B101 AND 1B201. 

a. 

b. 

Filament winding machines of which the motions for positioning, wrapping and winding  fibres 
are coordinated and programmed in three or more axes, specially designed for the  manufacture 
of "composite" structures or laminates from  "fibrous  or filamentary  materials"; 

Tape-laying  or tow-placement machines of which the motions for positioning and laying tape, 
tows or sheets are coordinated and programmed in two or more axes, specially designed for  the 
manufacture  of "composite" airframe  or "missile" structures; 

Note:  In IBOOl.b.,  "missile" means complete rocket systems and unmanned air vehicle 

systems. 

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

48 

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

d. 

e. 

f. 

Equipment specially designed or adapted for the production of reinforcement  fibres,  as follows: 
1. 

Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon, pitch or 
polycarbosilane)  into carbon fibres or silicon carbide fibres, including special  equipment 
to strain the fibre during heating; 
Equipment for the chemical vapour deposition of elements or compounds on heated 
filamentary substrates to manufacture  silicon carbide fibres; 
Equipment for the wet-spinning  of refractory  ceramics (such as aluminium oxide); 
Equipment for converting aluminium containing precursor fibres into alumina fibres by 
heat treatment; 

2. 

3. 
4. 

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

Non-destructive  inspection equipment capable of inspecting defects  three dimensionally, using 
ultrasonic or X-ray tomography and specially designed for  "composite" materials. 

1B002  Systems and components therefor,  specially designed to avoid contamination and specially designed  for 

producing metal alloys, metal alloy powder or alloyed materials specified  in  lC002.a.2.,  lC002.b. or 
1C002.C. 

1B003  Tools, dies, moulds or fixtures, for  "superplastic forming" or "diffusion  bonding" titanium or  aluminium 

or their alloys, specially designed for the manufacture  of: 

a.  Airframe  or aerospace structures; 

b.  "Aircraft"  or aerospace engines; or 

c.  Specially designed components for those structures or engines. 

IB 101  Equipment, other than that specified  in  1B001, for the "production" of structural composites as  follows; 

and specially designed components and accessories  therefor: 
N.B.:SEE ALSO 1B201. 

Note:  Components and accessories specified in IB 101 include moulds, mandrels, dies, fixtures  and 

tooling for  the preform pressing,  curing, casting, sintering or bonding of composite  structures, 
laminates and manufactures thereof. 

a.  Filament winding machines of which the motions for positioning, wrapping and winding fibres can 

be coordinated and programmed  in three or more axes, designed to fabricate  composite  structures 
or laminates from fibrous or filamentary materials, and coordinating and programming  controls; 

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

c.  Equipment designed or modified  for the "production" of "fibrous  or filamentary materials" as 

follows: 
1.  Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon or polycarbosilane) 

including special provision to strain the fibre during heating; 

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

and 

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

d.  Equipment designed or modified  for special fibre surface treatment or for producing prepregs and 

preforms  specified  in entry 9A110. 

49 

Note: 

Equipment  covered in lBlOl.d  includes rollers, tension stretchers,  coating 
equipment, cutting equipment and clicker dies. 

1B115  Equipment for the "production", handling and acceptance testing of propellants or propellant 

constituents specified  in  1C01 l.a.,  1C01 l.b.,  ICI 11 or in the Military Goods Controls, and specially 
designed components  therefor. 

Notes:  1.  The only mixers specified  in 1B115 are those which have provision for  mixing under 

vacuum in the range of zero to 13.326 kPa and with temperature control capability of the 
mixing chamber: 
a.  Batch mixers having a total volumetric capacity of 110 litres or more and at least one 

mixing/kneading shaft mounted off centre; 

b.  Continuous mixers having two or more mixing/kneading shafts and capability  to open 

the mixing chamber. 

2.  For equipment specially designed for  the production  of military goods, see the Military 

Goods Controls. 

3.  1B115 does not control equipment for  the  "production ",  handling and acceptance  testing of 

boron carbide. 

1B116  Specially designed nozzles for producing pyrolitically derived materials formed  on a mould,  mandrel 
or other substrate from precursor gases which decompose in the  1573 K (1300°C) to 3173 K (2900°C) 
temperature range at pressures of  130 Pa to 20 kPa. 

1B201  Filament winding machines, other than those specified  in  1B001 or  IB 101, in which the motions  for 

positioning, wrapping, and winding fibres  are coordinated and programmed in two or more axes, 
specially designed to fabricate  composite structures or laminates from "fibrous  or filamentary 
materials" and capable of winding cylindrical rotors of diameter between 75 mm and 400 mm and 
lengths of 600 mm or greater and coordinating and programming  controls and precision mandrels 
therefor. 

1B225  Electrolytic cells for fluorine production with a production capacity greater than 250 g of fluorine  per 

hour. 

1B226  Electromagnetic isotope separators, designed for or equipped with,single or multiple ion sources 

capable of providing a total ion beam current of 50 mA or greater. 

Note: 

1B226 includes separators: 
a.  Capable of enriching stable isotopes; 
b.  With the ion sources and collectors both in the magnetic field and those configurations  in 

which they are external to the  field. 

1B227  Ammonia synthesis converters or ammonia synthesis units in which the synthesis gas (nitrogen and 

hydrogen) is withdrawn from  an ammonia/hydrogen  high-pressure  exchange column and the 
synthesized ammonia is returned to said column. 

1B228  Hydrogen-cryogenic  distillation columns having all of the following  characteristics: 

a.  Designed to operate with internal temperatures of 35 K (-238°C)  or less; 
b.  Designed to operate at an internal pressure of 0.5 to 5 MPa (5 to 50 atmospheres); 
c.  Constructed  of "fine-grain  stainless steels" of the 300 series with low sulphur content or equivalent 

cryogenic and H2-compatible materials; and 

d.  With internal diameters of  1  m or greater and effective  lengths of 5 m or greater. 

Technical Note: 
"Fine-grain stainless steels" in 1B228 are defined to be fine-grain austenitic stainless steels with an 
ASTM  (or equivalent standard) grain size number of 5 or greater. 

1B229  Water-hydrogen  sulphide exchange tray columns constructed from fine carbon steel with a diameter of 
1.8 m or greater, which can operate at a nominal pressure of 2 MPa or greater, and internal  contactors 
therefor. 

50 

Notes:  1.  For columns which are specially designed or prepared for  the production  of heavy water 

seeOB004. 

2.  Internal contactors of the columns are segmented  trays which have an effective assembled 
diameter of 1.8 m or greater, are designed to facilitate  countercurrent contacting and are 
constructed of materials resistant to corrosion by hydrogen sulphide/water  mixtures.  These 
may be sieve trays, valve trays, bubble cap trays, or turbogrid trays. 

3.  "Fine Carbon steel" in 1B229 is defined to be steel with the austenitic ASTM  (or equivalent 

standard) grain size number of 5 or greater. 

4.  Materials resistant to corrosion by hydrogen sulphide/water  mixtures in 1B229 are defined 

to be stainless steels with a carbon content of 0.03% or less. 

1B230  Pumps circulating solutions of diluted or concentrated potassium amide catalyst in liquid ammonia 

(KNH2/NH3), with all of the following  characteristics: 

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

b.  For concentrated potassium amide solutions  (1%  or greater), operating pressure of  1.5-60 MPa 

(15-600 atmospheres); for dilute potassium amide solutions (less than  1%),  operating pressure of 
20-60 MPa (200-600 atmospheres); and 

c.  A capacity greater than 8.5 mVhr. 

1B231  Tritium facilities, plant or equipment, as follows: 

a.  Facilities or plant for the production, recovery, extraction, concentration, or handling of tritium; 
b.  Equipment for tritium facilities  or plant, as follows: 

1.  Hydrogen or helium refrigeration  units capable of cooling to 23 K (-250°C)  or less, with heat 

removal capacity greater than  150 watts; or 

2.  Hydrogen isotope storage and purification  systems using metal hydrides as the storage, or 

purification  medium. 

1B232  Turboexpanders  or turboexpander-compressor  sets designed for operation below 35 K (-238°C) and a 

throughput of hydrogen gas of  1000 kg/hr or greater. 

1B233  Lithium isotope separation facilities, plant or equipment, as follows: 

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

b.  Equipment for the separation of lithium isotopes, as follows: 

1.  Packed liquid-liquid exchange columns specially designed for lithium amalgams; 
2.  Mercury and/or lithium amalgam pumps; 
3.  Lithium amalgam electrolysis cells; 
4.  Evaporators  for concentrated  lithium hydroxide  solution. 

1C 

Materials 

Technical Note: 

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

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

51 

Semi-fabricated forms  (whether or not coated, plated, drilled or  punched): 
a.  Wrought or worked materials fabricated  by rolling, drawing, extruding, forging,  impact  extruding, 
pressing,  graining,  atomising, and grinding,  i.e.: angles, channels, circles, discs, dust, flakes, foils 
and leaf, forging,  plate, powder, pressings  and stampings, ribbons, rings, rods (including  bare 
welding rods, wire rods, and rolled wire), sections, shapes, sheets, strip, pipe  and tubes  (including 
tube rounds, squares, and hollows), drawn or extruded wire; 

b.  Cast material produced  by casting in sand, die, metal, plaster  or other types of moulds,  including 

high pressure  castings, sintered forms,  and forms  made by powder  metallurgy. 

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

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

polymers, as follows: 
N.B.:SEE ALSO 1C101. 
a.  Materials for absorbing frequencies exceeding 2 x  108 Hz but less than 3 x  1012 Hz; 

Notes:  1. 

ICOOl.a. does not control: 
a.  Hair type absorbers, constructed of natural or synthetic fibres,  with 

non-magnetic  loading to provide  absorption; 

b.  Absorbers  having no magnetic loss and whose incident surface is 

non-planar  in shape, including pyramids,  cones, wedges and convoluted  surfaces; 

c.  Planar absorbers, having all of the following  characteristics: 

1.  Made from any of the following: 

a.  Plastic foam  materials (flexible or non-flexible) with  carbon-loading, 

or organic materials, including binders, providing  more than 5% echo 
compared with metal over a bandwidth exceeding ±15% of the centre 
frequency  of the incident energy, and not capable of withstanding 
temperatures exceeding 450 K (177 X);  or 

b.  Ceramic materials providing  more than 20% echo compared with 

metal over a bandwidth exceeding ±15% of the centre frequency of the 
incident energy, and not capable of withstanding  temperatures 
exceeding 800 K (52 7 °C); 

Technical Note: 
Absorption test samples for  ICOOl.a.  Note: I.e.I.  should  be a square  at 
least 5 wavelengths of the centre frequency on a side and positioned  in the 
far field  of the radiating element. 

2.  Tensile strength less than  7x10°  N/m*;  and 
3.  Compressive strength less than 14 x  10°  N/m*; 
d.  Planar absorbers made of sintered ferrite,  having: 

1.  A specific gravity exceeding 4.4; and 
2.  A maximum operating temperature of 548 K (275 °C). 

2.  Nothing  in ICOOl.a. releases magnetic materials to provide  absorption  when 

contained  in paint. 

b. 

c. 

Materials for absorbing  frequencies  exceeding  1.5  x  1014  Hz but less than 3.7 x  1014 Hz and 
not transparent to visible light; 

Intrinsically conductive polymeric materials with a bulk electrical conductivity  exceeding 
10,000 S/m (Siemens per metre) or a sheet (surface)  resistivity of less than  100 ohms/square, 
based on any of the following  polymers: 
1. 
2. 
3. 
4. 
5. 
Technical Note: 
Bulk electrical conductivity and sheet (surface) resistivity should be determined  using ASTM 
D-257 or national equivalents. 

Polyaniline; 
Polypyrrole; 
Polythiophene; 
Poly phenylene-vinylene; or 
Poly  thienylene-vinylene. 

52 

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

N.B.:SEE ALSO 1C202. 

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

substrates. 

a.  Metal alloys, as  follows: 

1.  Nickel or titanium-based alloys in the form of aluminides, as follows, in crude or semi-

fabricated  forms: 
a.  Nickel aluminides containing a minimum of  15 weight percent aluminium, a maximum of 

38 weight percent aluminium and at least one additional alloying  element; 

b.  Titanium aluminides containing  10 weight percent or more aluminium and at least one 

additional alloying  element; 

2.  Metal alloys, as follows, made from metal alloy powder or particulate material specified  in 

lC002.b.: 
a.  Nickel alloys with: 

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

or 

2.  A low cycle fatigue  life of  10,000 cycles or more at 823 K (550°C) at a maximum stress 

of  1,095  MPa; 

b.  Niobium alloys with: 

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

MPa; or 

2.  A low cycle fatigue  life of  10,000 cycles or more at 973 K (700°C) at a maximum stress 

of 700 MPa; 
c.  Titanium alloys with: 

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

or 

2.  A low cycle fatigue  life of  10,000 cycles or more at 723 K (450°C) at a maximum  stress 

of 400 MPa; 

d.  Aluminium alloys with a tensile strength  of: 
1.  240 MPa or more at 473 K (200°C); or 
2.  415MPaormoreat298K(25°C); 

e.  Magnesium alloys with a tensile strength of 345 MPa or more and a corrosion rate of less 
than  1  mm/year in 3% sodium chloride aqueous solution measured in accordance  with 
ASTM standard G-31 or national equivalents; 

* 

Technical Notes: 
1.  The metal alloys in lC002.a.  are those containing a higher percentage  by weight of the stated 

metal than of any other element. 

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

equivalents. 

3.  Low cycle fatigue  life should be measured in accordance  with ASTM Standard  E-606 

"Recommended Practice for  Constant-Amplitude Low-Cycle Fatigue  Testing" or national 
equivalents.  Testing should be axial with an average stress ratio equal to 1 and a stress-
concentration factor  (K() equal to 1. The average stress is defined as maximum stress  minus 
minimum stress divided by maximum stress. 

b.  Metal alloy powder or particulate material for materials specified  in  lC002.a., as  follows: 

1.  Made from  any of the following  composition systems: 

Technical Note: 
X in the following  equals one or more alloying elements. 
a.  Nickel alloys (Ni-Al-X, Ni-X-Al) qualified  for turbine engine parts or components,  i.e. with 
less than 3 non-metallic particles (introduced during the manufacturing  process)  larger than 
100 um in  109 alloy particles; 

53 

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

orNb-X-Ti); 

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

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

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

a.  "Vacuum atomisation"; 
b.  "Gas atomisation"; 
c.  "Rotary  atomisation"; 
d.  "Splat quenching"; 
e.  "Melt spinning" and  "comminution"; 
f.  "Melt extraction" and "comminution"; or 
g.  "Mechanical  alloying"; 

c.  Alloyed materials, in the form of uncomminuted  flakes, ribbons or thin rods produced in a 

controlled environment by "splat quenching",  "melt spinning" or "melt extraction", used in the 
manufacture  of metal alloy powder or particulate material specified  in  lC002.b. 

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

a. 

Initial relative permeability  of  120,000 or more and a thickness of 0.05 mm or less; 
Technical Note: 
Measurement  of initial permeability  must be performed  on fully  annealed  materials. 

b.  Magnetostrictive  alloys, having any of the following  characteristics: 

1.  A saturation magnetostriction  of more than 5 x  10"4; or 
2.  A magnetomechanical  coupling factor  (k) of more than 0.8; or 

c.  Amorphous  or nanocrystalline  alloy strips, having all of the following  characteristics: 

1.  A composition having a minimum of 75 weight percent of iron, cobalt or nickel; 
2.  A saturation magnetic induction (Bs) of 1.6 T or more; and 
3.  Any of the following:  " 

a.  A strip thickness of 0.02 mm or less; or 
b.  An electrical resistivity of 2 x  10"4 ohm cm or more. 

Technical Note: 
"Nanocrystalline" materials in 1C003.C.  are those materials having a crystal grain size of 50 nm or 
less, as determined by X-ray  diffraction. 

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

of the  following: 
a.  A density exceeding  17.5 g/cm3; 
b.  An elastic limit exceeding  1,250  MPa; 
c.  An ultimate tensile strength exceeding  1,270  MPa; and 
d.  An elongation exceeding  8%. 

1C005 

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

a.  Multifilamentary  "superconductive" "composite" conductors containing one or more  niobium-

titanium filaments : 
1.  Embedded  in a "matrix" other than a copper or copper-based mixed  "matrix"; or 
2.  Having a cross-section  area less than 0.28 x  lO^mm2 (6 urn in diameter for circular  filaments); 

b. 

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

54 

1.  A "critical temperature" at zero magnetic induction exceeding 9.85 K (-263.31°C) but less than 

24K(-249.16°C); 

2.  A cross-section area less than 0.28 x  10"4 mm2; and 
3.  Remaining in the "superconductive" state at a temperature of 4.2 K (-268.96°C) when exposed 

to a magnetic field corresponding to a magnetic induction of  12 T. 

1C006  Fluids and lubricating materials, as follows: 

a.  Hydraulic fluids containing, as their principal ingredients, any of the following  compounds or 

materials: 
1.  Synthetic hydrocarbon  oils or silahydrocarbon  oils, having all of the  following: 

Note:  For the purpose  of 1C006.a. I., silahydrocarbon  oils contain exclusively  silicon, 

hydrogen and carbon. 

a.  A flash point exceeding 477 K (204°C); 
b.  A pour point at 239 K (-34°C) or less; 
c.  A viscosity index of 75 or more; and 
d.  A thermal stability at 616 K(343°C); or 

2.  Chlorofluorocarbons,  having all of the  following: 

Note:  For the purpose  of lC006.a.2.,  chlorofluorocarbons  contain exclusively  carbon, 

fluorine  and chlorine. 

a.  No flash  point; 
b.  An autogenous ignition temperature exceeding 977 K (704°C); 
c.  A pour point at 219 K(-54°C) or less; 
d.  A viscosity index of 80 or more; and 
e.  A boiling point at 473 K (200°C) or higher; 

b.  Lubricating materials containing, as their principal ingredients, any of the following  compounds  or 

materials: 
1.  Phenyléne or alkylphenylene ethers or thio^ethers, or their mixtures, containing more than two 

ether or thio-ether functions  or mixtures thereof; or 

2.  Fluorinated silicone fluids with a kinematic viscosity of less than 5,000 mm2/s (5,000 

centistokes) measured at 298 K (25°C); 

c.  Damping or flotation fluids with a purity exceeding 99.8%, containing less than 25 particles of 

200 um or larger in size per  100 ml and made from at least 85% of any of the  following 
compounds or materials: 
1.  Dibromotetrafluoroethane; 
2.  Polychlorotrifluoroethylene  (oily and waxy modifications  only); or 
3.  Polybromotrifluoroethylene; 

d.  Fluorocarbon  electronic cooling fluids, having all of the following  characteristics: 

1.  Containing  85% by weight or more of any of the following,  or mixtures thereof: 

a.  Monomelic  forms of perfluoropolyalkylether-triazines  or  perfluoroaliphatic-ethers; 
b.  Perfluoroalkylamines; 
c.  Perfluorocycloalkanes;  or 
d.  Perfluoroalkanes; 

2.  Density at 298 K (25°C) of 1.5 g/ml or more; 
3.  In a liquid state at 273 K (0°C); and 
4.  Containing 60% or more by weight of fluorine. 

Technical Note: 
For the purpose  of 1C006: 

a.  Flash point  is determined using the Cleveland Open Cup Method described in 

ASTMD-92  or national equivalents; 

b.  Pourpoint  is determined using the method described in ASTMD-97  or national  equivalents; 
c.  Viscosity index is determined using the method described in ASTM D-2270 or national 

equivalents; 

55 

d.  Thermal stability  is determined by the following  test procedure  or national  equivalents: 
Twenty ml of the fluid under test is placed  in a 46 ml type 317 stainless steel  chamber 
containing one each of 12.5 mm (nominal) diameter balls ofM-10  tool steel, 52100 steel and 
naval bronze (60% Cu, 39% Zn, 0.75% Sn); 

The chamber is purged  with nitrogen, sealed at atmospheric pressure  and the temperature 
raised to and maintained  at 644± 6 K (371± 6°C) for  six hours; 
The specimen  will be considered thermally stable if  on completion of the above procedure,  all 
of the following  conditions are met: 
1.  The loss in weight of each ball is less than 10 mg/mm^  of ball surface; 
2.  The change in original viscosity as determined at 311 K (38 °C)  is less than 25%; and 
3.  The total acid or base number is less than 0.40; 

e.  Autogenous  ignition temperature is determined using the method described in ASTME-659  or 

national  equivalents. 

1C007  Ceramic base materials, non-"composite" ceramic materials, ceramic-"matrix"  "composite" materials 

and precursor materials, as follows: 
N.B.: SEE ALSO  1C107. 

a.  Base materials of single or complex borides of titanium having total metallic impurities, excluding 
intentional additions, of less than 5,000 ppm, an average particle size equal to or less than 5 um 
and no more than  10% of the particles larger than  10 urn; 

b.  Non-"composite" ceramic materials in crude or semi-fabricated  form, composed of borides of 

titanium with a density of 98% or more of the theoretical density; 
Note:  lC007.b.  does not control abrasives. 

c.  Ceramic-ceramic  "composite" materials with a glass or oxide-"matrix" and reinforced  with fibres 

made from any of the following  systems: 
1.  Si-N; 
2.  Si-C; 
3.  Si-Al-0-N;or 
4.  Si-O-N; 
having a specific  tensile strength exceeding  12.7 x  103m; 

d.  Ceramic-ceramic  "composite" materials, with or without a continuous metallic phase, incorporating 
particles, whiskers or fibres, where carbides or nitrides of silicon, zirconium or boron form  the 
"matrix"; 

e.  Precursor materials (i.e., special purpose polymeric or metallo-organic materials) for  producing 

any phase or phases of the materials specified  in  1C007.C, as follows: 
1.  Polydiorganosilanes (for producing silicon carbide); 
2.  Polysilazanes (for producing silicon nitride); 
3.  Polycarbosilazanes  (for producing ceramics with silicon, carbon and nitrogen components); 

f.  Ceramic-ceramic  "composite" materials with an oxide or glass "matrix" reinforced  with  continuous 

fibres from any of the following  systems: 
1.  A1203;  or 
2.  Si-C-N. 
Note: 

lC007.f  does not control  "composites" containing fibres from these systems with a fibre 
tensile strength of less than 700 MPa at 1,273 K (1,000°C) or fibre tensile creep  resistance 
of more than 1% creep strain at 100 MPa load and  1,273 K (1,000 °C) for  100 hours. 

1C008  Non-fluorinated  polymeric substances, as follows: 

a,  1.  Bismaleimides; 

2.  Aromatic polyamide-imides; 
3.  Aromatic polyimides; 

56 

4.  Aromatic polyetherimides having a glass transition temperature (Tg) exceeding 513 K (240° C) 

determined using the dry method described in ASTM D 3418;' 
lC008.a.  does not control non-fusible compression moulding powders  or moulded  forms. 

Note: 

b.  Thermoplastic  liquid crystal copolymers having a heat distortion temperature exceeding 523 K 

(250°C) measured according to ASTM D-648, method A, or national equivalents, with a load of 
1.82 N/mm2 and composed  of: 
1.  Any of the  following: 

a.  Phenylene, biphenylene or naphthalene; or 
b.  Methyl, tertiary-butyl or phenyl substituted phenylene, biphenylene or naphthalene; and 

2.  Any of the following  acids: 
a.  Terephthalic  acid; 
b.  6-hydroxy-2  naphthoic acid; or 
c.  4-hydroxybenzoic  acid; 

c.  Polyarylene ether ketones, as follows: 
1.  Polyether ether ketone (PEEK); 
2.  Polyether ketone ketone (PEKK); 
3.  Polyether ketone (PEK) ; 
4.  Polyether ketone ether ketone ketone (PEKEKK); 

d.  Polyarylene ketones; 

e.  Polyarylene sulphides, where the arylenë group is biphenylene, triphenylene or combinations 

thereof; 

f.  Polybiphenylehethersulphone. 

Technical Note: 
The glass  transition temperature (Tg) for  1C008 materials is determined using the method described in 
ASTM D 3418 using the dry method. 

1C009  Unprocessed fluorinated compounds, as follows: 

a.  Copolymers of vinylidene fluoride  having 75% or more beta crystalline structure  without 

stretching; 

b.  Fluorinated polyimides containing  10% by weight or more of combined  fluorine; 
c.  Fluorinated phosphazene  elastomers containing 30% by weight or more of combined  fluorine. 

ICO 10 

"Fibrous or filamentary materials" which may be used in organic "matrix", metallic  "matrix" or carbon 
"matrix" "composite" structures or laminates, as follows: 
N.B.: SEE ALSO 1C210. 

a.  Organic  "fibrous  or filamentary materials", having all of the  following: 

1.  A specific  modulus exceeding  12.7 x  106 m; and 
2.  A specific  tensile strength exceeding 23.5 x  104 m; 
ICOlO.a. does not control polyethylene. 
Note: 

b.  Carbon  "fibrous  or filamentary  materials", having all of the  following: 

1.  A specific  modulus exceeding  12.7 x  106 m; and 
2.  A specific  tensile strength exceeding 23.5 x  104 m; 

Technical Note: 
Properties for  materials described in ICOlO.b.  should be determined using S ACM A  recommended 
methods SRM12  to 17, or national equivalent tow tests, such as Japanese Industrial Standard JIS-
R-7601,  Paragraph  6.6.2., and based on lot average. 

57 

,  Note: 

ICOlO.b. does not control fabric  made from "fibrous or filamentary materials" for  the 
repair of aircraft structures or laminates, in which the size of individual sheets does not 
exceed 50 cm x 90 cm. 

c. 

Inorganic  "fibrous  or filamentary  materials", having all of the  following: 
1. 
2. 

A specific  modulus exceeding 2.54 x  106 m; and 
A melting, softening,  decomposition or sublimation point exceeding  1,922 K 
(1,649°C) in an inert environment; 

Note:  1C010.c. does not control: 

. 

1.  Discontinuous,  multiphase, polycrystalline  alumina fibres  in chopped fibre or 
random mat form,  containing 3 weight percent  or more silica, with a  specific 
modulus of less than 10 x  10^ m; 

2.  Molybdenum and molybdenum alloy fibres; 
3.  Boron fibres; 
4.  Discontinuous ceramic fibres with a melting, softening, decomposition  or 
sublimation point  lower than 2,043 K (1,770 °C)  in an inert  environment. 

d. 

e. 

2. 

2. 

"Fibrous or filamentary materials": 
1. 

Composed of any of the following : 
a.  Polyetherimides specified  in  1C008.a.; or 
b.  Materials specified  in  lC008.b. to  lC008.f.; or 
Composed of materials specified  in  ICOlO.d.l.a. or  ICOlO.d.l.b.; and  "commingled" 
with other fibres  specified  in  ICOlO.a.,  ICOlO.b. or  ICOlO.c.; 

Resin-impregnated  or pitch-impregnated fibres (prepregs), metal or 
carbon-coated fibres (preforms)  or "carbon fibre preforms", as follows: 
'1. 

Made from  "fibrous  or filamentary  materials" specified  in  ICOlO.a.,  ICOlO.b. 
orCOlO.c; 
Made from  organic or carbon  "fibrous  or filamentary materials": 
a.  With a "specific  tensile strength" exceeding  17.7 x  104 m; 
b.  With a "specific  modulus" exceeding  10.15 x  106 m; 
c.  Not controlled by  ICOlO.a. or  ICOlO.b.; and 
d.  When impregnated with materials specified  in  1C008 or  lC009.b., having a glass 
transition temperature (Tg) exceeding 383 K (110°C) or with phenolic or epoxy 
resins, having a glass transition temperature (Tg) equal to or exceeding 418 K 
(145°C). 

Notes: ICOlO.e. does not control: 

1.  Epoxy resin  "matrix" impregnated carbon  "fibrous or filamentary materials" 
(prepregs) for  the repair of aircraft strictures  or laminates, in which the size 
of individual sheets ofprepreg  does not exceed 50 cm x  90 cm; 

2.  Prepregs when impregnated with phenolic  or epoxy resins having a glass 

transition temperature (Tg) less than 433 K (160°C) and a cure  temperature 
lower than the glass transition temperature. 

Technical Note: 
The glass transition temperature (Tg) for  ICOlO.e. materials is determined using the method 
described in ASTM D 3418 using the dry method. The glass transition temperature for 
phenolic  and epoxy resins is determined using the method described in ASTM D 4065 at a 
frequency  of 1 Hz and a heating rate of 2 K (°C) per  minute using the dry method. 

1C011 

Metals and compounds, as follows: 
N.B.: SEE ALSO MILITARY  GOODS CONTROLS  and  1C111. 

a. 

Metals in particle sizes of less than 60 urn whether spherical, atomised, spheroidal, flaked  or 
ground, manufactured  from material consisting of 99% or more of zirconium,  magnesium 
and alloys of these; 
N.B.:  The metals or alloys listed in ICO 11.a. are controlled whether or not the metals or 
alloys are encapsulated in aluminium, magnesium, zirconium or beryllium. 

b. 

Boron  or boron  carbide  of  85% purity  or higher  and  a particle  size  of  60  urn  or  less; 
N.B.:  The  metals  or  alloys  listed  in  ICOll.b.  are  controlled  whether  or  not  the  metals  or 

alloys  are  encapsulated 

in  aluminium,  magnesium,  zirconium  or  beryllium. 

c. 

Guanidine  nitrate. 

1 CO 12 

Materials  for  nuclear  heat  sources,  as  follows: 

a. 

Plutonium  in  any  form  with  a plutonium  isotopic  assay  of 
plutonium-238  of more  than  50%  by  weight;  * 
Note:  1 CO 12.a.  does  not  control  : 

1.  Shipments  with  a plutonium  content  of  1 g  or  less; 
2.  Shipments  of  3  "effective  grammes"  or  less  when  contained 

in  a  sensing 

component 

in 

instruments. 

b. 

"Previously  separated"  neptunium-237  in any  form. 
Note: 

lC012.b.  does  not  control  shipments  with  a  neptunium-237  content  of  1 g  or  less. 

1C101 

Materials  and  devices  for  reduced  observables  such  as radar  reflectivity, 
ultraviolet/infrared  signatures  and  acoustic  signatures,  other  than  those  specified  in  1C001,  usable 
in  "missiles"  and  their  subsystems. 

Notes:  1. 

ICI  01 

includes: 

a.  Structural  materials  and  coatings  specially  designed  for  reduced  radar 
reflectivity; 
b.  Coatings,  including  paints,  specially  designed  for  reduced  or  tailored  reflectivity  or 
electromagnetic 

infra  red  or  ultra  violet  regions  of  the 

emissivity  in  the  microwave, 
spectrum. 

2.  ICI  01  does  not  include  coatings  when  specially  used for  the  thermal  control  of 

satellites. 

I C I 07  Graphite  and  ceramic  materials,  other  than  those  specified  in  1C007,  as  follows: 

a.  Fine  grain  recrystallised bulk  graphites  having  a bulk  density  of  1.72 g/cm3  or  greater,  measured  at 
288  K  (15°C),  and  having  a particle  size  of  100 micrometres  or  less, pyrolytic  or  fibrous  reinforced 
graphites, usable  for  rocket  nozzles  and  reentry  vehicle  nose  tips; 

b.  Ceramic  composite  materials  (dielectric  constant  less than  6 at  frequencies  from  100 Hz  to  10,000 

MHz),  also usable  for  radomes,  and bulk  machinable  silicon-carbide  reinforced  unfired  ceramic, 
usable  for  nose  tips. 

ICI  11 

Propellants  and  constituent  chemicals  for  propellants,  other  than  those  specified  in  1C011,  as  follows: 

a.  Propulsive  substances: 

1.  Spherical  aluminium  powder,  other  than  that  specified  in the  Military  Goods  Controls,  with 

particles  of uniform  diameter  of  less than  500 micrometre  and  an  aluminium  content  of 9 7%  by 
weight  or  greater; 

2.  Metal  fuels,  other  than  that  specified  in the  Military  Goods  Controls,  in particle  sizes  of  less 
than  500 micrometres,  whether  spherical,  atomized,  spheroidal,  flaked  or  ground,  consisting 
97%  or more by  weight  of  any  of the  following: 
a.  Zirconium; 
b.  Beryllium; 
c.  Boron; 
d.  Magnesium;  or 
e.  Alloys  of the metals  specified  by  a.  to  d.  above; 

3.  Liquid  oxidisers, the  following: 

a.  Dinitrogen  trioxide; 

59 

b.  Nitrogen dioxide/dinitrogen  tetroxide; 
c.  Dinitrogen pentoxide; 

b.  Polymeric  substances: 

1.  Carboxy-terminated polybutadiene (CTPB); 
2.  Hydroxy-temiinated polybutadiene (HTPB), other than that specified  in the Military  Goods 

Controls; 

3.  Polybutadiene-acrylic  acid (PBAA); 
4.  Polybutadiene-acrylic  acid-acrylonitrile (PBAN); 

c.  Other propellant additives and agents: 

1.  "SEE MILITARY GOODS CONTROLS FOR Butacene"; 
2.  Triethylene glycol dinitrate (TEGDN); 
3.  2-Nitrodiphenylamine. 
4.  Trimethylolethane trinitrate (TMETN); 
5.  Diethylene glycol dinitrate (DEGDN). 
6.  Ferrocene derivatives other than those specified  in the Military Goods Controls. 

Note:  For propellants  and constituent chemicals for propellants  not specified  in ICI  11, see the 

Military  Goods Controls. 

ICI 16  Maraging steels (steels generally characterised by high nickel, very low carbon content and the use of 
substitutional elements or precipitates to produce age-hardening) having an ultimate tensile strength of 
1500 MPa or greater, measured at 293 K (20°C), in the form  of sheet, plate or tubing with a wall or 
plate thickness equal to or less than 5 mm. 
N.B.: SEE ALSO 1C216. 

1 CI 17  Tungsten, molybdenum and alloys of these metals in the form of uniform  spherical or atomized 

particles of 500 micrometre diameter or less with a purity of 97% or greater for fabrication  of rocket 
motor components, i.e., heat shields, nozzle substrates, nozzle throats and thrust vector control 
surfaces. 

1C202  Alloys, other than those specified  in  lC002.a.2.c. or d., as follows: 

a.  Aluminium  "alloys capable of  an ultimate tensile strength of 460 MPa or more at 293 K (20°C), in 

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

b.  Titanium "alloys capable of  an ultimate tensile strength of 900 MPa or more at 293 K (20°C) in 

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

Technical Note: 
The phrase  "alloys capable of  encompasses alloys before or after heat treatment. 

1C210 

"Fibrous or filamentary materials" or prepregs, other than those specified  in  ICOlO.a., b. or e., as 
follows: 

a.  Carbon or aramid "fibrous  or filamentary  materials" having  a "specific  modulus" of  12.7 x  106 m 

or greater or a "specific  tensile strength" of 235 x  103 m or greater; 
except: 
Aramid  "fibrous  or filamentary materials" having 0.25 percent or more by weight of an ester based 
fibre surface  modifier; 

b.  Glass "fibrous  or filamentary materials" having a "specific  modulus" of 3.18 x  106 m or greater and 

a  "specific  tensile strength" of 76.2 x  103 m or greater; or 

60 

c.  Thermoset resin impregnated continuous  "yarns", "rovings", "tows" or "tapes" with a width no 

greater than  15 mm (prepregs), made from  carbon or glass "fibrous  or filamentary materials" 
specified  in  lC210.a. or b. 

Technical Note: 
The resin forms  the matrix of the composite. 
Note: 

In 1C210, "fibrous or filamentary materials" is restricted to continuous  "monofilaments", 
"yarns", "rovings", "tows"or  "tapes". 

1C216  Maraging steel, other than that specified  in  ICI 16, capable of an ultimate tensile strength of 2,050 MPa 

or more, at 293 K (20°C); 
except: 
Forms in which no linear dimension exceeds 75 mm. 

Technical Note: 
The phrase  "maraging steel capable of  encompasses maraging steel before or after heat  treatment. 

1C225  Boron and boron compounds, mixtures and loaded materials in which the boron-10 isotope is more 

than 20% by weight of the total boron content. 

1C226  Tungsten, as follows: parts made of tungsten, tungsten carbide, or tungsten alloys (greater than 90% 

tungsten) having a mass greater than 20 kg and a hollow cylindrical symmetry (including  cylinder 
segments) with an inside diameter greater than  100 mm but less than 300 mm; 
except: 
Parts specially designed for use as weights or gamma-ray collimators. 

1C227  Calcium (high purity) containing both less than  1,000 parts per million by weight of metallic  impurities 

other than magnesium and less than  10 parts per million of boron. 

1C228  Magnesium (high purity) containing both less than 200 parts per million by weight of metallic 

impurities other than calcium and less than  10 parts per million of boron. 

1C229  High purity (99.99% or greater) bismuth with very low silver content (less than  10 parts per million). 

1C230  Beryllium metal, alloys containing more than 50% of beryllium by weight, beryllium compounds, or 

manufactures  thereof; 
except: 
a.  Metal windows for X-ray machines, or for bore-hole  logging devices; 
b.  Oxide shapes in fabricated  or semi-fabricated  forms  specially designed for electronic  component 

parts or as substrates for electronic circuits; 

c.  Beryl (silicate of beryllium and aluminium) in the form  of emeralds or aquamarines. 
Note:  1C230 includes waste and scrap containing beryllium as defined above. 

1C231  Hafnium  metal, alloys and compounds of hafnium  containing more than 60% hafnium  by weight and 

manufactures  thereof. 

1C232  Helium-3 or helium isotopically enriched  in the helium-3 isotope, mixtures containing helium-3, or 

products or devices containing any of the  foregoing; 
except: 
A product or device containing  less than  1  g of helium-3. 

1C233  Lithium enriched in the 6 isotope (6Li) to greater than 7.5 atom percent, alloys, compounds or mixtures 

containing  lithium enriched in the 6 isotope, or products or devices containing  any of the  foregoing; 
except: 
Thermoluminescent  dosimeters. 

Technical Note: 
The natural occurrence of the 6 isotope in lithium is 7.5 atom percent. 

61 

1C234  Zirconium with a hafnium  content of less than  1  part hafnium  to 500 parts zirconium by weight, in the 
form  of metal, alloys containing more than 50% zirconium by weight, or compounds, or  manufactures 
wholly thereof; 
except: 
Zirconium in the form of foil having a thickness not exceeding 0.10 mm. 

Note:  1C234 includes waste and scrap containing zirconium as defined here. 

1C235  Tritium, tritium compounds, mixtures containing tritium in which the ratio of tritium to hydrogen by 

atoms exceeds  1  part in  1000, or products or devices containing any of the  foregoing; 
except: 
A product or device containing not more than  1.48 x  103 GBq (40 Ci) of tritium in any  form. 

1C236  Alpha-emitting  radionuclides having an alpha half-life  of  10 days or greater but less than 200 years, 

compounds or mixtures containing any of these radionuclides with a total alpha activity of 37 GBq/kg 
(1 Ci/kg) or greater, or products or devices containing any of the  foregoing; 
except: 
A product or device containing less than 3.7 GBq (100 millicuries) of alpha activity. 

1C237  Radium-226, radium-226 compounds, mixtures containing radium-226, or products or devices 

containing any of the  foregoing; 
except: 
a.  Medical applicators; 
b.  A product or device containing not more than 0.37 GBq (10 millicuries) of radium-226 in any 

form. 

1C238  Chlorine trifluoride  (C1F3). 

1C239  High explosives, other than those specified  in the Military Goods Controls, or substances or mixtures 

containing more than 2% thereof, with a crystal density greater than  1.8 gm per cm3 and having a 
detonation velocity greater than 8,000 m/s. 

1C240  Nickel powder or porous nickel metal, other than those specified  in 0C006, as  follows: 

a.  Powder with a nickel purity content of 99.0% by weight or greater and a mean particle size of less 
than  10 micrometres measured by American Society for Testing and Materials (ASTM) B330 
standard; 
except: 
Filamentary nickle powders; 

b.  Porous nickle powder produced from materials specified  in  lC240.a.; 

except: 
Single porous nickle sheets not exceeding  1,000  cm2 per sheet. 

Note:  1 C240.b. refers to porous  metal formed  by compacting and sintering the materials in 

lC240.a.  to form  a metal material with fine pores  interconnected throughout  the structure. 

1C350  Chemicals, which may be used as precursors for toxic chemical agents, as follows: 

N.B.: SEE ALSO  1C450 

N.B.: SEE ALSO MILITARY GOODS CONTROLS. 

1.  Thiodiglycol (111-48-8); 
2.  Phosphorus oxychloride (10025-87-3); 
3.  Dimethyl methylphosphonate  (756-79-6); 
4.  SEE MILITARY GOODS CONTROLS FOR 
Methyl phosphonyldifluoride  (676-99-3); 
5.  Methyl phosphonyl dichloride (676-97-1); 

62 

6.  Dimethylphosphite  (868-85-9); 
7.  Phosphorus trichloride (7719-12-2); 
8.  Trimethyl phosphite (121-45-9); 
9.  Thionyl chloride (7719-09-7); 
10.  3-Hydroxy-l-methylpiperidine (3554-74-3); 
11.  N,N-Diisopropyl-(beta)-aminoethyl  chloride (96-79-7); 
12.  N,N-Diisopropyl-(beta)-aminoethane  thiol (5842-07-9); 
13.  3-Quinuclidinol (1619-34-7); 
14.  Potassium fluoride (7789-23-3); 
15.  2-Chloroethanol (107-07-3); 
16.  Dimethylamine  (124-40-3); 
17.  Diethyl ethylphosphonate (78-38-6); 
18.  Diethyl-N,N-dimethylphosphoramidate (2404-03-7); 
19.  Diethyl phosphite (762-04-9); 
20.  Dimethylamine hydrochloride  (506-59-2); 
21.  Ethyl phosphinyl dichloride (1498-40-4); 
22.  Ethyl phosphonyl dichloride ( 1066-50-8); 
23.  Ethyl phosphonyl difluoride  (753-98-0); 
24.  Hydrogen fluoride (7664-39-3); 
25.  Methyl benzilate (76-89-1); 
26.  Methyl phosphinyl dichloride (676-83-5); 
27.  N,N-Diisopropyl-(beta)-amino  ethanol (96-80-0); 
28.  Pinacolyl alcohol (464-07-3); 
29.  SEE MILITARY GOODS CONTROLS FOR 

o-Ethyl-2-diisopropylaminoethyl  methylphosphonite  (57856-11-8); 

30.  Triethyl phosphite (122-52-1); 
31.  Arsenic trichloride (7784-34-1); 
32.  Benzilic acid (76-93-7); 
33.  Diethyl methylphosphonite  (15715-41-0); 
34.  Dimethyl ethylphosphonate  (6163-75-3); 
35.  Ethyl phosphinyl difluoride  (430-78-4); 
36.  Methyl phosphinyl difluoride  (753-59-3); 
37.  3-Quinuclidone (3731^38-2); 
38.  Phosphorus pentachloride  (10026-13-8); 
39.  Pinacolone (75-97-8); 
40.  Potassium cyanide (151-50-8); 
41.  Potassium bifluoride  (7789-29-9); 
42.  Ammonium hydrogen fluoride  (1341 -49-7); 
43.  Sodium fluoride  (7681-49-4); 
44.  Sodium bifluoride  (1333-83-1); 
45.  Sodium cyanide (143-33-9); 
46.  Triethanolamine (102-71-6); 
47.  Phosphorus pentasulphide  (1314-80-3); 
48.  Di-isopropylamine (108-18-9); 
49.  Diethylaminoethanol (100-37-8); 
50.  Sodium sulphide (1313-82-2); 
51.  Sulphur monochloride  ( 10025-67-9); 
52.  Sulphur dichloride  (10545-99-0); 
53.  Triethanolamine hydrochloride  (637-39-8); 
54.  N,N-Diisopropyl-(Beta)-aminoethyl  chloride hydrochloride (4261-68-1). 

1C351  Human pathogens, zoonoses and "toxins", as follows: 

a.  Viruses, whether natural, enhanced or modified,  either in the form of "isolated live cultures" or as 
material including  living material which has been deliberately inoculated or contaminated with 
such cultures, as  follows: 
1.  Chikungunya virus; 
2.  Congo-Crimean haemorrhagic fever virus; 
3.  Dengue fever virus; 

63 

4.  Eastern equine encephalitis virus; 
5.  Ebola virus; 
6.  Hantaan virus; 
7.  Junin virus; 
8.  Lassa fever virus; 
9.  Lymphocytic choriomeningitis virus; 
10.  Machupo virus; 
11.  Marburg virus; 
12.  Monkey pox virus; 
13. 
14. 

Rift Valley fever virus; 
Tick-borne encephalitis virus 
(Russian Spring-Summer encephalitis virus); 

15.  Variola virus; 
16.  Venezuelan equine encephalitis virus; 
17.  Western equine encephalitis virus; 
18.  Whitepox; 
19.  Yellow fever virus; 
20. 

Japanese encephalitis virus; 

Rickettsiae, whether natural, enhanced or modified,  either in the form of "isolated live cultures" or 
as material including living material which has been deliberately  inoculated or contaminated  with 
such cultures, as  follows: 
1.  Coxiella burnetii; 
2.  Bartonella quintana (Rochalimaea  quintana, Rickettsia  quintana); 
3.  Rickettsia prowasecki; 
4.  Rickettsia  rickettsii; 

Bacteria, whether natural, enhanced or modified,  either in the form  of "isolated live cultures" or as 
material including living material which has been deliberately inoculated or contaminated with 
such cultures, as  follows: 
1. Bacillus anthracis; 
2.  Brucella abortus; 
3.  Brucella melitensis; 
4.  Brucella suis; 
5.  Chlamydia psittaci; 
6.  Clostridium  botulinum; 
7.  Francisella tularensis; 
8.  Burkholderia mallei (Pseudomonas mallei); 
9.  Burkholderia pseudomallei (Pseudomonas pseudomallei); 
10. 
11. 
12.  Vibrio cholerae; 
13.  Yersinia pestis; 

Salmonella typhi; 
Shigella dysenteriae; 

"Toxins", as follows, and "sub-unit of toxins" thereof: 
1. Botulinum toxins; 
2.  Clostridium perfringens  toxins; 
3.  Conotoxin; 
4.  Shiga toxin; 
5.  Staphylococcus  aureus toxins; 
6.  Tetrodotoxin; 
7.  Verotoxin; 
8.  Microcystin  (Cyanginosin); 
9.  Aflatoxins 

except: 
Any goods specified  in  1C351 in the form  of a "vaccine" or "immunotoxin' 

64 

1C352  Animal pathogens, as follows : 

Viruses, whether natural, enhanced or modified,  either in the form of "isolated live cultures" or as 
material including living material which has been deliberately inoculated or contaminated  with 
such cultures, as follows: 

1. African  swine fever virus; 
2.  Avian influenza  virus, which are: 
a.  Uncharacterised; or 
b.  Defined  in EC Directive 92/40/EC (O.J. L.16 23.1.92 p. 19) as having high 

pathogenicity, as follows: 
1. 

2. 

Type A viruses with an F/PI (intravenous pathogenicity  index) in 6 week old 
chickens of greater than  1.2; or 
Type A viruses H5 or H7 subtype for which nucletide sequencing has 
demonstrated multiple basic amino acids at the cleavage site of 
haemagglutinin; 

3.  Bluetongue virus; 
4.  Foot and mouth disease virus; 
5.  Goat pox virus; 
6.  Porcine herpes virus (Aujeszky's  disease); 
7.  Swine fever virus (Hog cholera virus); 
8.  Lyssa virus; 
9.  Newcastle disease virus; 
10. 
11. 
12.  Rinderpest virus ; 
Sheep pox virus; 
13. 
14. 
Teschen disease virus; 
15.  Vesicular stomatitis virus ; 

Peste des petits ruminants virus; 
Porcine enterovirus type 9 (swine vesicular disease virus); 

b.  Mycoplasma mycoides, 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 Mycoplasma mycoides. 

except: 
Any goods specified  in  1C352 in the form of a "vaccine". 

1C353  Genetically-modified  "microorganisms", as follows: 

a.  Genetically modified  "microorganisms" or genetic elements that contain nucleic acid sequences 
associated with pathogenicity of organisms specified  in  lC351.a. to c. or  1C352 or  1C354; 

b.  Genetically modified  "microorganisms" or genetic elements that contain nucleic acid  sequences 

coding for any of the "toxins" specified  in  lC351.d. or "sub-units of toxins" thereof. 

1C354  Plant pathogens, as follows: 

a.  Bacteria, whether natural, enhanced or modified,  either in the form of "isolated live cultures" or as 
material which has been deliberately  inoculated or contaminated with such cultures, as follows: 
1. Xanthomonas albilineans; 
2.  Xanthomonas campestris pv. cirri including strains referred  to as Xanthomonas campestris pv. 
cirri types A,B,C,D,E or otherwise classified  as Xanthomonas cirri, Xanthomonas 
campestris pv. aurantifolia  or Xanthomonas campestris pv. citrumelo; 

b.  Fungi, whether natural, enhanced or modified,  either in the form of "isolated live cultures" or as 
material which has been deliberately inoculated or contaminated with such cultures, as follows: 
1. Colletotrichum coffeanum  var. virulans (Colletotrichum kahawae); 
2.  Cochliobolus miyabeanus (Helminthosporium oryzae); 
3.  Microcyclus ulei (syn. Dothidella ulei); 

65 

4.  Puccinia graminis (syn. Puccinia graminis f.  sp. tritici); 
5.  Puccinia striiformis  (syn. Puccinia glumarum); 
6.  Magnaporthe grisea (pyricularia grisea/pyricularia oryzae). 

"1C450  Toxic chemicals and toxic chemicals precursors, as follows: 

N.B.: SEE ALSO 1C350, lC351.d. AND MILITARY GOODS CONTROLS. 

a.  Toxic chemicals, as follows: 

1.  Amiton: 0,0-Diethyl S-[2-(diethylamino)ethyl]  phosphorothiolate  (78-53-5) and 

corresponding alkylated or protonated salts; 

2.  PFIB:  l,l,3,3,3-Pentafluoro-2-(trifluoromethyl)-l-propene  (382-21-8); 

3.  SEE MILITARY GOODS CONTROLS FOR 
BZ: 3-Quinuclidinyl benzilate (6581-06-2); 

4.  Phosgene: carbonyl dichloride (75-44-5); 

5.  Cyanogen chloride (506-77-4); 

6.  Hydrogen cyanide (74-90-8); 

7.  Chloropicrin: trichloronitromethane  (76-06-2); 

b.  Toxic chemicals precursors, as follows: 

1.  Chemicals, other than those specified  in the Military Goods Controls or in  1C350, 
containing  a phosphorus atom to which is bonded one methyl, ethyl or propyl 
(normal or iso) group but not further  carbon atoms; 

except: 

Fonofos: O-Ethyl S-phenyl ethylphosphonothiolothionate  (944-22-9); 

2.  N,N-Dialkyl  [methyl, ethyl or propyl (normal or iso)] phosphoramidic dihalides; 

3.  Dialkyl [methyl, ethyl or propyl (normal or iso)] N,N-dialkyl [methyl, ethyl or 

propyl (normal or iso)]-phosphoramidates, other than diethyl-N,N-
dimethylphosphoramidate  which is specified  in 1C350; 

4.  N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethyl-2-chlorides  and 
corresponding protonated salts, other than  N,N-Diisopropyl-(beta)-aminoethyl 
chloride or N,N-Diisopropyl-(beta)-aminoethyl  chloride hydrochloride which are 
specified  in 1C350; 

5.  N,N-Dialkyl  [methyl, ethyl or propyl (normal or iso)] aminoethane-2-ols  and 

corresponding protonated salts, other than  N,N-Diisopropyl-(beta)-aminoethanol 
(96-80-0) and N,N-Diethylaminoethanol  (100-37-8) which are specified  in  1C350; 

except: 

a.  N,N-Dimethylaminoethanol  (108-01 -0) and corresponding protonated salts; 

b.  Protonated salts of N,N-Diethylaminoethanol  (100-37-8); 

66 

6.  N,N-dialkyl  [methyl, ethyl or propyl (normal or iso)] aminoethane-2-thiols  and 
corresponding protonated salts, other than  N,N-diisopropyl-(beta)-aminoethane 
thiol which is specified  in  1C350; 

7.  Ethyldiethanolamine ( 139-87-7); 

8..  Methyldiethanolamine (105-59-9).". 

ID 

Software 

1D001 

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

1D002 

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

1D101 

"Software"  specially designed for the "use" of goods specified  in  1B101. 

ID 103 

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

1D201 

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

IE 

Technology 

1E001 

"Technology" according  to the General Technology Note: for the "development" or "production" of 
equipment or materials specified  in  lAOOl.b.,  1A001.C,  1A002 to  1A005, IB or  1C. 

1E002  Other  "technology",  as  follows: 

a. 

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

b. 

c. 

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

"Technology" for the design or "production" of the following  base materials or non-"composite" 
ceramic materials: 
1.  Base materials having all of the following  characteristics: 

a.  Any of the following  compositions: 

1.  Single or complex oxides of zirconium and complex oxides of silicon or 

aluminium; 

2.  Single nitrides of boron (cubic crystalline  forms); 
3.  Single or complex carbides of silicon or boron; or 
4.  Single or complex nitrides of silicon; 

b.  Total metallic  impurities, excluding  intentional additions, of less than: 

1.  1,000 ppm for single oxides or carbides; or 
2.  5,000 ppm for complex compounds or single nitrides; 

and 

c.  Having any of the  following: 

1.  Average particle size equal to or less than 5 urn and no more than  10% of the 

particles larger than  10 um; or 
Note:  For zirconia, these limits are  1 fim and 5 jum respectively; 

67 

2.  Having all of the  following: 

a. 
b. 

c. 

Platelets with a length to thickness ratio exceeding 5; 
Whiskers with a length to diameter ratio exceeding  10 for diameters less 
than 2 urn; and 
Continuous or chopped  fibres  less than  10 urn in diameter. 

2.  Non-"composite" ceramic materials composed of the materials described  in 1E002.C.1; 

Note:  1E002.C.2.  does not control technology for  the design or production  of abrasives. 

d. 

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

e. 

f. 

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

"Technology" for the repair of "composite" structures, laminates or materials specified  in  1A002, 
1C007.C. or  lC007.d. 
Note: 

lE002.f  does not control  "technology" for  the repair of  "civil aircraft" structures 
using carbon  "fibrous or filamentary materials" and epoxy resins, contained in 
aircraft manufacturers ' manuals. 

1E101 

"Technology" according to the General Technology Note for the "use" of goods specified  in  1A102, 
1B001,  1B101,  1B115, 1B116,  1C001,  1C101,  1C107,  ICI 11 to  1C117,  1D101 or  1D103. 

IE 102 

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

1E103 

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

1E104 

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

Note: 

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

1E201 

"Technology" according to the General Technology Note for the "use" of goods specified  in  1A002, 
1A202,  1A225 to  1A227,  1B201,  1B225 to  1B233,  lC002.a.2.c. or d.,  ICOlO.b.,  1C202,  1C210, 
1C216,  1C225 to  1C240 or  1D201. 

1E202 

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

1E203 

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

CATEGORY  2 - MATERIALS  PROCESSING 

2A 

Systems, Equipment  and  Components 

(For quiet running bearings, see the Military Goods Controls.) 

68 

2A001  Anti-friction  bearings and bearing systems, as follows, and components  therefor: 

Note: 

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

a.  Ball bearings and solid roller bearings having tolerances specified by the manufacturer  in 

accordance with ABEC7, ABEC7P, ABEC7T or ISO Standard Class 4 or better (or national 
equivalents), and having rings, balls or rollers made from monel or beryllium; 

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

b.  Other ball bearings and solid roller bearings having tolerances specified by the manufacturer  in 
accordance with ABEC9, ABEC9P or ISO Standard Class 2 or better (or national equivalents); 

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

c.  Active magnetic bearing systems using any of the  following: 

1.  Materials with flux densities of 2.0 T or greater and yield strengths greater than 414 MPa; 
2. 
3. 

All-electromagnetic  3D homopolar bias designs for actuators; or 
High temperature (450 K (177°C) and above) position sensors. 

2A225  Crucibles made of materials resistant to liquid actinide metals, as follows: 

a. 

b. 

c. 

Calcium fluoride (CaF2); 
Calcium zirconate (metazirconate)  (Ca2Zr03); 
Cerium sulphide (Ce2S3); 
Erbium oxide (erbia) (Er203); 
Hafnium  oxide (hafhia)  (Hf02); 

Crucibles with a volume of between  150 ml and 8 litres and made of or coated with any of the 
following  materials having a purity of 98% or greater: 
1. 
2. 
3. 
4. 
5. 
6.  Magnesium oxide (MgO); 
7. 
8. 
9. 

Nitrided niobium-titanium-tungsten  alloy (approximately  50% Nb, 30%Ti, 20%W); 
Yttrium oxide (yttria) (Y203); or 
Zirconium oxide (zirconia)  (Zr02); 

Crucibles with a volume of between 50 ml and 2 litres and made of or lined with tantalum, having 
a purity of 99.9% or greater; 

Crucibles with a volume of between 50 ml and 2 litres and made of or lined with tantalum (having 
a purity of 98% or greater) coated with tantalum carbide, nitride or boride (or any combination  of 
these). 

2A226  Valves 5 mm or greater in 'nominal size', with a bellows seal, wholly made of or lined with  aluminium, 

aluminium alloy, nickel, or alloy containing  60% or more nickel, either manually or  automatically 
operated. 

Note: For valves with different inlet and outlet diameters, the  'nominal size ' above refers to the smallest 

diameter. 

2B 

Test, Inspection and Production  Equipment 

Technical Notes: 

1. 

Secondary parallel  contouring axes, (e.g., the w-axis on horizontal boring mills or a  secondary 
rotary axis the centre line of which is parallel  to the primary  rotary axis) are not counted  in the 
total number of contouring axes. 

N.B.  Rotary axes need not rotate over 360 °.  A rotary axis can be driven by a linear device (e.g., 

a screw or a  rack-and-pinion). 

69 

2. 

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

3. 

For the purposes  of2B001  to 2B009 a  "tilting spindle" is counted as a rotary axis. 

4.  Guaranteed positioning  accuracy levels instead of individual test protocols  may be used for  each 

machine tool model using the agreed ISO test procedure. 

5. 

The positioning  accuracy of  "numerically controlled" machine tools is to be determined and 
presented  in accordance  with ISO 230/2. 

2B001  Machine tools, as follows,  and any combination thereof, for removing (or cutting) metals, ceramics or 

"composites", which, according to the manufacturer's  technical specification,  can be equipped with 
electronic devices for  "numerical control": 
N.B.: SEE ALSO 2B201. 

a.  Machine tools for turning, having all of the following  characteristics: 

1. 

2. 

Positioning  accuracy with all compensations available of less (better) than 6 um along any 
linear axis (overall positioning); and 
Two or more axes which can be coordinated simultaneously  for  "contouring control"; 

Note:  2B001.d does not control turning machines specially designed for  the production  of contact 

lenses. 

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

1. 

a. 

b. 

Positioning accuracy with all compensations available of less (better) than 6 um 
along any linear axis (overall positioning); and 
Three linear axes plus one rotary axis which can be coordinated  simultaneously 
for  "contouring control"; 

2. 
3. 

Five or more axes which can be coordinated  simultaneously  for  "contouring  control"; or 
A positioning  accuracy for jig boring machines, with all compensations  available, of less 
(better) than 4  um along any linear axis (overall positioning); 

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

1. 

a. 

b. 

Positioning accuracy with all compensations available of less (better) than 4 urn 
along any linear axis (overall positioning); and 
Three or more axes which can be coordinated  simultaneously  for  "contouring 
control"; or 

2. 

Five or more axes which can be coordinated simultaneously  for  "contouring  control"; 

Note:  2B001.C does not control grinding machines, as follows: 

1. 

2. 

3. 

4. 
5. 

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

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

Machines  designed specifically as jig  grinders having any of the following 
characteristics: 
a. 

The c-axis is used to maintain the grinding  wheel normal to the work 
surface; or 
The a-axis is configured to grind barrel cams. 

b. 
Tool or cutter grinding  machines shipped as complete systems with 
"software" specially designed for  the production  of tools or cutters. 
Crank shaft or cam shaft grinding  machines. 
Surface grinders. 

d. 

Electrical discharge machines (EDM) of the non-wire type which have two or more rotary  axes 
which can be coordinated  simultaneously  for  "contouring  control"; 

70 

e.  Machine tools for removing metals, ceramics or "composites": 

Water or other liquid jets, including those employing abrasive additives; 
Electron beam; or 
"Laser" beam; and 

1. 

2. 

By means  of: 
a. 
b. 
c. 
Having two or more rotary axes which: 
a. 
b. 

Can be coordinated simultaneously  for  "contouring control"; and 
Have a positioning  accuracy of less (better) than 0.003°; 

f. 

Deep-hole-drilling  machines and turning machines modified  for deep-hole-drilling, having a 
maximum depth-of-bore  capability exceeding  5,000 mm and specially designed  components 
therefor. 

2B003 

"Numerically controlled" or manual machine tools, and specially designed components,  controls 
and accessories therefor,  specially designed for the shaving, finishing,  grinding or honing of 
hardened (R,. = 40 or more) spur, helical and 
double-helical gears with a pitch diameter exceeding  1,250  mm and a face width of  15% of pitch 
diameter or larger finished  to a quality of AGMA  14 or better (equivalent to ISO  1328 class3). 

2B004 

Hot "isostatic presses", having all of the following,  and specially designed dies, moulds, 
components, accessories and controls  therefor: 
N.B.: SEE ALSO 2B104 and 2B204. 

a. 

b. 

A controlled thermal environment within the closed cavity and possessing  a chamber cavity 
with an inside diameter of 406 mm or more; and 
Any of the  following: 
1. 
2. 
3. 

A maximum working pressure exceeding 207 MPa; 
A controlled thermal environment exceeding  1,773  K (1,500°C); or 
A facility  for hydrocarbon  impregnation  and removal of resultant  gaseous 
degradation products. 

i 

Technical Note: 
The inside chamber dimension is that of the chamber in which both the working temperature and 
the working pressure  are achieved and does not include fixtures.  That dimension will be the 
smaller of either the inside diameter of the pressure  chamber or the inside diameter of the 
insulated furnace  chamber, depending on which of the two chambers is located inside the other. 

2B005  Equipment specially designed for the deposition, processing and in-process control of inorganic 

overlays, coatings and surface  modifications,  as follows, for non-electronic  substrates, by processes 
shown in the Table and associated Notes following  2E003.f,  and specially designed  automated 
handling, positioning, manipulation and control components  therefor: 

a. 

b. 

c. 

"Stored programme controlled" chemical vapour deposition (CVD) production equipment having 
all of the  following: 
1. 

Pulsating CVD; 
Controlled nucleation thermal decomposition (CNTD); or 
Plasma enhanced or plasma assisted CVD; and 

Process modified  for one of the  following: 
a. 
b. 
c. 
Any of the  following: 
a. 
b. 

Incorporating high vacuum (equal to or less than 0.01 Pa) rotating seals; or 
Incorporating  in situ coating thickness control; 

2. 

"Stored programme controlled" ion implantation production equipment having beam currents of 
5 mA or more; 

"Stored programme controlled" electron beam physical vapour deposition (EB-PVD) production 
equipment incorporating  all of the  following: 
1. 
2. 

Power systems rated for over 80 kW; 
A liquid pool level "laser" control system which regulates precisely the ingots feed rate; and 

71 

3. 

A computer controlled rate monitor operating on the principle of photo-luminescence  of the 
ionised atoms in the évaporant stream to control the deposition rate of a coating  containing 
two or more elements; 

d. 

"Stored programme controlled" plasma spraying production equipment having any of the 
following  characteristics: 

e. 

1. 

2. 

f. 

g. 

Operating at reduced pressure controlled atmosphere (equal to or less than  10 kPa measured 
above and within 300 mm of the gun nozzle exit) in a vacuum chamber capable of 
evacuation down to 0.01 Pa prior to the spraying process; or 

Incorporating  in situ coating thickness control; 
"Stored programme controlled" sputter deposition production equipment capable of current 
densities of 0.1 mA/mm2 or higher at a deposition rate of  15 um/h or more; 

"Stored programme controlled" cathodic arc deposition production equipment  incorporating 
a grid of electromagnets  for steering control of the arc spot on the cathode; 

"Stored programme controlled" ion plating production equipment allowing for the in situ 
measurement of any of the  following: 
1. 
2. 

Coating thickness on the substrate and rate control; or 
Optical characteristics. 

Note:  2B005 does not control chemical vapour deposition, cathodic arc, sputter deposition,  ion 
plating  or ion implantation equipment specially designed for  cutting or  machining 
tools. 

2B006 

Dimensional inspection or measuring systems and equipment, as follows: 

a. 

b. 

Computer controlled,  "numerically controlled" or "stored programme  controlled" 
dimensional inspection machines, having a three dimensional length  (volumetric) 
"measurement uncertainty" equal to or less (better) than (1.7+L/1,000) um (L is the 
measured length in mm) tested according to ISO  10360-2; 
N.B.:SEE ALSO 2B206. 

Linear and angular displacement measuring instruments, as follows: 
1. 

Linear measuring instruments having any of the  following: 
a.  Non-contact type measuring systems with a "resolution" equal to or less (better) 

than 0.2  um within a measuring range up to 0.2 mm; 

b.  Linear voltage differential  transformer  systems having all of the  following 

characteristics: 
1.  "Linearity" equal to or less (better) than 0.1% within a measuring range up to 

5 mm; and 

2.  Drift  equal to or less (better) than 0.1% per day at a standard ambient test 

room temperature ±1 K; or 

c.  Measuring systems having all of the  following: 

1.  Containing a "laser"; and 
2.  Maintaining, for at least  12 hours, over a temperature range of ±1 K around a 

standard temperature and at a standard pressure, all of the  following: 
A "resolution" over their full  scale of 0.1 um or less (better); and 
A "measurement uncertainty" equal to or less (better) than (0.2 +  L/2,000) 

a. 
b. 

um (L is the measured length in mm); 

Note;  2B006.b.l.  does not control measuring interferometer systems, without closed 

or open loop feedback,  containing a  "laser" to measwe  slide 
movement errors of machine-tools, dimensional inspection  machines 
or similar  equipment. 

72 

2.  Angular measuring  instruments having an "angular position deviation" equal to or less 

(better) than 0.00025°; 

Note:  2B006.b.2. does not control optical instruments, such as  autocollimators, 
using collimated light to detect angular displacement of a mirror. 

c. 

Equipment for measuring surface  irregularities, by measuring optical scatter as a function  of angle, 
with a sensitivity of 0.5 nm or less (better). 

Notes: 

1. 

2. 

Machine  tools which can be used as measuring machines are controlled  if 
they meet or exceed the criteria specified for  the machine tool function  or the 
measuring machine function. 
A machine described in 2B006 is controlled if it exceeds the control  threshold 
anywhere within its operating range. 

2B007  "Robots" having any of the following  characteristics and specially designed controllers and  "end-

effectors"  therefor: 
N.B.: SEE ALSO 2B207. 

a. 

Capable in real time of full  three-dimensional  image processing or full three-dimensional  scene 
analysis to generate or modify  "programmes" or to generate or modify  numerical programme  data; 

Note:  The scene analysis limitation does not include approximation of the third dimension  by 

viewing at a given angle, or limited grey scale interpretation for  the perception  of 
depth or texture for  the approved tasks (2 1/2 D). 

b. 

c. 

Specially designed to comply with national safety  standards applicable to explosive munitions 
environments * 

Specially designed or rated as radiation-hardened  to withstand greater than 5x103 Gy(Si) without 
operational degradation; or 

d. 

Specially designed to operate at altitudes exceeding 30,000 m. 

2B008  Assemblies, units or inserts specially designed for machine tools, or for equipment specified  in 2B006 

or 2B007, as follows: 

a. 

Linear position feedback  units (e.g., inductive type devices, graduated scales,  infrared 
systems or "laser" systems) having an overall "accuracy" less (better) than (800 + (600 x L x 
10*3)) nm (L equals the effective  length in mm); 

Note:  For  "laser" systems see also Note to 2B006.b. 1. 

b. 

Rotary position feedback  units (e.g., inductive type devices, graduated scales,  infrared 
systems or "laser" systems) having an "accuracy" less (better) than 0.00025°; 

Note;  For  "laser" systems see also Note to 2B006.b.l. 

, 

c. 

"Compound rotary tables" and "tilting spindles", capable of upgrading, according to the 
manufacturer's  specifications, machine tools to or above the levels specified  in 2B. 

2B009  Spin-forming  machines and flow-forming machines, which, according to the manufacturer's  technical 

specification,  can be equipped with "numerical control" units or a computer control and having all of the 
following: 
N.B.:SEE  ALSO 2B109 AND 2B209. 

a. 

Two or more controlled  axes of which at least two can be coordinated simultaneously  for „ 
"contouring control"; and 

73 

b.  A roller force more than 60 kN. 

Technical Note: 
Machines  combining the function  of spin-forming  and flow-forming  are for  the purpose  of2B009 
regarded as flow-forming machines. 

2B104  Equipment and process controls designed or modified  for densification  and pyrolysis of structural 

composite rocket nozzles and reentry vehicle nose tips. 

Note: The only  "isostatic presses " and furnaces  specified in 2B104 are as follows: 

a. 

"Isostatic presses",  other than those specified  in 2B004, having all the following 
characteristics: 
1. 
2. 

Maximum working pressure  of 69 MPa or greater; 
Designed to achieve and maintain a controlled thermal environment of 873 K 
(600° C) or greater; and 
Possessing a chamber cavity with an inside diameter of 254 mm or greater; 

3. 

b. 

CVD Furnaces designed or modified for  the densification of carbon-carbon 
composites. 

2B109  Flow-forming  machines, other than those specified  in 2B009, and specially designed  components 

therefor,  which: 
N.B.: 
a. 

SEE ALSO 2B209. 

According to the manufacturer's  technical specification,  can be equipped with "numerical control" 
units or a computer control, even when not equipped with such units; and 

b.  With more than two axes which can be coordinated simultaneously  for  "contouring control". 

Technical Notes: 
1.  Machines combining the function  of spin-forming  and flow-forming  are for  the purpose  of2B109 

2. 

regarded as flow-forming machines. 
2B109 does not control machines that are not usable in the production  of propulsion  components 
and equipment (e.g. motor cases) for  systems specified  in 9A005, 9A007.a. or 9A105.a. " 

2B116  Vibration test systems, equipment and components therefor,  as follows: 

a. 

Vibration test systems employing feedback  or closed loop techniques and incorporating  a digital 
controller, capable of vibrating a system at  10 g rms or more over the entire range 20 Hz to 2000 
Hz and imparting  forces  of 50 kN, measured TDare table', or greater; 

b.  Digital controllers, combined with specially designed vibration test software,  with a "real-time 

bandwidth" greater than 5 kHz designed for use with vibration test systems specified  in 2B116.a.; 

c. 

d. 

Vibration thrusters (shaker units), with or without associated amplifiers,  capable of imparting a 
force  of 50 kN, measured 'bare table', or greater and usable in vibration test systems specified  in 
2B116.a.; 

Test piece support structures and electronic units designed to combine multiple shaker units in a 
system capable of providing an effective  combined force  of 50 kN, measured 'bare table', or 
greater, and usable in vibration systems specified  in 2B116.a. 

Note: In 2B116, 'bare table' means aflat  table, or surface,  with no fixture or fittings. 

2B201  Machine tools, other than those specified  in 2B001, as follows,  for removing or cutting metals, ceramics 

or "composites", which, according to the manufacturer's  technical specification,  can be equipped with 
electronic  devices for simultaneous "contouring control" in two or more axes: 

74 

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

1. 

2. 

Positioning  accuracies with all compensations  available less (better) than 0.006 mm along 
any linear axis (overall positioning); or 
Two or more contouring rotary axes; 

Note: 2B201.a. does not control milling machines having the following  characteristics: 
X-axis  travel greater than 2 m; and 
Overall positioning  accuracy on the x-axis more (worse) than 0.030 mm. 

a. 
b. 

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

1. 

2. 

Positioning  accuracies with all compensations available less (better) than 0.004 mm along 
any linear axis (overall positioning); or 
Two or more contouring rotary axes. 

Note:  2B201.b. does not control the following  grinding  machines: 

a. 

b. 

c. 

d. 

Cylindrical external, internal, and external-internal grinding  machines 
having all of the following  characteristics: 
1. 
2. 
3. 

Limited to cylindrical  grinding; 
A maximum workpiece outside diameter or length of 150 mm. 
Not more than two axes that can be coordinated simultaneously  for 
"contouring control "; and 
No contouring c axis; 

4. 
Jig grinders with axes limited to x, y,  c and a where c axis is used to maintain 
the grinding wheel normal to the work surface,  and the a axis is configured 
to grind barrel cams; 
Tool or cutter grinding  machines with  "software " specially designed for  the 
production  of tools or cutters; or 
Crankshaft or camshaft grinding  machines. 

2B204  "Isostatic presses", other than those specified  in 2B004 or 2B104, capable of achieving a maximum 

working pressure of 69 MPa or greater and having a chamber cavity with an inside diameter in excess of 
152 mm, and specially designed dies, moulds or controls  therefor. 

Technical Note: 
The inside chamber dimension is that of the chamber in which both the working temperature and the 
working pressure are achieved and does not include fixtures.  That dimension will be the smaller  of 
either the inside diameter of the pressure  chamber or the inside diameter of the insulated furnace 
chamber, depending on which of the two chambers is located inside the other. 

2B206  Dimensional inspection machines, devices or systems, other than those specified  in 2B006, as follows: 

a. 

b. 

Computer controlled or numericaly controlled dimensional inspection machines having both of the 
following  characteristics: 
1. 
2. 

Two or more axes; and 
A one-dimensional  length "measurement uncertainty" equal to or less (better) than (1.25 + 
L/1000) um tested with a probe of an "accuracy" of less (better) than 0.2um (L is the 
measured length in millimeters) (Ref.:VDI/VDE 2617 Parts  1  and 2); 

Systems for simultaneously  linear-angular inspection of hemishells, having both of the  following 
characteristics: 
1. 

"Measurement uncertainty" along any linear axis equal to or less (better) than 3.5  um per 5 
mm; and 
"Angular position deviation" equal to or less than 0.02°. 

2. 

Technical Note: 
1.  Machine  tools that can be used as measuring machines are controlled if they meet or exceed the 

2. 

criteria specified for  the machine tool function  or the measuring machine function. 
A machine specified  in 2B206 is controlled if it exceeds the control threshold anywhere within its 
operating range. 

75 

3. 

The probe  used in determining the measurement uncertainty of a dimensional  inspection system 
shall be described in  VDI/VDE 2617 parts  2, 3 and 4. 

2B207  "Robots" or "end-effectors",  other than those specified  in 2B007, specially designed to comply with 

national safety  standards applicable to handling high explosives (for  example, meeting electrical code 
ratings  for high explosives) and specially designed controllers  therefor. 

2B209  Flow forming  machines, or spin forming  machines capable of flow forming  functions,  other than those 

specified  in 2B009 or 2B109, or mandrels, as follows: 

a. 

b. 

1. 
2. 

Having three or more rollers (active or guiding); and 
According to the manufacturer's  technical specification  can be equipped with  "numerical 
control" units or a computer control; 

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

Note: 2B209 includes machines which have only a single roller designed to deform metal plus  two 

auxiliary rollers which support the mandrel, but do not participate  directly in the 
deformation process. 

2B225  Remote manipulators that can be used to provide remote actions in radiochemical separation  operations 

and hot cells, as follows: 
a. 
b.  Having a capability of bridging over the top of a hot cell wall with a thickness of 0.6 m or more 

Having a capability of penetrating 0.6 m or more of hot cell wall (through-the-wall operation); or 

(over-the-wall operation). 

Note: Remote manipulators provide  translation of human operator actions to a remote operating arm 

and terminal fixture. They may be of  'master/slave' type or operated by joystick  or keypad. 

2B226  Vacuum or controlled environment (inert gas) induction furnaces  capable of operation above  1,123  K 

(850°C) and having induction coils 600 mm or less in diameter, and designed for power inputs of 5 kW 
or more, and power supplies specially designed therefor  with a specified  power output of 5 kW or more. 
N.B: SEE ALSO 3B. 

Note: 2B226 does not control furnaces  designed for  the processing  of semiconductor  wafers. 

2B227  Vacuum and controlled atmosphere metallurgical melting and casting furnaces  as follows; and specially 

configured  computer control and monitoring systems  therefor: 

a. 

b. 

Arc remelt and casting furnaces  with consumable electrode capacities between  1000 cm3 and 
20,000 cm3, capable of operating with melting temperatures above  1973 K (1700°C); 

Electron beam melting and plasma atomization and melting furnaces,  with a power of 50 kW or 
greater, capable of operating with melting temperatures above  1473 K (1200°C). 

2B228  Rotor  fabrication  and assembly  equipment and bellows-forming  mandrels and dies, as follows: 

a. 

b. 

Rotor assembly equipment for assembly of gas centrifuge  rotor tube sections, baffles  and end 
caps, including associated precision mandrels, clamps and shrink fit machines; 

Rotor straightening  equipment  for alignment of gas centrifuge  rotor tube sections to a common 
axis; 

Technical Note: 
Normally such equipment will consist of precision  measuring probes  linked to a computer that 
subsequently controls the action of, for  example, pneumatic  rams used for  aligning the rotor tube 
sections. 

76 

c. 

Bellows-forming  mandrels and dies for producing single-convolution bellows (bellows made of 
high-strength aluminium alloys, maraging steel or high strength filamentary materials). The 
bellows have all of the following  dimensions: 
1. 
2. 
3. 

75 mm to 400 mm inside diameter; 
12.7 mm or more in length; and 
Single convolution depth more than 2 mm. 

2B229  Centrifugal  multiplane balancing machines, fixed or portable, horizontal or vertical, as follows: 

a. 

b. 

Centrifugal  balancing machines designed for balancing flexible rotors having a length of 600 mm 
or more and having all of the following  characteristics: 
1. 
A swing or journal diameter of 75 mm or more; 
2.  Mass capability of from 0.9 to 23 kg; and 
3. 

Capable of balancing speed of revolution more than 5000 r.p.m.; 

A journal diameter of 75 mm or more; 

Centrifugal  balancing machines designed for balancing hollow cylindrical rotor components  and 
having all of the following  characteristics: 
1. 
2.  Mass capability of from 0.9 to 23 kg; 
3. 
4. 

Capable of balancing to a residual imbalance of 0.01 kg mm/kg per plane or better; and 
Belt drive type. 

2B230  "Pressure transducers" which are capable of measuring absolute pressure at any point in the range 0 to 

13 kPa, with pressure sensing elements made of or protected by nickel, nickel alloys with more than 
60% nickel by weight, aluminium or aluminium alloys, having any of the  following: 
a. 
b. 

A full  scale of less than  13 kPa and an 'accuracy'  of better than + 1% (full-scale);  or 
A full  scale of  13 kPa or greater and an 'accuracy'  of better than +  130 Pa. 

Technical Note: 
For the purposes  of2B230,  'accuracy'  includes non-linearity, hysteresis and repeatability at ambient 
temperature. 

2B231  Vacuum pumps with an input throat size of 380 mm or greater with a pumping speed of  15,000 litres/s 

or greater and capable of producing  an ultimate vacuum better than  13 mPa. 

Technical Notes: 
1. 
2. 

The ultimate vacuum is determined at the input of the pump  with the input of the pump  blocked  off. 
The pumping  speed is determined at the measurement point  with nitrogen gas or air. 

2B232  Multistage light gas gun or other high-velocity gun systems (coil, electromagnetic, electrothermal  or 

other advanced systems) capable of accelerating projectiles  to 2 km/s or greater. 

2B350  Chemical manufacturing  facilities  and equipment, as  follows: 

a. 

Reaction vessels or reactors, with or without agitators, with total internal (geometric)  volume 
greater than 0.1 m3 (100 litres) and less than 20 m3 (20,000 litres), where all surfaces  that come in 
direct contact with the chemical(s) being processed or contained are made from any of the 
following  materials: 
1. 
2. 
3. 
4. 
5. 
6. 
7. 

Alloys with more than 25% nickel and 20% chromium by weight; 
Fluoropolymers; 
Glass (including vitrified  or enamelled coating or glass lining); 
Nickel or alloys with more than 40% nickel by weight; 
Tantalum or tantalum alloys; 
Titanium or titanium alloys; or 
Zirconium or zirconium alloys; 

77 

b.  Agitators for use in reaction vessels or reactors where all surfaces  of the agitator that come in 

direct contact with the chemical(s) being processed or contained are made from any of the 
following  materials: 
1. 
2. 
3. 
4. 
5. 
6. 
7. 

Alloys with more than 25% nickel and 20% chromium by weight; 
Fluoropolymers; 
Glass (including vitrified  or enamelled coatings or glass lining); 
Nickel or alloys with more than 40% nickel by weight; 
Tantalum or tantalum alloys; 
Titanium or titanium alloys; or 
Zirconium or zirconium alloys; 

c. 

Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0.1 m3 
(100 litres) where all surfaces  that come in direct contact with the chemical(s) being processed  or 
contained are made from any of the following  materials: 
1. 
2. 
3. 
4. 
5. 
6. 
7. 

Alloys with more than 25% nickel and 20% chromium by weight; 
Fluoropolymers; 
Glass (including vitrified  or enamelled coatings or glass lining); 
Nickel or alloys with more than 40% nickel by weight; 
Tantalum or tantalum alloys; 
Titanium or titanium alloys; or 
Zirconium or zirconium alloys; 

d.  Heat exchangers or condensers with a heat transfer  surface  area of less than 20 m2, where all 

surfaces  that come in direct contact with the chemical(s) being processed are made from any of the 
following  materials: 
1. 
2. 
3. 
4. 
5. 
6. 
7. 
8. 

Alloys with more than 25% nickel and 20% chromium by weight; 
Fluoropolymers; 
Glass (including vitrified  or enamelled coatings or glass lining); 
Graphite; 
Nickel or alloys with more than 40% nickel by weight; 
Tantalum or tantalum alloys; 
Titanium or titanium alloys; or 
Zirconium or zirconium alloys; 

e. 

Distillation or absorption columns of internal diameter greater than 0.1m, where all surfaces  that 
come in direct contact with the chemical(s) being processed are made from any of the  following 
materials: 
1. 
2. 
3. 
4. 
5. 
6. 
7. 
8. 

Alloys with more than 25% nickel and 20% chromium by weight; 
Fluoropolymers; 
Glass (including vitrified  or enamelled coatings or glass lining); 
Graphite; 
Nickel or alloys with more than 40% nickel by weight; 
Tantalum or tantalum alloys; 
Titanium or titanium alloys; or 
Zirconium or zirconium alloys; 

f. 

Remotely operated filling equipment in which all surfaces  that come in direct contact with the 
chemical(s) being processed are made from  any of the following  materials: 
Alloys with more than 25% nickel and 20% chromium by weight; or 
1. 
Nickel or alloys with more than 40% nickel by weight; 
2. 

g.  Multiple seal valves incorporating  a leak detection port, bellows-seal valves, non-return  (check) 

valves or diaphragm valves, in which all surfaces  that come in direct contact with the chemical(s) 
being processed or contained are made from  any of the following  materials: 
1. 
2. 
3. 
4. 
5. 

Alloys with more than 25% nickel and 20% chromium by weight; 
Fluoropolymers; 
Glass (including vitrified  or enamelled coatings or glass lining); 
Nickel or alloys with more than 40% nickel by weight; 
Tantalum or tantalum alloys; 

78 

6. 
7. 

Titanium or titanium alloys; or 
Zirconium or zirconium alloys; 

h.  Multi-walled piping incorporating  a leak detection port,  in which all surfaces  that come in direct 

contact with the chemical(s) being processed or contained are made from any of the  following 
materials: 
1. 
2. 
3. 
4. 
5. 
6. 
7. 
8. 

Alloys with more than 25% nickel and 20% chromium by weight; 
Fluoropolymers; 
Glass (including vitrified  or enamelled coatings or glass lining); 
Graphite; 
Nickel or alloys with more than 40% nickel by weight; 
Tantalum or tantalum alloys; 
Titanium or titanium alloys; or 
Zirconium or zirconium alloys; 

\ 

i.  Multiple-seal, canned drive, magnetic drive, bellows or diaphragm pumps, with  manufacturer's 
specified  maximum flow-rate  greater than 0.6 m3/hour, or vacuum pumps with  manufacturer's 
specified  maximum flow-rate  greater than 5 m3/hour (under standard temperature (273 K (0°C)) 
and pressure (101.3 kPa) conditions), in which all surfaces  that come in direct contact with the 
chemical(s) being processed are made from  any of the following  materials: 
Alloys with more than 25% nickel and 20% chromium by weight; 
1. 
Ceramics; 
2. 
Ferrosilicon; 
3. 
Fluoropolymers; 
4. 
Glass (including vitrified  or enamelled coatings or glass lining); 
5. 
Graphite; 
6. 
Nickel or alloys with more than 40% nickel by weight; 
7. 
Tantalum or tantalum alloys; 
8. 
9. 
Titanium or titanium alloys; or 
10.  Zirconium or zirconium alloys; 

j. 

Incinerators  designed to destroy chemicals specified  in entry  1C350, having specially  designed 
waste supply systems, special handling facilities  and an average combustion chamber  temperature 
greater than  1273 K (1000°C), in which all surfaces  in the waste supply system that come into 
direct contact with the waste products are made from  or lined with any of the following  materials: 
1. 
2. 
3. 

Alloys with more than 25% nickel and 20% chromium by weight; 
Ceramics; or 
Nickel or alloys with more than 40% nickel by weight. 

2B351  Toxic gas monitoring  systems, as follows; and dedicated detectors  therefor: 

a. 

Designed for continuous operation and usable for the detection of chemical warfare  agents, 
chemicals specified  in  1C350 or organic compounds containing phosphorus, sulphur, fluorine  or 
chlorine, at concentrations  of less than 0.3 mg/m3; or 

b.  Designed  for the detection of cholmesterase-inhibiting activity. 

2B352  Equipment capable of use in handling biological materials, as follows: 

a. 

b. 

Complete biological containment  facilities  at P3, P4 containment level; 
Technical Note: 
P3 or P4 (BL3, BL4, L3, L4) containment levels are as specified in the  WHO Laboratory  Biosafety 
manual (Geneva, 1983). 

Fermenters capable of cultivation of pathogenic  "microorganisms", viruses or capable of toxin 
production, without the propagation  of aerosols, and having a total capacity of  100 litres or more; 
Technical Note: 
Fermenters  include bioreactors, chemostats and continuous-flow systems. 

79 

c. 

d. 

e. 

f. 

Centrifugal  separators, capable of continuous separation without the propagation of aerosols, 
having all the following  characteristics: 
1. 
2. 
3. 
4. 
Technical Note: 
Centrifugal separators  include decanters. 

Flow rate exceeding  100 litres per hour; 
Components of polished stainless steel or titanium; 
Double or multiple sealing joints within the steam containment area; and 
Capable of in-situ steam sterilisation in a closed state; 

Cross-flow  filtration  equipment,  capable of continuous separation without the propagation of 
aerosols, having both of the following  characteristics: 
1. 
2. 

Equal to or greater than 5 m2; and 
Capable of in-situ  sterilization; 

Steam sterilisable  freeze  drying equipment with a condenser capacity exceeding  50 kg of ice in 24 
hours and less than  1,000  kg of ice in 24 hours; 

Equipment that incorporates or is contained in P3 or P4 containment housing, as follows: 
1. 
2. 

Independently ventilated protective  full  or half suits; 
Biological safety cabinets or isolators, which allow manual operations to be  performed 
within, whilst providing  an environment equivalent to Class III biological  protection; 
Note:  In 2B352.f.2.,  isolators include flexible isolators, dry boxes, anaerobic chambers and 

'  •  glove boxes. 

g. 

Chambers designed for aerosol challenge testing with "microorganisms" or "toxins" and having a 
capacity of  1  m3 or greater. 

2C 

Materials 

None. 

2D 

Software 

2D001  "Software"  specially designed or modified  for the "development",  "production" or "use" of equipment 

specified  in 2A001or 2B001 to 2B009. 

2D002  "Software"  for electronic devices, even when residing in an electronic device or system, enabling  such 
devices or systems to function  as a "numerical control" unit, capable of any of the  following: 

a. 

b. 

Coordinating simultaneously more than four axes for  "contouring control"; or 

"Real time processing" of data to modify  tool path, feed rate and spindle data, during the 
machining operation, by any of the  following: 
1. 

Automatic calculation and modification  of part program data for machining  in two or more 
axes by means of measuring cycles and access to source data; or 
"Adaptive control" with more than one physical variable measured and processed by means 
of a computing model (strategy) to change one or more machining  instructions to optimize 
the process. 

2. 

Note: 2D002 does not control  "software" specially designed or modified for  the operation of  machine 

tools not controlled by Category 2. 

2D101  "Software"  specially designed  for the "use" of equipment  specified  in 2B104, 2B109 or 2B116. 

N.B.: SEE ALSO  9D004. 

2D201  "Software"  specially designed  for the "use" of equipment specified  in 2B204, 2B206, 2B207, 2B209, 

2B227 or 2B229. 

80 

2D202  "Software"  specially designed or modified  for the "development",  "production" or "use" of equipment 

specified  in 2B201. 

2E 

Technology 

2E001  "Technology" according to the General Technology Note for the "development" of equipment or 

"software"  specified  in 2A, 2B or 2D. 

2E002  "Technology" according to the General Technology Note for the "production" of equipment specified  in 

2A or 2B. 

2E003  Other  "technology", as follows: 

a. 

b. 

c. 

d. 

e. 

f. 

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

"Technology" for metal-working manufacturing  processes, as follows: 
1. 

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

"Superplastic  forming"; 
"Diffusion  bonding"; or 
"Direct-acting hydraulic pressing"; 

2. 

Surface  preparation; 
Strain rate; 
Temperature; 
Pressure; 

Technical data consisting of process methods or parameters as listed below used to control: 
"Superplastic  forming''  of aluminium alloys, titanium alloys or "superalloys": 
a. 
1. 
2. 
3. 
4. 
"Diffusion  bonding" of "superdloys" or titanium alloys: 
1. 
2. 
3. 
"Direct-acting hydraulic pressing" of aluminium alloys or titanium alloys: 
1. 
2. 

Surface  preparation; 
Temperature; 
Pressure; 

Pressure; 
Cycle time; 

b. 

c. 

d. 

"Hot isostatic densification"  of titanium alloys, aluminium alloys or "superalloys": 
1. 
2. 
3. 

Temperature; 
Pressure; 
Cycle time; 

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

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

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

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

81 

1. 

Coating Process (1)* 

2.  Substrate 

3.  Resultant Coating 

TABLE -  DEPOSITION  TECHNIQUES 

Aluminides for  internal 
passages 

Silicides 
Carbides 
Dielectric layers (15) 

Silicides 
Carbides 
Refractory  metals 
Mixtures thereof (4) 
Dielectric layers ( 15) 
Aluminides 
Alloyed aluminides (2) 

Carbides 
Tungsten 
Mixtures thereof (4) 
Dielectric layers (15) 

Dielectric layers (15) 

Dielectric layers (15) 

Dielectric layers (15) 

Alloyed  silicides 
Alloyed aluminides (2) 
MCrAlX (5) 
Modified  zirconia (12) 

Silicides 
Aluminides 
Mixtures thereof (4) 

A. 

Chemical Vapour 
Deposition  (CVD) 

"Superalloys" 

Ceramics and Low-
expansion glasses (14) 

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

Cemented  tungsten 
carbide (16), 
Silicon carbide 

Molybdenum and 
Molybdenum alloys 
Beryllium and 
Beryllium alloys 
Sensor window 
materials (9) 

"Superalloys" 

B. 

Thermal-Evaporation 
Physical Vapour 
Deposition  (TE-PVD) 

1. 

Physical Vapour 
Deposition (PVD): 
Electron-Beam 
(EB-PVD) 

The numbers in parenthesis refer to the Notes following  this Table. 

82 

TABLE -  DEPOSITION  TECHNIQUES 

1. 

Coating Process (1) 

2.  Substrate 

Resultant  Coating 

B.l. 

(continued) 

Ceramics and Low-

expansion glasses (14) 

Dielectric layers (15) 

Corrosion resistant 
steel (7) 

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

Cemented tungsten 
carbide (16), 
Silicon carbide 

Molybdenum  and 
Molybdenum  alloys 
Beryllium and 
Beryllium alloys 
Sensor window 
materials (9) 
Titanium alloys (13) 

Ceramics and Low-
expansion glasses (14) 

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

MCrAlX (5) 
Modified  zirconia (12) 
Mixtures thereof (4) 

Silicides 
Carbides 
Refractory  metals 
Mixtures thereof (4) 
Dielectric  layers (15) 

Carbides 
Tungsten 
Mixtures thereof (4) 
Dielectric layers (15) 

Dielectric layers (15) 

Dielectric layers (15) 
Borides 
Dielectric  layers (15) 

Borides 
Nitrides 

Dielectric layers (15) 

Dielectric  layers (15) 

B.2. 

Ion assisted 
resistive  heating 
Physical  Vapour 
Deposition (Ion 
Plating) 

TABLE -  DEPOSITION  TECHNIQUES 

1. 

Coating Process (1) 

2.  Substrate 

3.  Resultant  Coating 

B.2. 

(continued) 

Cemented  tungsten 

carbide (16), 
Silicon carbide 

Dielectric  layers (15) 

Molybdenum and 
Molybdenum  alloys 

Beryllium and 
Beryllium alloys 

Sensor window 
materials (9) 

B.3. 

Physical  Vapour 
Deposition: 
"laser"  evaporation 

Ceramics and Low-
expansion glasses (14) 

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

Cemented  tungsten 
carbide (16), 
Silicon carbide 

Molybdenum and 
Molybdenum alloys 

Beryllium and 
Beryllium alloys 

Sensor window 
materials (9) 

"Superalloys" 

B.4. 

Physical 
Vapour  Deposition: 
cathodic  arc  discharge 

Dielectric  layers (15) 

Dielectric  layers (15) 

Dielectric  layers (15) 

Silicides 
Dielectric  layers (15) 

Dielectric  layers (15) 

Dielectric  layers (15) 

Dielectric  layers (15) 

Dielectric  layers (15) 

Dielectric  layers (15) 
Diamond-like  carbon 

Alloyed  silicides 
Alloyed aluminides (2) 
MCrAlX (5) 

Polymers (11) and 
Organic  "matrix" 
"composites" 

Borides 
Carbides 
Nitrides 

84 

1. 

Coating Process ( 1 ) 

2.  Substrate 

3.  Resultant Coating 

TABLE -  DEPOSITION TECHNIQUES 

c. 

Pack  cementation 
(see A above for  Ceramic and 
out-of-pack 
cementation) (10) 

Metal "matrix" 

Carbon-carbon, 

Silicides 

Carbides 
Mixtures thereof (4) 

"composites" 

Titanium alloys (13) 

Silicides 
Aluminides 
Alloyed aluminides (2) 

Refractory  metals 
and alloys (8) 

Silicides 
Oxides 

D. 

Plasma spraying  "Superalloys" 

MCrAlX (5) 

Modified  zirconia (12) 
Mixtures thereof (4) 
Abradable Nickel-
Graphite 
Abradable 
Ni-Cr-Al-Bentonite 
Abradable Al-Si-
Polyester 
Alloyed aluminides (2) 

MCrAlX (5) 
Modified  zirconia (12) 
Silicides 
Mixtures thereof (4) 

Aluminides 
Silicides 
Carbides 

Modified  zirconia  (12) 
Mixtures thereof (4) 

Aluminium alloys (6) 

Refractory  metals 
and alloys (8) 

Corrosion resistant 
steel (7) 

85 

1. 

Coating Process (1) 

Substrate 

Resultant Coating 

TABLE -  DEPOSITION  TECHNIQUES 

Carbides 
Aluminides 
Silicides 
Alloyed aluminides (2) 
Abradable Nickel-
Graphite 
Abradable 
Ni-Cr-Al-Bentonite 
Abradable Al-Si-Polyester 
Polyester 

Fused silicides 
Fused  aluminides 
except for  resistance 
heating  elements 

Silicides 
Carbides 
Mixtures thereof (4) 

Alloyed  silicides 
Alloyed aluminides (2) 
Noble metal  modified 
aluminides (3) 
MCrAlX (5) 
Modified  zirconia (12) 
Platinum 
Mixtures thereof (4) 

Silicides 
Platinum 
Mixtures thereof (4) 
Dielectic layers (15) 

Borides 
Nitrides 
Oxides 
Silicides 
Aluminides 
Alloyed aluminides (2) 
Carbides 

D. 

(continued) 

Titanium alloys (13) 

E. 

Slurry Deposition 
and alloys (8) 

Refractory  metals 

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

F. 

Sputter Deposition 

"Superalloys" 

Ceramics and Low-
expansion glasses 
(14) 

Titanium alloys (13) 

86 

1. 

F. 

TABLE -  DEPOSITION  TECHNIQUES 

Coating Process (1) 

2.  Substrate 

3.  Resultant  Coating 

(continued) 

Carbon-carbon, 

Ceramic and 
Metal "matrix" 
"composites" 

Cemented tungsten 
carbide (16), 
Silicon carbide 

Molybdenum  and 
Molybdenum alloys 
Beryllium and 
Beryllium alloys 
Sensor window 
materials (9) 

Refractory  metals 
and alloys (8) 

Silicides 
Carbides 
Refractory  metals 
Mixtures thereof (4) 
Dielectric layers (15) 

Carbides 
Tungsten 
Mixtures thereof (4) 
Dielectric layers (15) 

Dielectric layers (15) 
Borides 
Dielectric layers (15) 
Dielectric  layers (15) 

Aluminides 
Silicides 
Oxides 
Carbides 

G. 

Ion Implantation 

High  temperature 
bearing steels 

Additions of Chromium, 
Tantalum or 
Niobium  (Columbium) 

Titanium alloys (13) 

Beryllium and -
Beryllium alloys 

Cemented  tungsten 
carbide ( 16) 

Borides 
Nitrides 

Borides 

Carbides 
Nitrides 

87 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

TABLE -  DEPOSITION TECHNIQUES -  NOTES 

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

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

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

Mixtures consist of infiltrated  material, graded compositions, co-deposits and multilayer deposits and are 
obtained by one or more of the coating processes specified  in the Table. 

MCrALX refers  to a coating alloy where M equals cobalt,  iron, nickel or combinations thereof and X 
equals hafnium,  yttrium, silicon, tantalum in any amount or other intentional additions over 0.01 weight 
percent in various proportions and combinations,  except: 
a. 

CoCrAlY coatings which contain less than 22 weight percent of chromium, less than 7 weight 
percent of aluminium and less than 2weight percent of yttrium; 
CoCrAlY coatings which contain 22 to 24 weight percent of chromium,  10 to  12 weight percent of 
aluminium and 0.5 to 0.7 weight percent of yttrium; or 
NiCrAlY coatings which contain 21 to 23 weight percent of chromium,  10 to  12 weight percent of 
aluminium and 0.9 to  1.1  weight percent of yttrium. 

b. 

c. 

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

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

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

Sensor window materials, as follows:  alumina, silicon, germanium, zinc sulphide, zinc selenide, gallium 
arsenide and the following  metal halides: potassium iodide, potassium fluoride,  or sensor window 
materials of more than 40 mm diameter for thallium bromide and thallium chlorobromide. 

10. 

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

11. 

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

12.  Modified  zirconia refers  to additions of other metal oxides (e.g., calcia, magnesia, yttria, hafnia,  rare  earth 

oxides) to zirconia  in order to stabilise certain crystallographic phases and phase compositions. Thermal 
barrier coatings made of zirconia, modified  with calcia or magnesia by mixing or fusion,  are not 
controlled. 

13. 

14. 

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

Low-expansion  glasses refers  to glasses which have a coefficient  of thermal expansion of  lxlO"7K"' or less 
measured at 293 K (20°C). 

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

16.  Cemented tungsten carbide does not include cutting and forming  tool materials consisting of tungsten 

carbide/(cobalt,  nickle), titanium carbide/(cobalt, nickle), chromium carbide/nickle-chromium  and 
chromium carbide/nickle. 

TABLE -  DEPOSITION TECHNIQUES -  TECHNICAL NOTE 

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

a. 

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

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

N.B.2  Pack denotes a substrate immersed in a powder mixture. 
N.B.3 The gaseous reactants used in the out-of-pack  process are produced using the same basic reactions 

and parameters as the pack cementation process, except that the substrate to be coated is not in 
contact with the powder mixture. 

b. 

Thermal Evaporation-Physical  Vapour Deposition (TE-PVD) is an overlay coating process conducted in a 
vacuum with a pressure less than 0.1  Pa wherein a source of thermal energy is used to vaporize the 
coating material. This'process results in the condensation, or deposition, of the evaporated species onto 
appropriately positioned substrates. 

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

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

Specific  TE-PVD processes are as follows: 
1. 

2. 

3. 

4. 

Electron Beam PVD uses an electron beam to heat and evaporate the material which forms  the 
coating; 
Resistive Heating PVD employs electrically resistive heating sources capable of producing a 
controlled and uniform flux of evaporated coating species; 
"Laser" Evaporation uses either pulsed or continuous wave "laser" beams to heat the material  which 
forms the coating; 
Cathodic Arc Deposition employs a consumable cathode of the material which forms the coating 
and has an arc discharge established on the surface by a momentary contact of a ground trigger. 
Controlled motion of arcing erodes the cathode surface  creating a highly ionized plasma. The 
anode can be either a cone attached to the periphery of the cathode, through an insulator, or the 
chamber. Substrate biasing is used for non line-of-sight  deposition. 
N.B. This definition  does not include random cathodic arc deposition with 

non-biased  substrates. 

c. 

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

89 

d. 

e. 

f. 

g. 

Pack Cementation is a surface modification  coating or overlay coating process wherein a substrate is 
immersed in a powder mixture (a pack), that consists  of: 
1. 

The metallic powders that are to be deposited (usually aluminium, chromium, silicon or 
combinations  thereof); 
An activator (normally a halide salt); and 
An inert powder, most frequently  alumina. 

2. 
3. 

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

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

N.B.I  Low pressure means less than ambient atmospheric pressure. 
N.B.2  High velocity refers  to nozzle-exit gas velocity exceeding 750 mis calculated at 293 K (20°C) at 0.1 

MPa. 

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

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

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

N.B.2  Low-energy ion beams (less than 5 keV) can be used to activate the deposition. 

h. 

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

2E101 "Technology" according to the General Technology Note for the "use" of equipment or  "software" 

specified  in 2B004, 2B104, 2B109, 2B116 or 2D101. 

2E201 "Technology" according to the General Technology Note for the "use" of equipment or  "software" 

specified  in 2A225, 2A226, 2B001, 2B006, 2B007.b., 2B007.C, 2B008, 2B009, 2B201, 2B204, 
2B206, 2B207, 2B209, 2B225 to 2B232, 2D201 or 2D202. 

2E301 "Technology" required .for the "use" of goods specified  in 2B350 to 2B352. 

90 

CATEGORY 3 -  ELECTRONICS 

3A 

Systems, Equipment  and  Components 

Notes:  1.  The control status of equipment and components described in 3A001 or 3A002, other than 
those described in 3A001.a.3. to 3A001.a.l0.  or 3A001.a.l2.,  which are specially  designed 
for  or which have the same functional  characteristics as other equipment is determined  by 
the control status of the other equipment. 

2.  The control status of integrated circuits described in 3A001.a.3. to 3A001.a.9. or 

3A001.a. 12. which are unalterably programmed  or designed for  a specific function  for 
another equipment is determined by the control status of the other equipment. 
N.B. :  When the manufacturer or applicant cannot determine the control status of the 

other equipment, the control status of the integrated circuits is determined in 
3A00l.a.3.  to 3A001.a.9. and 3A001.a. 12. 
If the integrated circuit is a silicon-based  "microcomputer microcircuit" or 
microcontroller microcircuit described in 3A00l.a.3.  having an operand  (data) 
word length of 8 bit or less, the control status of the integrated circuit is determined 
in 3A001.a.3. 

3A001  Electronic  components, as follows: 

a. 

General purpose  integrated circuits, as  follows: 

Notes:  1.  The control status of wafers (finished or unfinished), in which the function  has been 

2. 

determined, is to be evaluated against the parameters  of3A001.a. 
Integrated circuits include the following  types: 
"Monolithic integrated circuits"; 
"Hybrid integrated circuits"; 
"Multichip integrated circuits"; 
"Film type integrated circuits", including silicon-on-sapphire  integrated 
circuits; 
"Optical integrated circuits". 

1. 

2. 

Integrated circuits, designed or rated as radiation hardened to withstand any of the 
following: 
a.  A total dose of 5 x  103 Gy (Si) or higher; or 
b.  A dose rate upset of 5 x  106 Gy (Si)/s or higher; 

"Microprocessor microcircuits", "microcomputer microcircuits",  microcontroller 
microcircuits, storage integrated circuits manufactured  from  a compound  semiconductor, 
analogue-to-digital  converters, digital-to-analogue  converters, electro-optical or  "optical 
integrated circuits" designed  for  "signal processing", field programmable  gate arrays, field 
programmable  logic arrays, neural network integrated circuits, custom integrated  circuits 
for which either the function  is unknown or the control status of the equipment in which 
the integrated circuit will be used is unknown, Fast Fourier Transform  (FFT) processors, 
electrical erasable programmable read-only memories (EEPROMs), flash  memories or 
static random-access memories (SRAMs), having any of the  following: 
a.  Rated for operation at an ambient temperature above 398 K (125°C); 
b.  Rated for operation at an ambient temperature below 218 K (-55°C); or 
c.  Rated for operation over the entire ambient temperature range from 218 K (-55°C) to 

398K(125°C); 

Note: 

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

3. 

"Microprocessor microcircuits", "micro-computer microcircuits" and  microcontroller 
microcircuits, having any of the following  characteristics: 
Note: 

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

91 

a.  A "composite theoretical performance"  ("CTP")  of 260 million theoretical  operations 

per second (Mtops) or more and an arithmetic  logic unit with an access width of 32 bit 
or more; 

b.  Manufactured  from  a compound semiconductor  and operating at a clock  frequency 

exceeding 40 MHz; or 

c.  More than one data or instruction bus or serial communication port for  external 

interconnection  in a parallel processor with a transfer  rate exceeding 2.5 Mbyte/s; 

Storage integrated circuits manufactured  from  a compound  semiconductor; 

Analogue-to-digital  and digital-to-analogue  converter integrated circuits, as  follows: 
a.  Analogue-to-digital  converters having any of the  following: 

1. 

2. 

3. 

A resolution of 8 bit or more, but less than  12 bit, with a total conversion  time 
to maximum resolution  of less than  10 ns; 
A resolution of  12 bit with a total conversion time to maximum resolution of 
less than 200 ns; or 
A resolution of more than  12 bit with a total conversion time to maximum 
resolution of less than 2 us; 

b.  Digital-to-analogue  converters with a resolution of  12 bit or more, and a "settling time" 

of less than  10 ns; 

Electro-optical  and "optical integrated circuits" designed for  "signal processing" having  all 
of the  following: 
a.  One or more than one internal "laser" diode; 
b.  One or more than one internal light detecting element; and 
c.  Optical waveguides; 

Field programmable gate arrays having any of the  following: 
a.  An equivalent usable gate count of more than 30,000 (2 input gates); or 
b.  A typical  "basic gate propagation delay time" of less than 0.4 ns; 

Field programmable  logic arrays having any of the  following: 
a.  An equivalent usable gate count of more than 30,000 (2 input gates); or 
b.  A toggle frequency  exceeding  133 MHz; 

4. 

5. 

6. 

7. 

8. 

9. 

Neural network integrated circuits; 

10. 

11. 

12. 

Custom integrated circuits for which the function  is unknown, or the control status of the 
equipment in which the integrated circuits will be used is unknown to the  manufacturer, 
having any of the  following: 
a.  More than 208 terminals; 
b.  A typical "basic gate propagation delay time" of less than 0.35  ns; or 
c.  An operating  frequency  exceeding 3 GHz; 

Digital integrated circuits, other than those described  in 3A001.a.3 to 3A001.a.l0. and 
3A001.a.l2., based upon any compound semiconductor  and having any of the  following: 
a.  An equivalent gate count of more than 300 (2 input gates); or 
b.  A toggle frequency  exceeding  1.2  GHz; 

Fast Fourier Transform  (FFT) processors having any of the  following: 
a.  A rated execution time for  a 1,024  point complex FFT of less than  1  ms; 
b.  A rated execution time for an N-point complex FFT of other than  1,024  points of less 

than N log2 N /10,240 ms, where N is the number of points; or 

c.  A butterfly  throughput of more than 5.12  MHz; 

b.  Microwave or millimetre wave components, as  follows: 

1. 

Electronic vacuum tubes and cathodes, as follows: 
Note: 

3A00I.b.I.  does not control tubes designed or rated to operate  in the ITU 
allocated bands at frequencies not exceeding 31 GHz. 

92 

a.  Travelling wave tubes, pulsed or continuous wave, as follows: 

3. 

4. 

1. 
2. 

Operating at frequencies higher than 31 GHz; 
Having a cathode heater element with a turn on time to rated RF power of less 
than 3 seconds; 
Coupled cavity tubes, or derivatives thereof, with an  "instantaneous 
bandwidth" of more than 7% or a peak power exceeding 2.5 kW; 
Helix tubes, or derivatives thereof, with any of the following  characteristics: 
An "instantaneous bandwidth" of more than one octave, and average 
a. 
power (expressed in kW) times frequency  (expressed  in GHz) of more 
than 0.5; 
An "instantaneous bandwidth" of one octave or less, and average 
power (expressed in kW) times frequency  (expressed in GHz) of more 
than  1 ; or 
Being"space  qualified"; 
b.  Crossed-field  amplifier  tubes with a gain of more than  17 dB; 
c.  Impregnated cathodes designed for electronic tubes, with any of the  following: 
A turn on time to rated emission of less than 3 seconds; or 
Producing a continuous emission current density at rated operating  conditions 
exceeding 5 A/cm2; 

1. 
2. 

b. 

c. 

2. 

3. 
4. 

5. 

6. 

7. 

8. 

Microwave integrated circuits or modules containing  "monolithic integrated circuits" 
operating at frequencies  exceeding 3 GHz; 
Note: 

3A001.b.2. does not control circuits or modules for  equipment designed  or 
rated to operate in the ITU allocated bands at frequencies not exceeding  31 
GHz. 

Microwave transistors rated for operation at frequencies exceeding 31 GHz; 
Microwave solid state amplifiers, having any of the  following: 
a.  Operating frequencies exceeding  10.5 GHz and an "instantaneous bandwidth" of more 

than half an octave; or 

b.  Operating frequencies exceeding 31 GHz; 
Electronically or magnetically tunable band-pass or band-stop filters having more than 5 
tunable resonators capable of tuning across a  1.5:1 frequency band (f^f,™)  in less than 
10 us having any of the  following: 
a.  A band-pass bandwidth of more than 0.5% of centre frequency;  or 
b.  A band-stop bandwidth of less than 0.5% of centre frequency; 
Microwave assemblies capable of operating at frequencies exceeding 31 GHz; 

Mixers and converters designed to extend the frequency range of equipment described in 
3A002.C, 3A002.e. or 3A002.f. beyond the limits stated therein; 

Microwave power amplifiers  containing tubes specified  in 3A001.b. and having all of the 
following: 
a.  Operating frequencies above 3 GHz; 
b.  An average output power density exceeding  80 W/kg; and 
c.  A volume of less than 400 cm3; 
Note: 

3A001.b.8. does not control equipment designed or rated for  operation  in an 
ITU allocated band. 

c. 

Acoustic wave devices, as follows, and specially designed components  therefor: 
1. 

Surface  acoustic wave and surface  skimming (shallow bulk) acoustic wave devices (i.e., 
"signal processing" devices employing elastic waves in materials), having any of the 
following: 
a.  A carrier frequency exceeding 2.5 GHz; 
b.  A carrier frequency exceeding  1  GHz, but not exceeding 2.5 GHz, and having any of 

the  following: 
1. 
2. 

3. 
4. 

A frequency  side-lobe rejection exceeding 55 dB; 
A product of the maximum delay time and the bandwidth (time in us and 
bandwidth in MHz) of more than 100; 
A bandwidth greater than 250 MHz; or 
A dispersive delay of more than  10 us; or 

93 

c.  A carrier frequency  of  1  GHz or less, having any of the  following: 

1. 

2. 
3. 

A product of the maximum delay time and the bandwidth (time in us and 
bandwidth in MHz) of more than  100; 
A dispersive delay of more than  10 us; or 
A frequency  side-lobe rejection exceeding 55 dB and a bandwidth  greater 
than 50 MHz; 

2. 

3. 

Bulk (volume) acoustic wave devices (i.e., "signal processing" devices employing  elastic 
waves) which permit the direct processing of signals at frequencies  exceeding  1 GHz; 
Acoustic-optic  "signal processing" devices employing interaction between acoustic  waves 
(bulk wave or surface wave) and light waves which permit the direct processing of signals 
or images, including spectral analysis, correlation or convolution; 

Electronic devices and circuits containing components, manufactured  from  "superconductive" 
materials specially designed for operation at temperatures below the "critical temperature" of at 
least one of the  "superconductive" constituents, with any of the  following: 

1. 

2. 

3. 

Electromagnetic  amplification: 
a.  At frequencies  equal to or less than 31 GHz with a noise figure  of less than 0.5 dB; or 
b.  At frequencies exceeding  31 GHz; 
Current switching for digital circuits using "superconductive" gates with a product of 
delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10"14 
J; or 
Frequency selection at all frequencies using resonant circuits with Q-values exceeding 
10,000; 

High energy devices, as follows: 
1. 

Batteries and photovoltaic arrays, as follows: 
Note: 

3A001.e.l.  does not control batteries with volumes equal to or less than 27 
cm}  (e.g., standard C-cells or R14 batteries). 

a.  Primary cells and batteries having an energy density exceeding 480 Wh/kg and rated 
for operation in the temperature range from below 243 K (-30°C)  to above 343 K 
(70°C); 

b.  Rechargeable  cells and batteries having an energy density exceeding  150 Wh/kg  after 
75 charge/discharge cycles at a discharge current equal to C/5 hours (C being the 
nominal capacity in ampere hours) when operating in the temperature range from 
below 253 K (-20°C) to above 333 K (60°C); 

Technical Note: 
Energy density is obtained by multiplying the average power  in watts (average voltage in 
volts times average current in amperes) by the duration of the discharge in hours to 75% 
of the open circuit voltage divided by the total mass of the cell (or battery) in kg. 

c.  "Space qualified"  and radiation hardened photovoltaic arrays with a specific  power 
exceeding  160 W/m2 at an operating temperature of 301 K (28°C) under a tungsten 
illumination of  1  kW/m2 at 2,800 K (2,527°C); 

2. 

High energy storage capacitors, as follows: 
N.B.: SEE  ALSO  3A201.a. 
a.  Capacitors with a repetition rate of less than  10 Hz (single shot capacitors) having all 

of the  following: 
1. 
2. 
3. 

A-voltage rating equal to or more than 5 kV; 
An energy density equal to or more than 250 J/kg; and 
A total energy equal to or more 25 kJ; 

b.  Capacitors with a repetition rate of  10 Hz or more (repetition rated capacitors) having 

all of the  following: 
1. 
2. 
3. 

A voltage rating equal to or more than 5 kV; 
An energy density equal to or more than 50 J/kg; 
A total energy equal to or more than  100 J; and 

94 

4. 

A charge/discharge  cycle life equal to or more than  10,000; 

3. 

"Superconductive" electromagnets  and solenoids specially designed to be fully  charged or 
discharged  in less than one second, having all of the  following: 
N.B.: SEE ALSO 3A201.b. 
a.  Energy delivered during the discharge exceeding  10 kJ in the first second; 
b.  Inner diameter of the current carrying windings of more than 250 mm; and 
c.  Rated  for a magnetic induction of more than 8 T or "overall current density" in the 

winding of more than 300 A/mm2; 

Note:  3A001.e.3. does not control  "superconductive" electromagnets or solenoids  specially 

designed for  Magnetic Resonance Imaging  (MRI) medical equipment. 

f. 

Rotary input type shaft  absolute position encoders having any of the  following: 
1. 
2. 

A resolution of better than  1  part in 265,000 (18 bit resolution) of full  scale; or 
An accuracy better than ± 2.5 seconds of arc. 

3A002  General purpose electronic equipment,  as follows: 

a. 

Recording equipment,  as follows,  and specially designed test tape  therefor: 
1. 

Analogue  instrumentation magnetic tape recorders, including those permitting  the 
recording  of digital signals (e.g., using a high density digital recording  (HDDR) module), 
having any of the  following: 
a.  A bandwidth exceeding 4 MHz per electronic channel or track; 
b.  A bandwidth exceeding 2 MHz per electronic channel or track and having more than 

42 tracks; or 

c.  A time displacement (base) error, measured in accordance with applicable IRIG or ELA 

documents, of less than±  0.1  us; 

2. 

3. 

4. 

5. 

Note: 

Analogue magnetic tape recorders specially designed for  civilian video 
purposes  are not considered to be instrumentation tape recorders. 

Digital video magnetic tape recorders having a maximum digital interface  transfer  rate 
exceeding  180 Mbit/s; 
Note: 

3A002.a.2. does not control digital video magnetic tape recorders  specially 
designed for  television recording using a signal format  standardised  or 
recommended by the CCIR or the IECfor  civil television  applications. 

Digital instrumentation  magnetic tape data recorders employing helical scan techniques  or 
fixed head techniques, having any of the  following: 
a.  A maximum digital interface  transfer  rate exceeding  175 Mbit/s; or 
b.  Being  "space  qualified". 

Note: 

3A002.a.3 does not control analogue magnetic tape recorders equipped  with 
HDDR conversion electronics and configured to record only digital data. 

Equipment, having  a maximum digital interface  transfer  rate exceeding  175 Mbit/s, 
designed to convert digital video magnetic tape recorders  for use as digital  instrumentation 
data recorders; 
Waveform  digitisers and transient recorders having all of the  following: 
N.B.: SEE  ALSO 3A202. 
a.  Digitising rates equal to or more than 200 million samples per second  and a resolution 

of  10 bits or more; and 

b.  A continuous  throughput of 2 Gbit/s or more; 

Technical Note: 
For those instruments with a parallel  bus architecture, the continuous  throughput rate is 
the highest word rate multiplied by the number of bits in a  word. 
Continuous throughput is the fastest  data rate the instrument can output to mass storage 
without the loss of any information whilst sustaining the sampling rate and  analogue-to-
digital conversion. 

95 

b. 

c. 

d. 

"Frequency synthesiser"  "electronic assemblies" having a "frequency  switching time" from one 
selected frequency  to another of less than  1  ms; 

"Signal analysers", as follows: 
1. 
2. 

"Signal analysers" capable of analysing frequencies  exceeding 31 GHz; 
"Dynamic signal analysers" having a "real-time bandwidth" exceeding 25.6 kHz; 
Note: 

3A002.C.2.  does not control those  "dynamic signal analysers" using only  constant 
percentage  bandwidth filters. 
Technical Note: 
Constant percentage  bandwidth filters are also known as octave or fractional 
octave filters. 

Frequency synthesised signal generators producing output frequencies,  the accuracy and short 
term and long term stability of which are controlled, derived from  or disciplined by the internal 
master frequency,  and having any of the  following: 
1. 
2. 
3. 

A maximum synthesised  frequency  exceeding 31 GHz; 
A "frequency  switching time" from  one selected frequency  to another of less than  1  ms; or 
A single sideband (SSB) phase noise better than -(126 + 20 log10F - 20 log10f)  in dBc/Hz, 
where F is the off-set  from the operating frequency  in Hz and f is the operating  frequency 
in MHz; 

Note:  3A002.d.-does not control equipment in which the output frequency is either produced  by 

the addition or subtraction of two or more crystal oscillator frequencies, or by an  addition 
or subtraction followed  by a multiplication of the result. 

e. 

Network analysers with a maximum operating frequency  exceeding 40 GHz; 

f.  Microwave test receivers having all of the  following: 

1. 
2. 

A maximum operating frequency  exceeding 40 GHz; and 
Being capable of measuring amplitude and phase  simultaneously; 

g.  Atomic frequency  standards having any of the  following: 

1. 

2. 

Long-term stability (aging) less (better) than  1 x  10"''/month; or 

Being  "space  qualified". 

Note:  3A002.g. 1. does not control non-"space qualified" rubidium standards. 

3A101  Electronic equipment,  devices and components, other than those specified  in 3A001, as follows: 

a. 

Analog-to-digital  converters, usable in "missiles", designed to meet military specifications  for 
ruggedized  equipment; 

b.  Accelerators capable of delivering electromagnetic radiation produced by bremsstrahlung  from 

accelerated  electrons of 2 Mev or greater, and systems containing those accelerators. 
Note: 3A101.b. above does not specify equipment specially designed for  medical  purposes. 

3A201  Electronic components, other than those specified  in 3A001, as follows; 

a. 

b. 

Capacitors with the following  characteristics: 
1. 

Voltage rating greater than  1.4 kV, energy storage greater than  10 J, capacitance  greater 
than 0.5  uF and series inductance  less than 50 nH; or 
Voltage rating greater than 750 V, capacitance greater than 0.25  uF and series  inductance 
less than  10 nH; 

2. 

Superconducting  solenoidal electromagnets with all of the following  characteristics: 
1. 
2. 
3. 

Capable of creating magnetic fields  of more than 2 teslas (20 kilogauss); 
With an L/D ratio (length divided by inner diameter) greater than 2; 
With an inner diameter of more than 300 mm; and 

96 

4. 

With a magnetic field uniform to better than  1% over the central 50% of the inner volume; 

Note:  3A201.b. does not specify magnets specially designed for  and exported as parts  of  medical 

nuclear magnetic resonance (NMR) imaging systems.  The phrase  'as part  of  does not 
necessarily mean physical part  in the same shipment; separate shipments from different 
sources are allowed, provided  the related export documents clearly specify that the 
shipments are dispatched  "as part  of  the imaging systems. 

c. 

Flash X-ray generators or pulsed electron accelerators with peak energy of 500 keV or greater, as 
follows; 
except: 
Accelerators that are component parts of devices designed for purposes other  than electron beam 
or X-ray radiation (electron microscopy, for example) and those designed for medical purposes: 

1. 

Having an accelerator peak electron energy of 500 keV or greater but less than 25 MeV 
and with a figure of merit (K) of 0.25 or greater, where K is defined  as: 

K 

= 

1.7xl03V265Q, 

where V is the peak electron energy in million electron volts and Q is the total  accelerated 
charge in coulombs if the accelerator beam pulse duration is less than or equal to 1 
microsecond; if the accelerator beam pulse duration is greater than  1  microsecond,  Q is the 
maximum accelerated charge in 1  microsecond  [Q equals the integral of i with respect to t, 
over the lesser of  1  microsecond or the time duration of the beam pulse (Q = [integral] idt), 
where i is beam current in amperes and t is time in seconds]; or 

2. 

Having an accelerator peak electron energy of 25 MeV or greater and a peak power  greater 
than 50 MW. [Peak power = (peak potential in volts) x (peak beam current in amperes)]. 

Technical Notes: 
a.  Time duration of the beam pulse  - In machines, based on microwave  accelerating 
cavities, the time duration of the beam pulse  is the lesser of 1 microsecond or the 
duration of the bunched beam packet  resulting from  one microwave modulator  pulse. 
b.  Peak beam current -  In machines based on microwave accelerating cavities, the peak 
beam current is the average current in the time duration of a bunched beam  packet. 

3A225  Frequency changers (also known as converters or inverters) or generators, other than those specified  in 

OBOOl.c.ll., having all of the following  characteristics: 

a. 

b. 

A multiphase output capable of providing a power of 40 W or more; 

Capable of operating in the frequency  range between 600 and 2000 Hz; 

c. 

Total harmonic distortion below  10%; and 

d. 

Frequency control better than 0.1%. 

3A226  Direct current high-power supplies, other than those specified  in 0B001 .j.6., capable of continuously 
producing,over  a time period of 8 hours,  100 V or greater with current output of 500 A or greater and 
with current or voltage regulation better than  0.1%. 

3A227  High-voltage direct current power supplies, other than those specified  in OBOOl.j.5., capable of 

continuously producing, over a time period of 8 hours, 20,000 V or greater with current output of  1  A or 
greater and with current or voltage regulation better than  0.1%. 

3A228  Switching devices, as follows: 

97 

a. 

Cold-cathode tubes (including gas krytron tubes and vacuum sprytron tubes), whether gas filled or 
not, operating similarly to a spark gap, containing three or more electrodes, and having all of the 
following  characteristics: 
1. 
2. 
3. 

Anode peak voltage rating of 2,500 V or more; 
Anode peak current rating of  100 A or more; and 
Anode delay time of  10 us or less; 

b. 

Triggered spark-gaps having an anode delay time of  15 us or less and rated for a peak current of 
500 A or more; 

c.  Modules or assemblies with a fast switching function  having all of the following  characteristics: 

1. 
2. 
3. 

Anode peak voltage rating greater than 2,000 V; 
Anode peak current rating of 500 A or more; and 
Turn-on time of  1 us or less. 

3 A229  Firing sets and equivalent high-current pulse generators (for  controlled detonators), as  follows: 

N.B.: SEE ALSO MILITARY GOODS CONTROLS. 

a. 

Explosive detonator firing sets designed to drive multiple controlled detonators specified  in 
3A232; 

b.  Modular electrical pulse generators (pulsers) designed for portable, mobile or ruggedized use 

(including xenon flash-lamp drivers) having all the following  characteristics: 
1. 
2. 
3. 

Capable of delivering their energy in less than  15 (is; 
Having an output greater than  100 A; 
Having a rise time of less than  10 us into loads of less than 40 ohms (rise time is the time 
interval from  10% to 90% current amplitude when driving a resistive load); 
Enclosed in a dust-tight enclosure; 
No dimension greater than 254 mm; 
Weight less than 25 kg; and 
Specified  for use over an extended temperature range (223 K (-50°C) to 373 K (100°C)) or 
specified  as suitable for  aerospace use. 

4. 
5. 
6. 
7. 

3A230  High-speed pulse generators with output voltages greater than 6 volts into a less than 55 ohm resistive 

load, and with pulse transition times less than 500 picoseconds. 

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

3A231  Neutron generator systems, including tubes, designed for operation without an external vacuum  system 

and utilizing electrostatic acceleration to induce a tritium-deuterium nuclear reaction. 

3A232  Detonators and multipoint initiation systems, as follows: 
N.B.: SEE ALSO MILITARY GOODS CONTROLS. 

a. 

Electrically driven explosive detonators, the  following: 
1. 
2. 
3. 
4. 

Exploding bridge (EB); 
Exploding bridge wire (EBW); 
Slapper; 
Exploding  foil  initiators (EFI); 

b.  Arrangements using single or multiple detonators designed to nearly simultaneously  initiate an 

explosive surface  (over greater than 5000 mm2) from  a single firing  signal (with an initiation 
timing spread over the surface  of less than 2.5 us). 

Note: 3A232 does not specify detonators using only primary  explosives, such as lead azide. 

98 

Technical Note: 
The detonators of concern all utilise a small electrical conductor (bridge, bridge wire or foil)  that 
explosively vapourises when a fast,  high-current electrical pulse  is passed  through it. In  nonslapper 
types, the exploding conductor starts a chemical detonation in a contacting high-explosive material such 
as PETN (Pentaerythritoltetranitrate). In slapper detonators, the explosive vapourisation of the 
electrical conductor drives a flyer or slapper across a gap and the impact of the slapper on an  explosive 
starts a chemical detonation.  The slapper in some designs is driven by a magnetic force.  The term 
exploding foil  detonator may refer to either an EB or a slapper-type detonator. Also,  the word initiator 
is sometimes used in place  of the word detonator. 

3A233  Mass spectrometers, other than those specified  in 0B002.g., capable of measuring  ions of 230 atomic 
mass units or greater and having a resolution of better than 2 parts in 230, as follows, and ion sources 
therefor: 

a. 

Inductively coupled plasma mass spectrometers (ICP/MS); 

b.  Glow discharge mass spectrometers (GDMS); 

c. 

Thermal ionization mass spectrometers (TIMS); 

d. 

Electron bombardment mass spectrometers  which have a source chamber constructed  from,  lined 
with or plated with materials resistant to UF6; 

e.  Molecular beam mass spectrometers as follows: 

1. 

2. 

Which have a source chamber constructed from, lined with or plated with stainless steel or 
molybdenum and have a cold trap capable of cooling to  193 K (-80°C) or less; or 
Which have a source chamber constructed  from,  lined with or plated with materials 
resistant to UF6; or 

f.  Mass spectrometers equipped with a microfluorination  ion source designed for use with  actinides 

or actinide  fluorides. 

3B 

Test, Inspection  and Production  Equipment 

3B001  Equipment  for the manufacturing  of semiconductor devices or materials, as follows, and specially 

designed components  and accessories  therefor: 
a. 

"Stored programme controlled" equipment designed for epitaxial growth, as follows: 
1. 

Equipment capable of producing a layer thickness uniform  to less than ± 2.5% across a 
distance of 75 mm or more; 
Metal organic chemical vapour deposition (MOCVD) reactors specially designed  for 
compound  semiconductor crystal growth by the chemical reaction between  materials 
specified  in 3C003 or 3C004; 
Molecular beam epitaxial growth equipment using gas sources; 

2. 

3. 

b. 

c. 

"Stored programme controlled" equipment designed  for  ion implantation, having any of the 
following: 
1. 
2. 

An accelerating  voltage exceeding 200 keV; 
Being specially designed  and optimised to operate at an accelerating voltage of less than 
lOkeV; 
Direct write capability; or 
Being capable of high energy oxygen implant  into a heated semiconductor  material 
"substrate"; 

3. 
4. 

"Stored programme controlled" anisotropic plasma dry etching equipment, as follows: 
1. 

Equipment with cassette-to-cassette  operation  and load-locks, and having any of the 
following: 
a.  Magnetic confinement;  or 
b.  Electron cyclotron resonance (ECR); 

99 

d. 

e. 

f. 

2. 

Equipment specially designed for equipment specified  in 3B001.e. and having any of the 
following: 
a.  Magnetic confinement;  or 
b.  ECR; 

"Stored programme controlled" plasma enhanced CVD equipment,  as follows: 
1. 

Equipment with cassette-to-cassette  operation and load-locks, and having any of the 
following: 
a.  Magnetic confinement;  or 
b.  ECR; 
Equipment specially designed for equipment specified  in 3B001 .e. and having any of the 
following: 
a.  Magnetic confinement;  or 
b.  ECR; 

2. 

"Stored programme controlled" automatic loading multi-chamber central wafer  handling systems, 
having all of the  following: 
1. 

Interfaces  for wafer input and output, to which more than two pieces of semiconductor 
processing equipment are to be connected; and 
Designedto  form an integrated system in a vacuum environment  for sequential  multiple 
wafer  processing; 
Note: 

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

2. 

"Stored programme controlled" lithography equipment, as follows: 
1. 

Align and expose step and repeat equipment  for wafer processing using 
photo-optical or X-ray methods, having any of the  following: 
a.  A light source wavelength shorter than 400 nm; or 
b.  Capable of producing a partem with a minimum resolvable feature  size of 0.7  um or 

less; 
Note: The minimum resolvable feature  size is calculated by the following  formula: 

(an  exposurelight  sourcewavelength  in  \xm) x  (Kfactor) 

numerical  aperture 

where the Kfactor  = 0.7. 
MRF  = minimum resolvable feature  size. 

2. 

Equipment specially designed for mask making or semiconductor  device processing using 
deflected  focussed  electron beam, ion beam or "laser" beam, having any of the  following: 
a.  A spot size smaller than 0.2  um; 
b.  Being capable of producing a pattern with a feature  size of less than  1  um; or 
c.  An overlay accuracy of better than ± 0.20  um (3 sigma); 

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

h.  Multi-layer masks with a phase shift  layer. 

3B002  "Stored programme controlled" test equipment,  specially designed for testing finished or  unfinished 

semiconductor devices, as follows, and specially designed components and accessories  therefor: 

a. 
b. 

For testing S-parameters  of transistor devices at frequencies  exceeding  31 GHz; 
For testing integrated circuits capable of performing  functional  (truth table) testing at a pattern rate 
of more than 60 MHz; 
Note:  3B002.b. does not control test equipment specially designed for  testing: 

1.  "electronic assemblies " or a class of  "electronic assemblies "for  home or 

entertainment  applications; 

2.  Uncontrolled electronic components,  "electronic assemblies " or integrated  circuits. 

100 

c. 

For testing microwave integrated circuits at frequencies  exceeding 3 GHz; 
Note:  3B002.C does not control test equipment specially designed for  testing  microwave 

integrated circuits for  equipment designed or rated to operate in the ITU allocated  bands 
at frequencies not exceeding 31 GHz. 

d. 

Electron beam systems designed for operation at 3 keV or below, or "laser" beam systems, for the 
non-contactive probing of powered-up semiconductor  devices, having all of the  following: 
Stroboscopic capability with either beam-blanking  or detector strobing; and 
1. 
An electron spectrometer for voltage measurement with a resolution of less than 0.5 V. 
2. 
Note:  3B002.d.  does not control scanning electron microscopes, 

except: 
When specially designed and instrumented for  the non-contactive probing  of  powered-up 
semiconductor  devices. 

3C 

Materials 

3C001  Hetero-epitaxial materials consisting of a "substrate" having stacked epitaxially grown multiple layers of 

any of the  following: 
Silicon; 
a. 
Germanium; or 
b. 
III/V compounds of gallium or indium. 
c. 

Technical Note: 
III/V compounds are polycrystalline  or binary-or complex mono crystalline products  consisting  of 
elements of groups III A and  VA  of Mendeleyev's periodic  classification table (e.g., gallium 
arsenide, gallium-aluminium  arsenide, indium phosphide). 

3C002  Resist materials, as follows,  and "substrates" coated with controlled resists: 

a. 

b. 

Positive resists designed for  semiconductor  lithography specially adjusted  (optimised)  for use at 
wavelengths below 370 nm ; 
All resists designed for use with electron beams or ion beams, with a sensitivity of 
0.01  ucoulomb/mm2 or better; 
All resists designed for use with X-rays, with a sensitivity of 2.5 mJ/mnr  or better; 

c. 
d.  All resists optimised for surface  imaging technologies, including silylated resists. 

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

3C003  Organo-inorganic  compounds, as follows: 

a. 

b. 

Organo-metallic compounds of aluminium, gallium or indium having a purity (metal basis) better 
than 99.999%; 
Organo-arsenic, organo-antimony  and organo-phosphorus  compounds having a purity  (inorganic 
element basis) better than 99.999%. 

Note: 3C003 only controls compounds whose metallic, partly  metallic or non-metallic  element is directly 

linked to carbon in the organic part  of the molecule. 

3C004  Hydrides of phosphorus, arsenic or antimony, having a purity better than 99.999%, even diluted  in inert 

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

3D 

Software 

3D001  "Software"  specially designed for the "development" or "production" of equipment specified  in 

3A001.b. to3A002.g. or 3B. 

3D002  "Software"  specially designed for the "use" of "stored programme controlled" equipment  specified  in 

3B. 

101 

3D003  Computer-aided-design  (CAD) "software" designed for semiconductor devices or integrated circuits, 

having any of the  following: 

a. 

b. 

c. 

Design rules or circuit verification  rules; 

Simulation of the physically laid out circuits; or 

Lithographic processing  simulators for design. 
Technical Note: 
A lithographic processing  simulator is a "software" package used in the design phase to define  the 
sequence of lithographic, etching and deposition steps for translating masking patterns into 
specific  topographical patterns in conductors, dielectrics or semiconductor material. 

Note: 3D003 does not control "software" specially designed for schematic entry, logic simulation, 

placing and routing, layout verification  or pattern generation tape. 
N.B.: 

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

3D 101  "Software"  specially designed for the "use" of equipment specified  in 3A101.b. 

3E 

Technology 

3E001 

"Technology" according to the General Technology Note for the "development" or "production" of 
equipment or materials specified  in 3A, 3B or 3C; 
Note: 3E001 . does not control  "technology"for  the  "development" or  "production" of: 

a.  Microwave  transistors operating at frequencies below 31 GHz; 
b.  Integrated  circuits specified in 3A001.a.3. to 3A001.a.l2.,  having all of the  following: 

1. 
2. 
N.B.: 

Using "technology" of 1 p.m or more, and 
Not incorporating multi-layer structures. 
The term multi-layer structures in Note b.2. to 3E001 does not include devices 
incorporating a maximum of two metal layers and two polysilicon  layers. 

3E002  Other  "technology" for the "development" or "production"  of: 

Vacuum microelectronic  devices; 

a. 
b.  Hetero-structure  semiconductor devices such as high electron mobility transistors (HEMT), 

hetero-bipolar transistors (HBT), quantum well and super lattice devices; 
"Superconductive" electronic devices; 
Substrates of films of diamond for electronic components. 

c. 
d. 

3E101 

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

3E102  "Technology" according to the General Technology Note for the "development" of "software"  specified 

in3D101. 

3E201 

"Technology" according to the General Technology Note for the "use" of equipment specified  in 
3A001.e.2., 3A001.e.3., 3A201, 3A202, 3A225 to 3A233. 

102 

CATEGORY 4 -  COMPUTERS 

Notes: 

l.f 

Computers, related equipment and  "software"performing  telecommunications  or "local 

area network" functions  must also be evaluated against the performance 
characteristics of Category 5, Part  1 (Telecommunications). 

N.B.  1. 

Control units which directly interconnect the buses or channels of central 

processing  units,  "main storage" or disk controllers are not regarded as 
telecommunications equipment described in Category 5, Part 1 
(Telecomm un ications). 

2. 

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

Category 5D001 (Telecommunications). 

2. 

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

4A  Systems, Equipment  and  Components 

4A001  Electronic computers and related equipment, as follows, and "electronic assemblies" and specially 

designed components  therefor: 

N.B.: SEE ALSO 4A101. 

a. 

Specially designed to have any of the following  characteristics: 
1. 

Rated for operation at an ambient temperature below 228 K (-45°C) or above 358 K (85°C); 
Note:  4A001.a. 1. does not apply to computers specially designed for  civil automobile  or 

railway train applications. 

2. 

Radiation hardened to exceed any of the following  specifications: 
a. 
b. 
c. 

Total Dose  5xl03Gy(Si); 
Dose Rate Upset 5x 106 Gy (Si)/sec; or 
Single Event Upset  lxl0"7  Error/bit/day; 

b.  Having characteristics or performing  functions  exceeding the limits in Category  5, Part 2 

("Information  Security"). 

4A002  "Hybrid computers", as follows, and "electronic assemblies" and specially designed  components 

therefor: 
N.B.: SEE ALSO 4A102. 

a. 
b. 

Containing  "digital computers" specified  in 4A003; 
Containing analogue-to-digital converters having all of the following  characteristics: 
1. 32 channels or more; and 
2.  A resolution of  14 bits (plus sign bit) or more with a conversion rate of 200,000  conversions/s 

or more. 

4A003  "Digital computers", "electronic assemblies", and related equipment therefor,  as follows,  and  specially 

designed components  therefor: 

Notes:  1. 

4A003 includes the following: 
a.  Vector processors; 
b.  Array  processors; 
c.  Digital signal processors; 
d.  Logic processors; 
e.  Equipment  designed for  "image enhancement"; 
f  Equipment designed for  "signal processing ". 

103 

2. 

The control status of the  "digital computers" and related equipment described in 4A003 
is determined by the control status of other equipment or systems provided: 
a.  The "digital computers" or related equipment are essential for  the operation of the 

other equipment or systems; 

b.  The "digital computers" or related equipment are not a  "principal element" of the 

other equipment or systems; and 
N.B.:  1. 

The control status of  "signal processing " or  "image enhancement" 
equipment specially designed for  other equipment with functions 
limited to those required for  the other equipment is determined by the 
control status of the other equipment even if it exceeds the "principal 
element" criterion. 
For the control status of  "digital computers" or related equipment  for 
telecommunications equipment, see Category 5, Part 1 
(Telecommunications). 

2. 

c.  The "technology"for  the  "digital computers" and related equipment is determined  by 

4E. 

a. 

Designed or modified  for  "fault  tolerance"; 

Note:  For the purposes  of4A003.a.,  "digital computers" and related equipment are not 

1. 
2. 

3. 

considered to be designed or modified for  "fault tolerance" if they utilise any 
of the following : 

Error detection or correction algorithms in "main storage"; 
The interconnection of two  "digital computers" so that, if the active  central 
processing  unit fails,  an idling but mirroring central processing  unit 
can continue the system's functioning; 

The interconnection of two central processing  units by data channels or by 
use of shared storage to permit  one central processing  unit to perform 
other work until the second central processing  unit fails,  at which time 
the first central processing  unit takes over in order to continue the 
system's functioning;  or 

4. 

The synchronisation of two central processing  units by  "software" so that 

one central processing  unit recognises when the other central 
processing  unit fails  and recovers tasks from the failing  unit. 

b. 

c. 

"Digital computers" having a "composite theoretical performance" ("CTP") exceeding 2,000 

million theoretical operations per second (Mtops); 

"Electronic assemblies" specially designed or modified  to be capable of enhancing  performance 

by aggregation of "computing elements" ("CEs") so that the "CTP" of the aggregation 
exceeds the limit in 4A003.b.; 

Notes: 1. 

4A003.C.  applies only to "electronic assemblies" and  programmable 

interconnections not exceeding the limit in 4A003.b. when shipped  as 
unintegrated  "electronic assemblies". It does not apply to "electronic 
assemblies" inherently limited by nature of their design for  use as 
related equipment specified  in 4A003.d., 4A003.e. or 4A003.fi 

2. 

4A003.C.  does not control  "electronic assemblies" specially designed for  a 
product  or family  of products  whose maximum configuration  does not 
exceed the limit  of4A003.b. 

d. 

Graphics accelerators and graphics coprocessors exceeding a "three dimensional Vector Rate" 

of 3,000,000; 

e. 

f. 

Equipment performing  analogue-to-digital  conversions exceeding the limits in 3A001.a.5; 

Equipment containing  "terminal interface  equipment" exceeding the limits in 5A001.b.3.; 
Note:  For the purposes  of 4A003.fi, "terminal interface equipment" includes  "local area 
network" interfaces and other communications  interfaces.  "Local area 
network" interfaces are evaluated as  "network access controllers". 

104 

g. 

Equipment specially designed to provide external interconnection of "digital computers" or 
associated equipment which allows communications  at data rates exceeding  80 Mbyte/s. 
Note:  4A003.g. does not control internal interconnection equipment (e.g., backplanes,  buses) 

or passive  interconnection  equipment. 

4A004  Computers, as follows, and specially designed related equipment,  "electronic assemblies" and 

components  therefor: 

a. 
b. 
c. 

"Systolic array computers"; 
"Neural computers"; 
"Optical computers". 

4A101  Analogue computers, "digital computers" or digital differential  analysers, other than those specified  in 

4A001 .a. 1. which are ruggedized  and designed or modified  for use in space launch vehicles specified  in 
9A004 or sounding rockets specified  in 9A104." 

4A102  "Hybrid computers" specially designed for modelling, simulation or design integration of space launch 

vehicles specified  in 9A004 or sounding rockets specified  in 9A104." 

Note: This control only applies when the equipment is supplied with software specified in 7D103 or  9D103. 

4B  Test, Inspection  and Production  Equipment 

None. 

4C 

Materials 

None. 

4D 

Software 

Note: The control status of  "software" for  the  "development",  "production", or  "use" of equipment 

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

4D001  "Software"  specially designed or modified  for the "development",  "production" or "use" of equipment or 

"software"  specified  in 4A001 to 4A004, or 4D. 

4D002  "Software"  specially designed or modified  to support  "technology" specified  in 4E. 

4D003  Specific  "software",  as follows: 

a. 

b. 

c. 

Operating system "software",  "software"  development tools and compilers specially designed  for 
"multi-data-stream processing" equipment,  in "source code"; 

"Expert systems" or "software"  for  "expert system" inference  engines providing both: 
1. Time dependent rules; and 
2.  Primitives to handle the time characteristics  of the rules and the facts; 

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

d.  Operating  systems specially designed for  "real time processing" equipment which guarantees a 

"global interrupt latency time" of less than 20us. 

4E 

Technology 

4E001 

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

105 

TECHNICAL NOTE ON "COMPOSITE THEORETICAL PERFORMANCE"  ("CTP") 

Abbreviations used in this Technical Note 

fixed 

"computing  element" (typically an arithmetic logical unit) 
floating  point 

point 
execution time 
exclusive OR 
central processing unit 
theoretical performance (of a single "CE") 

"CE" 
FP 
XP 
t 
XOR 
CPU 
TP 
"CTP"  "composite theoretical performance"  (multiple "CEs") 
R 
WL 
L 
* 

effective  calculating rate 
word  length 
word length  adjustment 
multiply 
Execution time 't' is expressed in microseconds, TP and "CTP" are expressed in millions of theoretical 
operations per second (Mtops) and WL is expressed in bits. 

Outline of "CTP" calculation  method 

"CTP" is a measure of computational performance  given in Mtops. In calculating the "CTP" of an 
aggregation  of "CEs" the following  three steps are required: 

Calculate the effective  calculating rate R for each "CE"; 

1. 
2.  Apply the word length adjustment  (L) to the effective  calculating rate (R), resulting in a 

Theoretical Performance  (TP) for each "CE"; 
If there is more than one "CE", combine the TPs, resulting in a "CTP" for the aggregation. 

3. 
Details for these steps are given in the following  sections. 

Note  1  For aggregations of multiple  "CEs" which have both shared and unshared memory  subsystems, 

the calculation of "CTP" is completed hierarchically, in two steps: first, aggregate the 
groups of "CEs" sharing memory; second, calculate the "CTP" of the groups using the 
calculation method for multiple "CEs" not sharing memory. 

Note 2  "CEs" that are limited to input/output and peripheral  functions  (e.g., disk drive, communication 

and video display controllers) are not aggregated into the "CTP" calculation. 

106 

TECHNICAL NOTE ON "CTP" 

The following  table shows the method of calculating  the Effective  Calculating Rate R for each "CE": 

Step  1 : The effective  calculating rate R 

For "CEs" Implementing: 
Note 

Every  "CE" must be evaluated 
independently. 

_ _ _ __ 

(R-xp) 

FPonly 

(Rfp) 

Both FP and XP 
(R) 

Effective  calculating Rate, R 

J 

(txpadd) 

if no add is implemented use: 

1 

(  I xp  mult/ 

If neither add nor multiply is implemented use the 
fastest  available arithmetic operation as follows: 

1 

3*t 
-1 

l xp 

See Notes X & Z 

1 

1 

max 

, 

tfP add 

tfP  mult 

See Notes X & Y 

Calculate both 
RxP,Rfp 

107 

For  simple  logic  processors  not  implementing  any 
of the specified  arithmetic operations. 

3  l\og 

Where t log is the execute time of the XOR, or  for 
logic hardware not implementing  the XOR, the  fastest 
simple logic operation. 
See Notes X & Z 

For  special  logic  processors  not  using  any  of  the 
specified  arithmetic  or logic operations. 

R = R' * WL/64 

Where R' is the number of results per second, WL is 
the number of bits upon which the logic  operation 
occurs, and 64 is a factor  to normalize to a 64 bit 
operation. 

I OS 

TECHNICAL NOTE ON "CTP" 

Note W  For a pipelined  "CE" capable of executing up to one arithmetic or logic operation every clock cycle  after 
the pipeline is full,  a pipelined rate can be established. The effective  calculating rate (R) for such a 
"CE" is the faster  of the pipelined rate or non-pipelined  execution rate. 

Note X 

For a "CE" which performs  multiple operations of a specific  type in a single cycle (e.g., two 
additions per cycle or two identical logic operations per cycle), the execution time t is given by: 

t = 

cycle time 

the number of identical operations per machine cycle 

"CEs" which perform  different  types of arithmetic or logic operations in a single machine  cycle 
are to be treated as multiple separate "CEs" performing  simultaneously (e.g., a "CE"  performing 
an addition and a multiplication in one cycle is to be treated as two "CEs", the first performing  an 
addition in one cycle and the second performing  a multiplication  in one cycle). 
If a single "CE" has both scalar function  and vector function,  use the shorter execution time value. 

Note Y 

For the "CE" that does not implement FP add or FP multiply, but that performs  FP divide: 

Rfp  " 

1 

t  fpdivide 

If the "CE" implements FP reciprocal but not FP add, FP multiply or FP divide, then 

Rfp 

1 

t  fpreciprocal 

If none of the specified  instructions  is implemented, the effective  FP rate is 0. 

Note Z 

In simple logic operations, a single instruction performs  a single logic manipulation  of no more 
than two operands of given lengths. 
In complex logic operations, a single instruction performs  multiple logic manipulations  to produce 
one or more results from  two or more operands. 

109 

TECHNICAL NOTE ON "CTP" 

Rates should be calculated for all supported operand lengths considering both pipelined  operations 
(if supported), and non-pipelined operations using the fastest  executing instruction  for  each 
operand length based on: 
1.  Pipelined or register-to-register  operations. Exclude extraordinarily  short execution times 

generated for operations on a predetermined  operand or operands (for  example, 
multiplication by 0 or  1). If no register-to-register  operations are implemented,  continue 
with (2). 

2.  The faster  of register-to-memory  or memory-to-register  operations; if these also do not exist, 

then continue with (3). 

3.  Memory-to-memory. 

In each case above, use the shortest execution time certified  by the  manufacturer. 

Step 2:  TP for each supported operand length WL 

Adjust  the effective  rate R (or R') by the word length adjustment  L as follows: 

TP = R * L, 
where L = (1/3  +WL/96) 

Note 

The word length WL used in these calculations is the operand length in bits. (If an 
operation uses operands of different  lengths, select the largest word length.) 

The combination  of a mantissa ALU and an exponent ALU of a floating point processor 

* or unit is considered to be one "CE" with a Word Length (WL) equal to the number of 

bits in the data representation (typically 32 or 64) for purposes of the "CTP" calculation. 

This adjustment  is not applied to specialized logic processors which do not use XOR instructions. 
In this case TP = R. 

Select the maximum resulting value of TP  for: 

Each XP-only "CE" (R_); 
EachFP-only,,CE"(Rfp); 
Each combined FP and XP "CE" (R); 
Each simple logic processor not implementing  any of the specified  arithmetic operations; and 
Each special logic processor not using any of the specified  arithmetic or logic operations. 

110 

TECHNICAL NOTE ON "CTP" 

Step 3: "CTP" for  aggregations of "CEs", including CPUs 

For a CPU with a single "CE", 

"CTP" = TP 

(for  "CEs" performing  both fixed and floating  point  operations 

TP = max(TPfp)TPxp)) 

"CTP" for aggregations of multiple  "CEs" operating  simultaneously  is calculated as follows: 

Note  1 

For aggregations that do not allow all of the "CEs" to run simultaneously, the possible 

combination  of "CEs" that provides the largest "CTP" should be used. The TP of each 
contributing  "CE" is to be calculated at its maximum value theoretically possible before  the 
"CTP" of the combination  is derived. 

N.B.  To determine  the possible combinations of simultaneously  operating  "CEs", generate  an 

instruction  sequence that initiates operations in multiple  "CEs", beginning  with the 
slowest  "CE" (the one needing the largest number of cycles to complete its 
operation) and ending with the fastest  "CE". At each cycle of the sequence, the 
combination  of "CEs" that are in operation during that cycle is a possible 
combination. The instruction sequence must take into account all hardware  and/or 
architectural constraints on overlapping  operations. 

Note 2 

A single integrated circuit chip or board assembly may contain multiple "CEs". 

Note 3 

Simultaneous  operations are assumed to exist when the computer manufacturer  claims 

concurrent, parallel or simultaneous  operation or execution in a manual or brochure  for the 
computer. 

Note 4 

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

TECHNICAL NOTE ON "CTP" 

Note  5 

"CTP" values must be aggregated for multiple  "CEs" specially designed  to enhance 

performance  by aggregation, operating  simultaneously  and sharing memory,- or multiple 
memory/"CE"- combinations operating simultaneously utilising specially  designed 
hardware. 

This aggregation does not apply to "electronic assemblies" described by 4A003.d. 

"CTP" = TP, + C: * TP: + ... + Cn * TP n, 

where the TPs are ordered by value, with TP, being the highest, TP: being the second  highest, 

..., and TPn being the lowest. Q  is a coefficient  determined by the strength of the 
interconnection between  "CEs", as follows: 

For multiple  "CFs'  operating simultaneously  and sharing  memory: 

C  - C3  = C, = ... = Cn = 0.75 

111 

Note  1  When the "CTP" calculated by the above method does not exceed  194Mtops, the following  formula  may 

be used to calculate  Q: 

0-75 
d  -7=- 

,. 

n 

(i=2,...,n) 

where m = the number of "CEs"  or groups of "CEs"  sharing access. 

provided: 
1. 
2. 

The JPj of each "CE" or group of "CEs"  does not exceed 30Mtops; 
The  "CEs" or groups of "CEs"  share access to main memory (excluding cache memory) over a single 

channel; and 

3.  Only one "CE" or group of "CEs"  can have use of the channel at any given time. 
N.B.  This does not apply to items controlled under Category 3. 

Note 2  "CEs" share memory if they access a common segment of solid state memory. This memory may 

include cache memory, main memory or other internal memory. Peripheral memory devices such as 
disk drives, tape drives or RAM disks are not included. 

TECHNICAL NOTE ON "CTP" 

For Multiple  "CEs" or groups of "CEs"  not sharing memory, interconnected by one or more data channels: 

CSi 

= 

0.75  * kj (i = 2,...,  32) (see Note below) 
0.60 * ki (i = 33,...,  64) 
0.45  * kj (i = 65,...  ,256) 
0.30  * k; (i > 256) 

The value of C; is based on the number of "CE"s, not the number of nodes. 

where  k< 
K, 
Sj 

=  min (S/K-  1), and 
=  normalizing factor  of 20*MByte/s. 
=  sum of the  maximum data rates (in units of MByte/s) for all data channels connected to the i"1 

"CE"  or group of "CEs"  sharing memory. 

When calculating  a Q  for a group of "CEs", the number of the  first  "CE" in a group determines the proper limit 
for  Cj. For example, in an aggregation of groups consisting of 3 "CEs" each, the 22nd group will contain  "CE"^, 
"CE"65 and "CE"66. The proper limit for Q  for this group is 0.60. 

Aggregation  (of  "CEs"  or groups of "CEs") should be from  the fastest-to-slowest;  i.e.: 

TP,  > TP2 > .... > TPn,  and 

in the case of TPj = TP; +,, from  the largest to smallest; i.e.: 

Note 

Ci>Cj +1 
The k< factor  is not to be applied to "CEs" 2 to  12 if the TP; of the  "CE" or group of "CEs"  is more than 
50 Mtops; i.e., Q  for  "CEs" 2 to  12 is 0.75. 

112 

CATEGORY 5 - TELECOMMUNICATIONS  AND "INFORMATION  SECURITY" 

Part  1 -  TELECOMMUNICATIONS 

Notes: 

1.  The control status of components,  "lasers",  test and  "production" equipment, materials and 

"software" therefor which are specially designed for  telecommunications equipment or systems is 
determined in Category 5, Part 1. 

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

5A1  Systems, Equipment  and  Components 

5A001 

a.  Any type of telecommunications  equipment having any of the following  characteristics,  functions 

or features: 

1. 

Specially designed to withstand transitory electronic effects  or electromagnetic pulse  effects, 

both arising from a nuclear explosion; 

2. 
3. 

Specially hardened to withstand gamma, neutron or ion radiation; or 
Specially designed to operate outside the temperature range from 218 K 
(-55°C)to397K(124°C). 
Note:  5A001.a.3. applies only to electronic equipment. 

Note:  5A001.a.2. and 5A001.a.3. do not apply to equipment on board satellites. 

b. 

Telecommunication transmission equipment and systems, and specially designed components  and 

accessories therefor,  having any of the following  characteristics, functions  or  features: 

Note:  Telecommunication transmission equipment: 

a. 

Categorised as follows,  or combinations thereof: 
1. 
2. 
3. 
4. 
5 
6. 
7. 
8. 
9. 
10. 
11. 
12. 

Radio equipment (e.g., transmitters, receivers and  transceivers); 
Line terminating equipment; 
Intermediate amplifier  equipment; 
Repeater equipment; 
Regenerator  equipment; 
Translation encoders  (transcoders); 
Multiplex equipment (statistical mutiplex included); 
Modulators/demodulators  (modems); 
Transmultiplex equipment (see CCITTRec.  G701); 
"Storedprogramme  controlled" digital crossconnection  equipment; 
"Gateways " and bridges; 
"Media access units"; and 

b. 

Designed for  use in single or multi-channel communication  via any of the 

following: 

1. 
2. 
3. 
4. 
5. 

Wire (line); 
Coaxial cable; 
Optical fibre cable; 
Electromagnetic radiation; or 
Underwater acoustic wave  propagation. 

113 

1. 

Employing  digital techniques, including digital processing of analogue signals, and designed  to 
operate at a "digital transfer rate" at the highest multiplex level exceeding 45 Mbit/s or a 
"total digital transfer  rate" exceeding 90 Mbit/s; 

Note:  5A001.b. 1. does not control equipment specially designed to be integrated and operated 

in any satellite system for  civil use. 

2. 

Being underwater communications  systems having any of the following  characteristics: 
An acoustic carrier frequency  outside the range from 20 kHz to 60 kHz; 
a. 
Using an electromagnetic carrier frequency  below 30 kHz; or 
b. 
Using electronic beam steering techniques; 
c. 

3. 

Being equipment containing any of the  following: 
a. 

"Network access controllers" and their related common medium having  a "digital 

transfer rate" exceeding  156 Mbit/s; or 

b. 

"Communication channel controllers" with a digital output having a "data  signalling 

rate" exceeding 2.1 Mbit/s per channel; 

Note:  If any uncontrolled equipment contains a  "network access controller",  it cannot  have 

any type of telecommunications interface; 

except: 
Those described in, but not specified  in 5A001.b.3. 

4. 

Employing a "laser" and having any of the following  characteristics: 
a. 
b. 

A transmission wavelength exceeding  1,000 nm; 
Employing analogue techniques and having a bandwidth exceeding 45 MHz; 
Note:  5A001. b. 4. b. does not control commercial  TV systems. 

5. 

6. 

c. 

d. 
e. 

Employing  coherent optical transmission or coherent optical detection techniques  (also 

called optical heterodyne or homodyne techniques); 
Employing wavelength division multiplexing  techniques; or 
Performing  "optical  amplification"; 

Being radio equipment operating at input or output frequencies exceeding  31 GHz; 
Note:  5A001.b.5. does not specify equipment designed or modified for  operation  in any ITU 

allocated band. 

Being radio equipment employing any of the  following: 
a. 

Quadrature-amplitude-modulation  (QAM) techniques above level 4 if the "total digital 

transfer  rate" exceeds 8.5 Mbit/s; 

QAM techniques above level  16 if the "total digital transfer  rate" is equal to or less than 

8.5 Mbit/s; or 

Other digital modulation techniques and having a "spectral efficiency"  exceeding 

b. 

c. 

3 bit/sec/Hz; 

Notes: 1. 

5A001.b.6. does not control equipment specially designed to be integrated and 

operated in any satellite system for  civil use. 

2. 

5A001.b.6. does not control radio relay equipment for  operation  in an ITU 

allocated band: 
a.  1.  Not exceeding 960 MHz; or 

2.  With a  "total digital transfer rate" not exceeding 8.5 Mbit/s; and 

b.  Having a  "spectral efficiency" not exceeding 4 bit/sec/Hz. 

7. 

Being radio equipment operating in the  1.5 MHz to 87.5 MHz band and having any of the 
following  characteristics: 
a. 

Incorporating  adaptive techniques providing more than  15 dB suppression  of an 
interfering  signal; or 
Having all of the  following: 
1. 

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

b. 

114 

2. 

Incorporating  a linear power amplifier  configuration  having a capability to 
support multiple signals simultaneously at an output power of  1  kW or more 
in the  1.5 MHz to 30 MHz frequency  range or 250 W or more in the 30 MHz 
to 87.5 MHz frequency  range, over an "instantaneous bandwidth" of one 
octave or more and with an output harmonic and distortion content of better 
than -80 dB; 

8. 

9. 

Being radio equipment employing  "spread spectrum" or "frequency  agility"  (frequency 
hopping) techniques having any of the following  characteristics: 
a. 
b. 

User programmable spreading codes; or 
A total transmitted bandwidth which is  100 or more times the bandwidth of any one 
information  channel and in excess of 50 kHz; 
Note:  5A001.b.8.b. does not control cellular radio equipment operating in civil 

Note:  5A001.b.8. does not control equipment operating at an output power  of 1.0 Watt or 

bands. 

less. 

Being digitally controlled radio receivers having all of the  following: 
a. 
b. 
c. 
d. 

More than  1,000  channels; 
A "frequency  switching time" of less than  1  ms; 
Automatic searching or scanning of a part of the electromagnetic  spectrum; and 
Identification  of the received signals or the type of transmitter; or 

Note:  5A001.b.9. does not control cellular radio equipment operating in civil bands. 

10.  Employing  functions  of digital "signal processing" to provide voice coding at rates of less 

than 2,400 bit/s. 

c. 

"Stored programme controlled" switching equipment and related signalling systems, having any of 
the following  characteristics, functions  or features, and specially designed components  and 
accessories  therefor: 
Note:  Statistical multiplexers with digital input and digital output which provide  switching  are 

treated as  "stored programme controlled" switches. 

1. 

2. 

3. 

"Common channel signalling" operating  in either non-associated or quasi- associated mode 
of operation; 

"Dynamic adaptive routing"; 
Note:  5A001.C.2.  does not control packet switches or routers with ports  or lines not 

exceeding the limits in  5A001.C.3. 

Being packet switches, circuit switches and routers with ports or lines exceeding  any of the 
following: 
a. 

A "data signalling rate" of 2.1 Mbit/s per channel for a "communications  channel 
controller"; or 
Note:  5A00I.c.3.a.  does not control multiplexed composite links composed only of 
communication channels not individually controlled by  5A00I.c.3.a. 

b. 

A "digital transfer  rate" of  156 Mbit/s for a "network access controller" and related 
common medium; 

4. 
5. 

"Optical switching"; 
Employing  "Asynchronous Transfer  Mode" ("ATM")  techniques. 

d. 

Optical fibre communication cables, optical fibres  and accessories, as follows: 
1. 

Optical fibres  and optical fibre cables of more than 50 m in length having any of the 
following  characteristics: 
a. 
b. 

Designed for single mode operation; or 
For optical fibres, specified  by the manufacturer  as being capable of withstanding a 
proof test tensile stress of 2 x  109 N/m2 or more; 

115 

Technical Note: 
Proof  Test: on-line or off-line production  screen testing that dynamically applies a 
prescribed  tensile stress over a 0.5 to 3 m length of fibre at a running rate of 2 to 
5 m/s while passing  between capstans approximately  150 mm in diameter. The 
ambient temperature is a nominal 293 K (20°C)  and relative humidity  40%. 
N.B. :  Equivalent  national standards may be used for  executing the proof  test. 

2. 

Optical fibre cables and accessories designed for underwater use. 
Note:  5A001.d.2. does not control standard civil telecommunication cables and 

accessories. 

N.B.: 

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

e. 

"Electronically steerable phased array antennae" operating above 31 GHz. 
Note:  5A001.e. does not control  "electronically steerable phased  array antennae" for  landing 
systems with instruments meeting ICAO standards covering microwave landing  -
systems  (MLS). 

5A101  Telemetering  and telecontrol equipment usable for  "missiles". 

Note: 5A101 does not control equipment specially designed to be used for  remote control of model 

planes,  boats or vehicles and having an electric field strength of not more than 
200 microvolts per  metre at a distance of 500 metres. 

5B1 

Test, Inspection and Production  Equipment 

5B001  Equipment and specially designed components or accessories therefor,specially  designed for  the 

"development",  "production" or "use" of equipment, materials, functions  or features  specified  in 5A001, 
5B001, 5C001, 5D001  or5E001. 
Note: 5B001 does not control optical fibres and  "optical fibre preform"  characterization equipment  not 

using semiconductor  "lasers". 

5C1  Materials 

5C001  Preforms  of glass or of any other material optimised for the manufacture  of optical fibres specified  in 

5A001.d. 

5D1 

Software 

5D001  a. 

"Software"  specially designed or modified  for the "development",  "production" or "use" of 
equipment, functions  or features  specified  in 5A001, 5B001 or 5C001. 

b. 

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

c. 

Specific  "software"  as follows: 

1.  "Software",  other than in machine-executable  form, specially designed or modified  for the 

"use" of digital cellular radio equipment or systems; 

2.  "Software"  specially designed or modified  to provide characteristics, functions  or features  of 

equipment specified  in 5A001 or 5B001; 

3.  "Software"  which provides the capability of recovering  "source code" of  telecommunications 

"software"  specified  in 5A001 or 5B001; 

116 

4.  "Software",  other than in machine-executable  form,  specially designed  for  "dynamic  adaptive 

routing". 

N.B.: For  "software"for  "signalprocessing"see  also 4D and 6D. 

5E1 

Technology 

5E001  a. 

"Technology" according to the General Technology Note for the "development",  "production"  or 
"use" (excluding operation) of equipment, functions  or features, materials or "software"  specified 
in 5A001, 5B001, 5C001 or 5D001. 

b. 

Specific  "technologies", as follows: 
1.  "Required"  "technology" for the "development" or "production" of  telecommunications 

equipment specially designed to be used on board satellites; 

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

3.  "Technology" for the processing and application of coatings to optical fibre specially  designed 

to make it suitable for underwater use; 

4.  "Technology" for the "development" of equipment employing  "Synchronous Digital Hierarchy" 

("SDH") or "Synchronous Optical Network" ("SONET")  techniques; 

5.  "Technology" for the "development" of "switch fabric" exceeding 64,000 bit/s per  information 

channel other than for digital cross connect integrated in the switch; 

6.  "Technology" for the "development" of centralized network control or "dynamic  adaptive 

routing"; 

7.  "Technology" for the "development" of digital cellular radio systems; 
8.  "Technology" for the "development"  of broadband  "Integrated Services Digital  Network" 

("ISDN"); 

9.  "Technology"  for  the "development" of QAM techniques, for radio equipment, above level 4; 
10. 

"Technology" for the "development" of "spread spectrum" or "frequency  agility" 
(frequency  hopping) techniques. 

5E101  "Technology" according to the General Technology Note for the "development",  "production" or "use" 

of equipment specified  in 5A101. 

Part 2 - "INFORMATION  SECURITY" 

Note: 

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

5A2 

Systems, Equipment  and  Components 

5A002 a. 

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

N.B: 

For the control of global  navigation satellite systems receiving equipment containing  or 
employing decryption  (i.e. GPS or GLONASS), see 7A005. 

1. Designed or modified  to use "cryptography" employing digital techniques to ensure 

"information  security"; 

2.  Designed or modified  to perform  cryptanalytic  functions; 

3.  Designed or modified  to use "cryptography" employing analogue techniques  to ensure 

"information  security"; 

117 

Note: 

5A002.a.3. does not control the following: 

1.  Equipment  using "fixed" band scrambling  not exceeding 8 bands end  in which 

the transpositions change not more frequently than once every second; 

2.  Equipment  using "fixed" band scrambling exceeding 8 bands and in which the 

transpositions change not more frequently than once every ten seconds; 
3.  Equipment  using "fixed" frequency inversion and in which the transpositions 

change not more frequently than once every second; 

4.  Facsimile equipment; 
5.  Restricted audience broadcast  equipment; 
6.  Civil television equipment. 

4.  Designed or modified  to suppress the compromising emanations of 

information-bearing  signals; 
Note:  5A002.a.4. does not control equipment specially designed to suppress 

emanations for  reasons of health and safety. 

5. 

Designed or modified  to use cryptographic  techniques to generate the spreading code  for 
"spread spectrum" or the hopping code for  "frequency  agility" systems; 

6*.  Designed or modified  to provide certified  or certifiable  "multilevel security" or user 

isolation at a level exceeding Class B2 of the Trusted Computer System Evaluation  Criteria 
(TCSEC) or equivalent; 

7. 

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

Note: 5A002 does not control: 

a. 

b. 
c. 

d. 

e. 

f 

g. 

h. 

"Personalized smart cards" or specially designed components therefor, with any of the 
following  characteristics: 
1. 

Not capable of message traffic encryption or encryption of 
user-supplied data or related key management functions  therefor; or 
When restricted for  use in equipment or systems excluded from control under entries 
l. to 6. of the Note to 5A002.a.3. or under entries b. to h. of this Note; 

2. 

Equipment containing  "fixed" data compression or coding techniques; 
Receiving equipment for  radio broadcast, pay  television or similar restricted  audience 
television of the consumer type, without digital encryption and where digital decryption  is 
limited to the video, audio or management  functions; 
Portable or mobile radiotelephones for  civil use (e.g., for  use with commercial civil cellular 
radiocommunications systems) that are not capable of end-to-end encryption; 
Decryption functions  specially designed to allow the execution of 
copy-protected  "software", provided  the decryption functions  are not 
user-accessible; 
Access control equipment, such as automatic teller machines, self-service statement  printers 
or point  of sale terminals, which protects password  or personal  identification numbers 
(PIN) or similar data to prevent  unauthorized access to facilities  but does not allow for 
encryption of files or text, except as directly related to the password  or PIN  protection; 
Data authentication  equipment which calculates a Message Authentication  Code (MAC) or 
similar result to ensure no alteration of text has taken place,  or to authenticate users, but 
does not allow for  encryption of data, text or other media other than that needed for  the 
authentication; 
Cryptographic equipment specially designed and limited for  use in machines for  banking or 
money transactions, such as automatic teller machines, 
self-service statement printers or point  of sale terminals. 

118 

SB2 

Test, Inspection and Production  Equipment 

5B002 a. 

Equipment specially designed  for: 

1. The "development" of equipment or functions  specified  in 5A002, 5B002, 5D002 or 5E002, 

including measuring or test equipment; 

2.  The  "production" of equipment or functions  specified  in 5A002, 5B002, 5D002 or 5E002, 

including measuring, test, repair or production  equipment. 

b.  Measuring equipment specially designed to evaluate and validate the "information  security" 

functions  specified  in 5A002 or 5D002. 

5C2  Materials 

None. 

5D2 

Software 

5D002 a. 

b. 

c. 

"Sof 
"Software"  specially designed or modified  for the "development",  "production" or "use" of 
equipment or "software"  specified  in 5A002, 5B002, or 5D002; 
"Software"  specially designed or modified  to support  "technology" specified  in 5E002; 

Specific  "software",  as follows: 
1.  "Software" having the characteristics, or performing  or simulating the functions  of the 

equipment specified  in 5A002 or 5B002; 
2.  "Software"  to certify  "software" specified  in 5D002.C. 1. 

Note: 5D002 does not control: 

a.  "Software" required for  the  "use" of equipment excluded from control under the Note to  5A002; 
b.  "Software" providing  any of the functions  of equipment excluded from control under the Note to 

5A002. 

5E2 

Technology 

5E002 

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

119 

CATEGORY 6 - SENSORS AND LASERS 

6A 

Systems, Equipment  and  Components 

6A001  Acoustics: 

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

1.  Active (transmitting  or transmitting-and-receiving)  systems, equipment and specially  designed 

components therefor,  as follows: 
Note: 

6A001 .a.l.  does not control: 
a.  Depth sounders operating vertically below the apparatus, not including a 

scanning function  exceeding ± 20°and  limited to measuring the depth of water, 
the distance of submerged or buried objects or fish finding; 

b.  Acoustic  beacons, as follows: 

1.  Acoustic  emergency beacons; 
2.  Pingers specially designed for  relocating or returning to an  underwater 

position. 

a.  Wide-swath bathymétrie survey systems designed for sea bed topographic mapping, 

having all of the  following: 
1.  Being designed to take measurements at an angle exceeding 20° from the vertical; 
2.  Being designed to measure depths exceeding 600 m below the water surface;  and 
3.  Being designed to provide any of the  following: 

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

a. 
b.  Data accuracies of better than 0.3% of water depth across the swath  averaged 

over the individual measurements within the swath; 

b.  Object detection or location systems having any of the  following: 

1.  A transmitting  frequency below  10 kHz; 
2.  Sound pressure level exceeding 224 dB (reference  1 uPa at  1  m) for equipment with 

an operating frequency in the band from 10 kHz to 24 kHz inclusive; 

3.  Sound pressure level exceeding 235 dB (reference  1 ^Pa at  1  m) for equipment with 

an operating  frequency  in the band between 24 kHz and 30 kHz; 

4.  Forming beams of less than  1° on any axis and having an operating frequency of less 

than  100 kHz; 

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

6.  Designed to withstand pressure during normal operation at depths exceeding  1,000  m 

and having transducers with any of the  following: 
a.  Dynamic compensation for pressure; or 
b. 

Incorporating  other than lead zirconate titanate as the transduction  element; 

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

Notes:  1.  The control status of acoustic projectors,  including transducers,  specially 

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

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

1.  An instantaneous radiated acoustic power density exceeding 0.01 mW/mm2/Hz for 

devices operating at frequencies  below  10 kHz; 

2.  A continuously radiated acoustic power density exceeding 0.001 mW/mm2/Hz for 

devices operating at frequencies below  10 kHz; 

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

120 

3.  Designed to withstand pressure  during normal operation at depths  exceeding 

1,000  m; or 

4.  Side-lobe suppression exceeding 22 dB; 

d.  Acoustic systems, equipment and specially designed components for determining  the 
position of surface  vessels or underwater vehicles having any of the  following: 
Note: 

6A001.a.l.d.  includes: 
a.  Equipment using coherent  "signalprocessing"  between two or more 
beacons and the hydrophone unit carried by the surface  vessel or 
underwater vehicle; 

b.  Equipment capable of automatically correcting 

speed-of-sound propagation  errors for  calculation of a point. 
1.  Designed to operate at a range exceeding  1,000 m with a positioning  accuracy of less 

than  10 m rms (root mean square) when measured at a range of  1,000  m; or 

2.  Designed to withstand pressure at depths exceeding  1,000  m; 

Passive (receiving, whether or not related in normal application to separate active  equipment) 
systems, equipment and specially designed components therefor,  as follows: 
a.  Hydrophones (transducers) having any of the following  characteristics: 

1. 

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

2.  Having any of the following  sensing elements: 

a.  Optical fibres; 
b.  Piezoelectric polymers; or 
c.  Flexible piezoelectric ceramic materials; 

3.  A hydrophone  sensitivity better than -180 dB at any depth with no  acceleration 

compensation; 

4.  When designed to operate at depths not exceeding 35 m, a hydrophone  sensitivity 

better than -  186 dB with acceleration  compensation; 

5.  When designed for normal operation at depths exceeding 35 m, a hydrophone 

sensitivity better than -192 dB with acceleration  compensation; 

6.  When designed for normal operation at depths exceeding  100 m, a hydrophone 

sensitivity better than -204 dB; or 

7.  Designed for operation at depths exceeding  1,000 m; 

Technical Note: 
Hydrophone sensitivity is defined as twenty times the logarithm to the base 10 of the ratio 
of rms output voltage to a 1 V rms reference, when the hydrophone sensor,  without a pre 
amplifier, is placed  in a plane  wave acoustic field with an rms pressure  of 1 fiPa.  For 
example, a hydrophone 
of-160  dB (reference 1 Vper juPa)  would yield  an output voltage of  10~$  V in such a 
field,  while one of-180  dB sensitivity would yield  only 10~" V output. Thus, -160 dB is 
better than -180 dB. 

b.  Towed  acoustic hydrophone arrays having any of the  following: 

1.  Hydrophone group spacing of less than  12.5 m; 
2.  Hydrophone  group spacing of  12.5 m to less than 25 m and designed or able to be 

modified  to operate at depths exceeding  35 m; 

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

121 

3.  Hydrophone  group spacing of 25 m or more and designed to operate at depths 

exceeding  100 m; 

4.  Heading sensors specified  in 6A001 .a.2.d.; 
5.  Longitudinally reinforced  array hoses; 
6.  An assembled array of less than 40 mm in diameter; 
7.  Multiplexed hydrophone group signals designed to operate at depths exceeding  35 m 
or having an adjustable  or removable depth sensing device in order to operate at 
depths exceeding 35 m; or 

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

c.  Processing equipment, specially designed for towed acoustic hydrophone arrays, having 
"user accessible programmability" and time or frequency domain processing  and 
correlation, including spectral analysis, digital filtering and beamforming  using Fast 
Fourier or other transforms  or processes; 
d.  Heading sensors having all of the  following: 

1.  An accuracy of better than -  0.5°; and 
2.  Any of the  following: 

a.  Designed to be incorporated within the array hosing and to operate at depths 

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

b.  Designed to be mounted external to the array hosing and having a sensor unit 

capable of operating with 360° roll at depths exceeding 35 m; 

1. 
2. 

e.  Bottom or bay cable systems having any of the  following: 
Incorporating  hydrophones specified  in 6A001.a.2.a.; 
Incorporating  multiplexed hydrophone group signals designed to operate at depths 
exceeding 35 m or having an adjustable  or removable depth sensing device in order 
to operate at depths exceeding 35 m; or 

3.  Processing equipment, specially designed for bottom or bay cable systems, having 

"user accessible programmability" and time or frequency  domain processing  and 
correlation, including spectral analysis, digital filtering and beamforming  using Fast 
Fourier or other transforms  or processes; 

Correlation-velocity  sonar log equipment designed to measure the horizontal speed of the 
equipment carrier relative to the sea bed at distances between the carrier and the sea bed  exceeding 
500 m. 

6A002  Optical  sensors 

N.B.: SEE ALSO 6A102. 

Optical detectors, as  follows: 
Note: 

6A002.a. does not control germanium or silicon photodevices. 

1.  "Space-qualified"  solid-state detectors, as follows: 

a. 

"Space-qualified"  solid-state detectors, having all of the  following: 
1.  A peak response in the wavelength range exceeding  10 nm but not exceeding 

300 nm; and 

2.  A response of less than 0.1% relative to the peak response at a wavelength  exceeding 

400 nm; 

b. 

"Space-qualified"  solid-state detectors, having all of the  following: 
1.  A peak response in the wavelength range exceeding 900 nm but not exceeding 

1,200  nm; and 

c. 

2.  A response  "time constant" of 95 ns or less; 
"Space-qualified"  solid-state detectors having a peak response  in the wavelength  range 
exceeding  1,200  nm but not exceeding 30,000 nm; 

122 

2. 

Image intensifier  tubes and specially designed components therefor,  as follows: 
a. 

Image intensifier  tubes having all of the  following: 
1.  A peak response in the wavelength range exceeding 400 nm but not exceeding 

1,050 nm; 

2.  A microchannel plate for electron image amplification  with a hole pitch (centre-to-

centre spacing) of  15 um or less; and 

3.  Photocathodes, as follows: 

a.  S-20,  S-25  or multialkali photocathodes with a luminous sensitivity  exceeding 

240  uA/lm; 

b.  GaAs or GalnAs photocathodes; or 
c.  Other III-V compound semiconductor photocathodes; 

Note: 

6A002.a.2.a.3.c. does not control compound  semiconductor 
photocathodes  with a maximum radiant sensitivity of 10 mA/W or less. 

b.  Specially designed components, as follows: 

1.  MicroChannel plates having a hole pitch (centre-to-centre spacing) of  15 um or less; 
2.  GaAs or GalnAs photocathodes; 
3.  Other III-V compound semiconductor photocathodes; 

Note: 

6A 002. a. 2. b. 3. does not control compound semiconductor  photocathodes 
with a maximum radiant sensitivity of 10 mA/W or less. 

3.  Non-"space-qualified"  "focal plane arrays", as follows: 

Technical Note: 
Linear or two-dimensional  multi-element detector arrays are referred to as  "focal plane 
arrays". 

Notes:  1.  6A002.a.3. includes photoconductive  arrays and photovoltaic  arrays. 

2.  6A002.a.3. does not control silicon  "focalplane  arrays", 

multi-element  (not to exceed 16 elements) encapsulated photoconductive  cells or 
pyroelectric  detectors using any of the following: 
a.  Lead sulphide; 
b.  Triglycine sulphate and variants; 
c.  Lead-lanthanum-zirconium  titanate and variants; 
d.  Lithium tantalate; 
e.  Polyvinylidene fluoride  and variants; 
f 
g.  Lead selenide. 

Strontium barium niobate and variants; or 

a.  Non-"space-qualified"  "focal plane arrays", having all of the  following: 

1. 

Individual elements with a peak response within the wavelength range  exceeding 
900 nm but not exceeding  1,050  nm; and 
2.  A response  "time constant" of less than 0.5 ns; 

b.  Non-"space-qualified"  "focal plane arrays", having all of the  following: 

1. 

Individual elements with a peak response in the wavelength range exceeding 
1,050  nm but not exceeding  1,200  nm; and 
2.  A response  "time constant" of 95 ns or less; 

c.  Non-"space-qualified"  "focal plane arrays", having individual elements with a peak 

response in the wavelength range exceeding  1,200  nm but not exceeding 30,000 nm. 

"Monospectral  imaging sensors" and "multispectral  imaging sensors" designed for remote  sensing 
applications, having any of the  following: 
1.  An Instantaneous-Field-Of-View  (IFOV) of less than 200  urad (microradians); or 
2.  Being specified  for operation in the wavelength range exceeding 400 nm but not exceeding 

30,000 nm and having all the  following; 
a.  Providing output imaging data in digital format;  and 
b.  Being any of the  following: 

1.  "Space-qualified";  or 
2.  Designed for airborne operation, using other than silicon detectors, and having an 

IFOV of less than 2.5 mrad (milliradians). 

123 

c. 

Direct view imaging equipment operating in the visible or infrared  spectrum, incorporating  any of 
the  following: 
1. 
2.  "Focal plane arrays" specified  in 6A002.a.3. 

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

Technical Note: 
'Direct view' refers to imaging equipment, operating in the visible or infrared spectrum,  that 
presents  a visual image to a human observer without converting the image into an electronic 
signal for  television display, and that cannot record or store the image photographically, 
electronically or by any other means. 

Note: 

6A002.C.  does not control the following  equipment incorporating other than GaAs or 
GalnAs photocathodes: 
a. 

Industrial or civilian intrusion alarm, traffic or industrial movement control or 
counting systems; 
b.  Medical  equipment; 
c. 

Industrial equipment used for  inspection, sorting or analysis of the properties  of 
materials; 

d.  Flame detectors for  industrial furnaces; 
e.  Equipment specially designed for  laboratory use. 

d. 

Special support components for optical sensors, as  follows: 
1.  "Space-qualified"  cryocoolers; 
2.  Non-"space-qualified"  cryocoolers, having a cooling source temperature below 218 K (-

55°C), as follows: 
a.  Closed cycle type with a specified  Mean-Time-To-Failure (MTTF), or Mean-Time-

b. 

Between-Failures  (MTBF), exceeding 2,500 hours; 
Joule-Thomson (JT) self-regulating  minicoolers having bore (outside) diameters of less 
than 8 mm; 

3.  Optical sensing fibres  specially fabricated  either compositionally  or structurally,  or  modified 

by coating, to be acoustically, thermally, inertially, electromagnetically  or nuclear radiation 
sensitive. 

e. 

"Space qualified"  "focal plane arrays" having more than 2,048 elements per array and having a 
peak response in the wavelength range exceeding 300 nm but not exceeding 900 nm. 

6A003  Cameras 

N.B.: SEE ALSO 6A203. 

N.B.: For cameras specially designed or modified for  underwater use, see 8A002.d. and  8A002.e. 

a. 

Instrumentation cameras, as follows: 
1.  High-speed cinema recording cameras using any film format from 8 mm to  16 mm inclusive, 
in which the film is continuously  advanced throughout  the recording period, and that are 
capable of recording at framing  rates exceeding  13,150  frames/s; 
Note: 

6A003.a. 1. does not control cinema recording cameras for  normal civil  purposes. 

2.  Mechanical high speed cameras, in which the film does not move, capable of recording  at 
rates exceeding  1,000,000 frames/s  for the full  framing  height of 35 mm film, or at 
proportionately  higher rates for  lesser frame  heights, or at proportionately  lower rates  for 
greater frame  heights; 

3.  Mechanical or electronic streak cameras having writing speeds exceeding  10 mm/us; 
4.  Electronic  framing  cameras having a speed exceeding  1,000,000  frames/s; 
5.  Electronic cameras, having all of the  following: 

a.  An electronic shutter speed (gating capability) of less than  1 us per full  frame;  and 
b.  A read out time allowing a framing  rate of more than  125 full  frames  per  second. 

124 

b. 

Imaging cameras, as follows: 
Note: 

6A003.b. does not control television or video cameras specially designed for  television 
broadcasting. 

1.  Video cameras incorporating  solid state sensors, having any of the  following: 

a.  More than 4 x  106 "active pixels" per solid state array for monochrome (black and white) 

cameras; 

b.  More than 4 x  106 "active pixels" per solid state array for colour cameras  incorporating 

three solid state arrays; or 

c.  More than  12 x  106 "active pixels" for solid state array colour cameras incorporating  one 

solid state array; 

2.  Scanning cameras and scanning camera systems, having all of the  following: 
a.  Linear detector arrays with more than 8,192 elements per array; and 
b.  Mechanical scanning in one direction; 
Imaging cameras incorporating  image intensifiers  specified  in 6A002.a.2.a.; 
Imaging cameras incorporating  "focal plane arrays" specified  in 6A002.a.3. 

3. 
4. 

6A004  Optics 

a. 

Optical mirrors (reflectors),  as follows: 

1.  "Deformable mirrors" having either continuous or multi-element surfaces,  and specially 

designed components therefor,  capable of dynamically repositioningportions  of the surface  of 
the mirror at rates exceeding  100 Hz; 

2.  Lightweight monolithic mirrors having an average "equivalent density" of less than 30 kg/nr 

and a total mass exceeding  10 kg; 

3.  Lightweight  "composite" or foam mirror structures having an average "equivalent density" of 

less than 30 kg/m2 and a total mass exceeding 2 kg; 

4.  Beam steering mirrors more than  100 mm in diameter or length of major  axis, which maintain 
a flatness of lambda/2 or better (lambda is equal to 633 nm) having a control bandwidth 
exceeding  100 Hz. 

b.  Optical components made from zinc selenide (ZnSe) or zinc sulphide (ZnS) with transmission in 

the wavelength range exceeding 3,000 nm but not exceeding 25,000 nm and having any of the 
following: 
1.  Exceeding  100 cm3 in volume; or 
2.  Exceeding  80 mm in diameter or length of major  axis and 20 mm in thickness (depth). 

c. 

"Space-qualified"  components for optical systems, as follows: 

1.  Lightweighted to less than 20% "equivalent density" compared with a solid blank of the same 

aperture and thickness; 

2.  Substrates, substrates having surface  coatings (single-layer or multi-layer, metallic or 
dielectric, conducting,  semiconducting  or insulating) or having protective films; 

3.  Segments or assemblies of mirrors designed to be assembled in space into an optical system 

with a collecting aperture equivalent to or larger than a single optic  1 m in diameter; 
4.  Manufactured  from  "composite" materials having  a coefficient  of linear thermal expansion 

equal to or less than 5 x  10"6 in any coordinate  direction. 

d.  Optical control equipment, as follows: 

1.  Specially designed to maintain the surface figure or orientation of the 
"space-qualified"  components specified  in 6A004.C.1. or 6A004.C.3.; 

2.  Having steering, tracking, stabilisation or resonator alignment bandwidths equal to or more 

than  100 Hz and an accuracy of  10 urad (microradians) or less; 

3.  Gimbals having all of the  following: 
a.  A maximum slew exceeding 5°; 
b.  A bandwidth of  100 Hz or more; 
c.  Angular pointing errors of 200 urad (microradians) or less; and 

125 

d.  Having any of the  following: 

1.  Exceeding 0.15 m but not exceeding  1  m in diameter or major  axis length and 

capable of angular accelerations  exceeding 2 rad (radians)/s2; or 

2.  Exceeding  1  m in diameter or major  axis length and capable of angular  accelerations 

exceeding 0.5 rad (radians)/s2; 

4.  Specially designed to maintain the alignment of phased array or phased segment mirror 

systems consisting of mirrors with a segment diameter or major  axis length of  1  m or more. 

6A005  "Lasers", other than those specified  in 0B001.g.5. or 0B001.h.6., components and optical equipment,  as 

follows: 
N.B.: SEE ALSO 6A205. 

Notes: 

I.  Pulsed  "lasers" include those that run in a continuous wave (CW) mode with pulses 

superimposed. 

2.  Pulse-excited  "lasers" include those that run in a continuously excited mode with pulse 

excitation superimposed. 

3.  The control status of Raman  "lasers " is determined by the parameters  of the pumping 

source  "lasers". The pumping  source  "lasers" can be any of the  "lasers" described  below. 

a. 

Gas "lasers", as follows: 
1.  Excimer "lasers", having any of the  following: 

a.  An output wavelength not exceeding  150 nm and having any of the  following: 

1.  An output energy exceeding  50 mJ per pulse; or 
2.  An average or CW output power exceeding  1  W; 

b.  An output wavelength exceeding  150 nm but not exceeding  190 nm and having any of 

the  following: 
1.  An output energy exceeding  1.5  J per pulse; or 
2.  An average or CW output power exceeding  120 W; 

c  An output wavelength exceeding  190 nm but not exceeding 360 nm and having any of 

the  following: 
1.  An output energy exceeding  10 J per pulse; or 
2.  An average or CW output power exceeding 500 W; or 

d.  An output wavelength exceeding 360 nm and having any of the  following: 

1.  An output energy exceeding  1.5 J per pulse; or 
2.  An average or CW output power exceeding 30 W; 

2.  Metal vapour  "lasers", as follows: 

a.  Copper (Cu) "lasers" having an average or CW output power exceeding 20 W; 
b.  Gold (Au) "lasers" having an average or CW output power exceeding  5 W; 
c.  Sodium (Na)  "lasers" having an output power exceeding  5 W; 
d.  Barium (Ba) "lasers" having an average or CW output power exceeding 2 W; 

3.  Carbon monoxide (CO) "lasers" having any of the  following: 

a.  An output energy exceeding 2J per pulse and a pulsed  "peak power" exceeding  5 kW; or 
b.  An average or CW output power exceeding  5 kW; 

4.  Carbon dioxide (C02)  "lasers" having any of the  following: 

a.  A CW output power exceeding  15 kW; 
b.  A pulsed output having a "pulse duration" exceeding  10 us and having any of the 

following: 
1.  An average output power exceeding  10 kW; or 
2.  A pulsed  "peak power" exceeding  100 kW; or 

c.  A pulsed output having a "pulse duration" equal to or less than  10 (is; and having any of 

the  following: 
1.  A pulse energy exceeding  5 J per pulse; or 
2.  An average output power exceeding 2.5 kW; 

126 

5.  "Chemical lasers", as follows: 

a.  Hydrogen Fluoride (HF) "lasers"; 
b.  Deuterium Fluoride (DF) "lasers"; 
"Transfer  lasers", as follows: 
c. 
1.  Oxygen Iodine (02-I) "lasers"; 
2.  Deuterium Fluoride-Carbon dioxide (DF-C02) "lasers"; 

6.  Gas discharge and ion "lasers" (i.e., krypton ion or argon ion "lasers") having any of the 

following: 
a.  An output energy exceeding  1.5 J per pulse and a pulsed  "peak power" exceeding  50 W; 

or 

b.  An average or CW output power exceeding  50 W; 

7.  Other gas "lasers", having any of the  following: 

Note: 
a.  An output wavelength not exceeding  150 nm and having any of the  following: 

6A005.a. 7.  does not control nitrogen "lasers". 

1.  An output energy exceeding  50 mJ per pulse and a pulsed "peak power"  exceeding 

1 W;or 

2.  An average or CW output power exceeding  1  W; 

b.  An output wavelength exceeding  150 nm but not exceeding  800 nm and having any of 

the  following: 
1.  An output energy exceeding  1.5 J per pulse and a pulsed "peak power"  exceeding 

30W;or 

2.  An average or CW output power exceeding 30 W; 

c.  An output wavelength exceeding  800 nm but not exceeding  1,400  nm and having any of 

the  following: 
1.  An output energy exceeding 0.25  J per pulse and a pulsed  "peak power" exceeding 

10 W; or 

2.  An average or CW output power exceeding  10 W; or 

d.  An output wavelength exceeding  1,400 nm and an average or CW output power 

exceeding  1  W. 

b. 

Individual, multiple-transverse  mode semiconductor  "lasers" and arrays of  individual 
semiconductor  "lasers", having any of the  following: 
1.  An output energy exceeding 500 uJ per pulse and a pulsed  "peak power" exceeding  10 W; or 
2.  An average or CW output power exceeding  10 W. 

Technical Note: 
Semiconductor  "lasers" are commonly called  "laser" diodes. 

Notes: 

1.  6A005.b. includes semiconductor  "lasers" having optical output connectors  (e.g. fibre 

optic pigtails). 

2.  The control status of semiconductor  "lasers " specially designed for  other equipment is 

determined by the control status of the other equipment. 

c. 

Solid state "lasers", as follows: 
1.  "Tunable" "lasers" having any of the  following: 

Note: 

6A005.C.1.  includes titanium - sapphire(Ti: AI2O3), thulium -  Y AG 
(Tm:  Y AG),  thulium -  YSGG (Tm.YSGG),  alexandrite (Cr: BeAl204)  and  colour 
centre "lasers". 

a.  An output wavelength  less than 600 nm and having any of the  following: 

1.  An output energy exceeding  50 mJ per pulse and a pulsed "peak power"  exceeding 

1  W;or 

2.  An average or CW output power exceeding  1  W; 

b.  An output wavelength of 600 nm or more but not exceeding  1,400  nm and having any of 

the  following: 
1.  An output energy exceeding  1  J per pulse and a pulsed "peak power"  exceeding 

20W;or 

2.  An average or CW output power exceeding 20 W; or 

127 

c.  An output wavelength exceeding  1,400 run and having any of the  following: 

1.  An output energy exceeding 50 rriJ per pulse and a pulsed  "peak power"  exceeding 

1  W;or 

2.  An average or CW output power exceeding  1  W; 

2.  Non-"tunable" "lasers", as follows: 

Note: 
a.  Neodymium glass "lasers", as follows: 

6A005.C.2.  includes atomic transition solid state "lasers". 

1.  "Q-switched lasers" having any of the following: 

a.  An output energy exceeding 20 J but not exceeding 50 J per pulse and an 

average output power exceeding  10 W; or 
b.  An output energy exceeding 50 J per pulse; 
2.  Non-"Q-switched  lasers" having any of the  following: 

a.  An output energy exceeding 50 J but not exceeding  100 J per pulse and an 

average output power exceeding 20 W; or 
b.  An output energy exceeding  100 J per pulse; 

b.  Neodymium-doped (other than glass) "lasers", having an output wavelength  exceeding 

1,000 nm but not exceeding  1,100 nm, as follows: 
N.B.:  For neodymium-doped  (other than glass)  "lasers" having an output  wavelength 

T not exceeding  1,000 nm or exceeding 1,100 nm, see  6A005.c.2.c. 

1.  Pulse-excited, mode-locked,  "Q-switched lasers" having a "pulse duration" of less 

than  1  ns and having any of the  following: 

a.  A "peak power" exceeding 5 GW; 

b.  An average output power exceeding  10 W; or 

c.  A pulsed energy exceeding 0.1 J; 

2.  Pulse-excited,  "Q-switched lasers" having a pulse duration equal to or more than 

1 ns, and having any of the  following: 

a.  A single-transverse mode output having: 

1.  A "peak power" exceeding  100 MW; 
2.  An average output power exceeding 20 W; or 
3.  A pulsed energy exceeding 2 J; or 

b.  A multiple-transverse mode output having: 
1.  A "peak power" exceeding 400 MW; 
2.  An average output power exceeding 2 kW; or 
3.  A pulsed energy exceeding 2 J; 

3.  Pulse-excited, non-"Q-switched lasers", having: 
a.  A single-transverse mode output having: 

1.  A "peak power" exceeding 500 kW; or 
2.  An average output power exceeding  150 W; or 

b.  A multiple-transverse  mode output having: 
1.  A "peak power" exceeding  1  MW; or 
2.  An average power exceeding 2 kW; 

4.  Continuously excited "lasers" having: 

a.  A single-transverse mode output having: 

1.  A "peak power" exceeding 500 kW; or 
2.  An average or CW output power exceeding  150 W; or 

128 

b.  A multiple-transverse mode output having: 
1.  A "peak power" exceeding  1  MW; or 
2.  An average or CW output power exceeding 2 kW; 

c.  Other non-"tunable" "lasers", having any of the  following: 

1.  A wavelength less than  150 nm and having any of the  following: 

a.  An output energy exceeding 50 mJ per pulse and a pulsed "peak power" 

exceeding  1 W; or 

b.  An average or CW output power exceeding  1  W; 

2.  A wavelength of  150 nm or more but not exceeding 800 nm and having any of the 

following: 
a.  An output energy exceeding  1.5 J per pulse and a pulsed "peak power" 

exceeding 30 W; or 

b.  An average or CW output power exceeding 30 W; 

3.  A wavelength exceeding 800 nm but not exceeding  1,400  nm, as follows: 

a. 

"Q-switched lasers" having: 
1.  An output energy exceeding 0.5 J per pulse and a pulsed  "peak power" 

exceeding 50 W; or 

2.  An average output power exceeding: 
10W  for single-mode "lasers"; 
30 W for multimode "lasers"; 

a. 
b. 

b.  Non-"Q-switched  lasers" having: 

1.  An output energy exceeding 2 J per pulse and a pulsed  "peak power" 

exceeding 50 W; or 

2.  An average or CW output power exceeding 50 W; or 
4.  A wavelength exceeding  1,400  nm and having any of the  following: 

a.  An output energy exceeding  100 mJ per pulse and a pulsed  "peak power" 

exceeding  1  W; or 

b.  An average or CW output power exceeding  1  W; 

d.  Dye and other liquid "lasers", having any of the  following: 

1.  A wavelength less than  150 nm and: 

a.  An output energy exceeding 50 mJ per pulse and a pulsed  "peak power" exceeding  1 W; 

or 

b.  An average or CW output power exceeding  1  W; 

2.  A wavelength of  150 nm or more but not exceeding 800 nm and having any of the  following: 
a.  An output energy exceeding  1.5 J per pulse and a pulsed "peak power" exceeding 20 W; 
b.  An average or CW output power exceeding 20 W; or 
c.  A pulsed single longitudinal mode oscillator having an average output power  exceeding 

1 W and a repetition rate exceeding  1  kHz if the "pulse duration" is less than  100 ns; 

3.  A wavelength exceeding 800 nm but not exceeding  1,400  nm and having any of the 

following: 
a.  An output energy exceeding 0.5 J per pulse and a pulsed "peak power" exceeding  10W; 

or 

b.  An average or CW output power exceeding  10 W; or 

4.  A wavelength exceeding  1,400 nm and having any of the  following: 

a.  An output energy exceeding  100 mJ per pulse and a pulsed "peak power" exceeding  1 W; 

or 

b.  An average or CW output power exceeding  1 W; 

e. 

Components, as follows: 
1.  Mirrors cooled either by active cooling or by heat pipe cooling; 

Technical Note: 
Active  cooling is a cooling technique for  optical components using flowing fluids within the 
subsurface  (nominally less than 1 mm below the optical surface) of the optical component  to 
remove heat from the optic. 

2.  Optical mirrors or transmissive or partially transmissive optical or electro-optical  components 

specially designed for use with controlled "lasers"; 

129 

Optical equipment, as follows: 

(For shared aperture optical elements, capable of operating in "Super-High Power Laser" 
("SHPL ") applications, see the Military  Goods Lists.) 

1.  Dynamic wavefront  (phase) measuring equipment capable of mapping  at least 50 positions on 

a beam wavefront  having any of the  following: 
a.  Frame rates equal to or more than  100 Hz and phase discrimination of at least 5% of the 

beam's wavelength; or 

b.  Frame rates equal to or more than  1,000  Hz and phase discrimination  of at least 20% of 

the beam's wavelength; 

2.  "Laser" diagnostic equipment capable of measuring  "SHPL" system angular beam steering 

errors of equal to or less than  10 urad; 

3.  Optical equipment and components specially designed for a phased-array  "SHPL" system  for 
coherent beam combination to an accuracy of lambda/10 at the designed wavelength, or 
0.1  um, whichever is the smaller; 

4.  Projection  telescopes specially designed for use with "SHPL" systems. 

6A006  "Magnetometers",  "magnetic gradiometers",  "intrinsic magnetic gradiometers" and  compensation 

systems, and specially designed components  therefor,  as follows: 

Note: 6A006 does not control instruments specially designed for  biomagnetic measurements for  medical 

diagnostics. 

a. 

b. 

c. 

d. 

e. 

f. 

"Magnetometers" using "superconductive", optically pumped or nuclear precession 
(proton/Overhauser) "technology" having a "noise level" (sensitivity) lower (better) than 
0.05 nT rms per square root Hz; 

Induction coil "magnetometers" having a "noise level" (sensitivity) lower (better) than any of the 
following: 
1.  0.05 nT rms/square root Hz at frequencies of less than  1  Hz; 
2.  1 x  10"3 nT rms/square root Hz at frequencies of  1  Hz or more but not exceeding  10 Hz; or 
3.  1  x  10"4 nT rms/square root Hz at frequencies exceeding  10 Hz; 

Fibre optic "magnetometers" having a "noise level" (sensitivity) lower (better) than  1  nT rms per 
square root Hz; 

"Magnetic gradiometers" using multiple  "magnetometers" specified  in 6A006.a., 6A006.b. or 
6A006.C.; 

Fibre optic "intrinsic magnetic gradiometers" having  a magnetic gradient field "noise level" 
(sensitivity) lower (better) than 0.3 nT/m rms per square root Hz; 

"Intrinsic magnetic gradiometers", using "technology" other than fibre-optic "technology",  having 
a magnetic gradient field "noise level" (sensitivity) lower (better) than 0.015 nT/m rms per  square 
root Hz; 

g.  Magnetic compensation systems for magnetic sensors designed for operation on mobile  platforms; 

h. 

"Superconductive" electromagnetic  sensors, containing components manufactured  from 
"superconductive" materials: 
1.  Designed for operation at temperatures below the "critical temperature" of at least one of their 
"superconductive" constituents (including Josephson effect  devices or  "superconductive" 
quantum interference  devices (SQUIDS)); 

2.  Designed for sensing electromagnetic field variations at frequencies of  1  kHz or less; and: 

130 

3.  Having any of the following  characteristics: 

a. 

Incorporating  thin-film  SQUIDS with a minimum feature  size of less than 2 um and with 
associated input and output coupling circuits; 

b.  Designed to operate with a magnetic field slew rate exceeding  1  x  106 magnetic flux 

quanta per second; 

c.  Designed to function  without magnetic shielding in the earth's ambient magnetic field; or 
d.  Having a temperature coefficient  less (smaller) than 0.1 magnetic flux quanrum/K. 

6A007  Gravity meters (gravimeters) and gravity gradiometers, as follows: 

N.B.: SEE ALSO  6A107. 

a. 

Gravity meters for ground use having a static accuracy of less (better) than  10 ugal; 
Note: 

6A007.a. does not control ground gravity meters of the quartz element (Worden) type. 

b.  Gravity meters for mobile platforms  for ground, marine, submersible, space or airborne use, 

having all of the  following: 
1.  A static accuracy of less (better) than 0.7 mgal; and 
2.  An in-service (operational) accuracy of less (better) than 0.7 mgal having a 

time-to-steady-state  registration of less than 2 minutes under any combination of attendant 
corrective compensations  and motional  influences; 

c. 

Gravity gradiometers. 

6A008  Radar systems, equipment and assemblies having any of the following  characteristics, and specially 

designed components  therefor: 
N.B.: SEE ALSO 6A108. 

Note: 6A008 does not control: 

Secondary surveillance radar (SSR); 

a. 
b.  Car radar designed for  collision prevention; 
c.  Displays or monitors used for  air traffic control (ATC) having no more than 12 

resolvable elements per  mm; 
d.  Meteorological  (weather) radar. 

a. 

Operating at frequencies from 40 GHz to 230 GHz and having an average output power  exceeding 
100 mW; 

b.  Having a tunable bandwidth exceeding ± 6.25% of the centre operating  frequency; 

Technical Note: 
The centre operating frequency equals one half of the sum of the highest plus  the lowest specified 
operating  frequencies. 

c. 

Capable of operating simultaneously on more than two carrier  frequencies; 

d. 

e. 

f. 

g. 

h. 

Capable of operating in synthetic aperture (S AR), inverse synthetic aperture (IS AR) radar mode, 
or sidelooking airborne (SLAR) radar mode; 

Incorporating  "electronically steerable phased array antennae"; 

Capable of heightfinding  non-cooperative targets; 
Note: 

6A008.fi does not control precision  approach radar (PAR) equipment conforming to 
ICAO standards. 

Specially designed  for airborne (balloon or airframe  mounted) operation and having  Doppler 
"signal processing" for the detection of moving targets; 

Employing processing  of radar signals using any of the  following: 
1.  "Radar spread spectrum" techniques; or 
2.  "Radar frequency agility" techniques; 

131 

i. 

Providing ground-based operation with a maximum "instrumented  range" exceeding  185 km; 
Note: 

6A008.L does not control: 
a.  Fishing ground surveillance  radar; 
b.  Ground radar equipment specially designed for  enroute air traffic control,  provided 

that all the following  conditions are met: 
1. 
2. 

It has a maximum  "instrumented range" of 500 km or less; 
It is configured so that radar target data can be transmitted only one way from 
the radar site to one or more civil ATC centres; 
It contains no provisions for  remote control of the radar scan rate from the 
enroute A TC centre; and 
It is to be permanently installed; 

3. 

4. 

c.  Weather balloon tracking radars. 

j. 

Being "laser" radar or Light Detection and Ranging (LIDAR) equipment, having any of the 
following: 
1.  " Space-qualified" ; or 
2.  Employing coherent heterodyne or homodyne detection techniques and having an angular 

resolution of less (better) than 20 urad (microradians); 

Note: 

6A008.J.  does not control LIDAR equipment specially designed for  surveying  or for 
meteorological observation. 

k.  Having  "signal processing" sub-systems using  "pulse compression", with any of the  following: 

1.  A "pulse compression" ratio exceeding  150; or 
2.  A pulse width of less than 200 ns; or 

1. 

Having data processing  sub-systems with any of the  following: 
1.  "Automatic target tracking" providing, at any antenna rotation, the predicted target position 

beyond the time of the next antenna beam passage; 
Note: 

6A008.1.1.  does not control conflict alert capability in A TC systems, or marine or 
harbour radar. 

2.  Calculation of target velocity from primary radar having non-periodic (variable)  scanning 

rates; 

3.  Processing for automatic pattern recognition (feature  extraction) and comparison with target 

characteristic data bases (waveforms  or imagery) to identify  or classify  targets; or 

4.  Superposition  and correlation, or fusion,  of target data from two or more  "geographically 

dispersed" and "interconnected radar sensors" to enhance and discriminate targets. 
Note: 

6A008.1.4.  does not control systems, equipment and assemblies used for  marine 
traffic control. 

6A102  Radiation hardened detectors, other than those specified  in 6A002, for use in protecting against  nuclear 

effects  (e.g. electromagnetic pulse (EMP), X-rays, combined blast and thermal effects)  and usable  for 
"missiles", designed or rated to withstand radiation  levels which meet or exceed a total irradiation  dose 
o f 5x  105rads(Si). 

Technical Note: 
In 6A102, a detector is defined as a mechanical, electrical, optical or chemical device that 
automatically  identifies and records, or registers a stimulus such as an environmental change in 
pressure  or temperature, an electrical or electromagnetic signal or radiation from a radioactive 
material. 

6A107  Gravity meters (gravimeters)  and components for gravity meters and gravity gradiometers, as follows: 

a.  Gravity meters, other than those specified  in 6A007.b., designed or modified  for airborne or marine use, 
and having a static or operational accuracy of 0.7 mgal or less (better), and having a time-to-steady-state 
registration of two minutes or less; 

b.  Specially designed components for gravity meters specified  in 6A007.b. or 6A107.a. and gravity 

gradiometers specified  in 6A007.C." 

132 

6A108  Radar systems and tracking systems, other than those specified  in entry 6A008, as  follows: 

a. 

b. 

Radar and laser radar systems designed or modified  for use in space launch vehicles specified  in 
9A004 or sounding rockets specified  in 9A104; 

Precision tracking systems, usable for  "missiles", as follows: 
1.  Tracking systems which use a code translator in conjunction  with either surface  or airborne 
references  or navigation satellite systems to provide real-time measurements  of  in-flight 
position and velocity; 

2.  Range instrumentation radars including associated optical/infrared  trackers with all of the 

following  capabilities: 
a.  Angular resolution better than 3 milliradians (0.5 mils); 
b.  Range of 30 km or greater with a range resolution better than  10 m rms; 
c.  Velocity resolution better than 3 m/s. 

6A202  Photomultiplier tubes with a photocathode  area of greater than 20 cm2  having an anode pulse rise time 

of less than  1  ns. 

6A203  Cameras and components, other than those specified  in 6A003, as follows: 

a.  Mechanical rotating mirror cameras, as follows, and specially designed components  therefor: 
1.  Framing cameras with recording rates greater than 225,000 frames per second; or 
2.  Streak cameras with writing speeds greater than 0.5 mm per microsecond; 

Note:  Components of such cameras include their synchronizing electronic units and rotor 

assemblies consisting of turbines, mirrors and bearings. 

b. 

Electronic streak and framing  cameras and tubes, as follows: 
1.  Electronic streak cameras capable of 50 ns or less time resolution and streak tubes  therefor; 
2.  Electronic (or electronically  shuttered) framing cameras capable of 50 ns or less  frame 

exposurctime; 

3.  Framing tubes and solid-state imaging devices for use with cameras specified  in 6A203.b.2., 

as follows: 
a.  Proximity focused  image intensifier  tubes having the photocathode deposited on a 

transparent conductive coating to decrease photocathode sheet resistance; 

b.  Gate silicon intensifier  target (SIT) videcon tubes, where a fast system allows gating the 

photoelectrons from  the photocathode before  they impinge on the SIT plate; 

c.  Kerr or pocket cell electro-optical shuttering; or 
d.  Other framing tubes and solid-state imaging devices having a fast-image  gating time of 

less than 50 ns specially designed for cameras specified  in 6A203.b.2; 

c. 

Radiation-hardened  TV cameras, or lenses therefor,  specially designed 
or rated as radiation hardened to withstand greater than 50 x  103 grays (Silicon) 
(5 x  106 rad (Silicon)) without operational  degradation. 

6A205  "Lasers", other than those specified  in 0B001 .g.5., 0B001 .h.6 and 6A005 ; as follows: 

a. 

b. 

c. 

Argon ion "lasers" with greater than 40 W average output power operating at wavelengths 
between 400 nm and 515 ran; 

Tunable pulsed single-mode dye oscillators capable of an average power output of greater than 1 
W, a repetition rate greater than  1  kHz, a pulse less than  100 ns, and a wavelength between  300 
nm and 800 nm; 

Tunable pulsed dye laser amplifiers  and oscillators, with an average power output of greater  than 
30 W, a repetition rate greater than  1  kHz, a pulse width less than  100 ns, and a wavelength 
between 300 nm and 800 nm; 

133 

except: 
Single mode oscillators; 

d. 

e. 

f. 

Pulsed carbon dioxide "lasers" with a repetition rate greater than 250 Hz, an average power  output 
of greater than 500 W, and a pulse of less than 200 ns operating at wavelengths between 9,000 nra 
and  11,000 nm; 

Para-hydrogen Raman shifters  designed to operate at  16 micrometre output wavelength and at a 
repetition rate greater than 250 Hz. 

Pulse -excited, Q-switched Neodymium-doped (other than glass) "lasers", having all of the 
following: 
1.  an output wavelength exceeding  1,000 nm but not exceeding  1,100 nm, 
2.  a pulse duration equal to or more than  1  ns, and 
3.  A multiple-transverse mode output having an average power exceeding  50 W. 

6A225  Velocity interferometers  for measuring velocities in excess of  1  km/s during time intervals of less than 

10 microsecond (VISARs, Doppler laser interferometers  (DLIs), etc.). 

6A226  Pressure sensors, as follows: 

a.  Manganin gauges for pressures greater than  100 kilobars; or 
b. 

Quartz pressure'transducers for pressures greater than  100 kilobars. 

6B 

Test, Inspection and Production Equipment 

6B004  Optical equipment, as follows: 

a. 

b. 

Equipment for measuring absolute reflectance  to an accuracy of ± 0.1% of the reflectance  value; 

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

Note: 6B004 does not control microscopes. 

6B007  Equipment to produce, align and calibrate land-based gravity meters with a static accuracy of better than 

0.1 mgal. 

6B008  Pulse radar cross-section measurement systems having transmit pulse widths of  100 ns or less and 

specially designed components  therefor. 
N.B.: SEE ALSO 6B108. 

6B108  Systems, other than those specified  in 6B008, specially designed for radar cross section measurement 

usable for "missiles" and other subsystems. 

6C 

Materials 

6C002  Optical sensor materials, as follows: 

a. 

b. 

Elemental tellurium (Te) of purity levels of 99.9995% or more; 

Single crystals of cadmium telluride (CdTe), cadmium zinc telluride (CdZnTe) or mercury 
cadmium telluride (HgCdTe) of any purity level, including epitaxial wafers thereof. 

134 

6C004  Optical materials, as follows: 

a. 

b. 

Zinc selenide (ZnSe) and zinc sulphide (ZnS) "substrate blanks" produced by the chemical  vapour 
deposition process, having any of the  following: 
1.  A volume greater than  100 cm3; or 
2.  A diameter greater than 80 mm having a thickness of 20 mm or more; 

Boules of the following  electro-optic materials: 
1.  Potassium titanyl arsenate (KTA); 
2.  Silver gallium selenide (AgGaSe2); 
3.  Thallium arsenic selenide (Tl3AsSe3, also known as TAS); 

c.  Non-linear optical materials, having all of the  following: 

1.  Third order susceptibility (chi 3) of  10"6 nrVV2 or more; and 
2.  A response time of less than  1  ms; 

d. 

e. 

f. 

"Substrate blanks" of silicon carbide or beryllium beryllium (Be/Be) deposited materials 
exceeding 300 mm in diameter or major  axis length; 
Glass, including fused  silica, phosphate glass, fluorophosphate glass, zirconium fluoride  (ZrF4) 
and hafnium  fluoride  (HfF4), having all of the  following: 
1.  A hydroxyl ion (OH-) concentration of less than 5 ppm; 
Integrated metallic purity levels of less than  1  ppm; and 
2. 
3.  High homogeneity (index of refraction  variance) less than 5 x 10"6; 
Synthetically produced diamond material with an absorption of less than  10"5 cm'1 for  wavelengths 
exceeding 200 nm but not exceeding  14,000 nm. 

6C005  Synthetic crystalline  "laser" host material in unfinished  form, as follows: 

Titanium doped sapphire; 

a. 
b.  Alexandrite. 

6D 

Software 

6D001  "Software"  specially designed for the "development" or "production" of equipment specified  in 6A004, 

6A005, 6A008 or 6B008. 

6D002  "Software"  specially designed for the "use" of equipment specified  in 6A002.b., 6A008 or 6B008. 

6D003  Other "software",  as follows: 

a. 

1.  "Software"  specially designed for acoustic beam forming  for the "real time processing" of 

acoustic data for passive reception using towed hydrophone arrays; 

2.  "Source code" for the "real time processing" of acoustic data for passive reception using 

towed hydrophone arrays; 

3.  "Software"  specially designed for bottom or bay cable systems and having beaniforming  or 

"source code" for  "real time processing" of acoustic data for passive reception; 

b. 

1.  "Software"  specially designed for magnetic compensation  systems for magnetic  sensors 

designed to operate on mobile platforms; 

2.  "Software"  specially designed for magnetic anomaly detection on mobile  platforms; 

c. 

d. 

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

1.  Air Traffic  Control  "software" application  "programmes" hosted on general purpose 
computers located at Air Traffic  Control centres and capable of any of the  following: 
a.  Processing and displaying more than  150 simultaneous  "system tracks"; or 

135 

b.  Accepting radar target data from more than four primary radars; 

2.  "Software"  for the design or "production" of radomes which: 

a.  Are specially designed to protect the "electronically steerable phased array antennae" 

specified  in 6A008.e.; and 

b.  Result in an antenna pattern having an 'average side lobe level' more than 40 dB below 

the peak of the main beam level. 

Technical Note: 
'Average side lobe level' in 6D003.d.2.b. is measured over the entire array excluding  the 
angular extent of the main beam and the first two side lobes on either side of the main 
beam. 

6D102  "Software"  specially designed for the "use" of goods specified  in 6A108. 

6D103  "Software"  which processes post-flight,  recorded data, obtained from the systems specified  in 6A108.b., 

enabling determination of vehicle position throughout its flight path. 

6E 

Technology 

6E001  "Technology" according to the General Technology Note for the "development" of equipment,  materials 

or "software"  specified  in 6A., 6B., 6C. or 6D. 

6E002 

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

6E003  Other  "technology", as follows: 

a. 

b. 

c. 

1.  Optical surface  coating and treatment  "technology" "required" to achieve uniformity  of 99.5% 
or better for optical coatings 500 mm or more in diameter or major  axis length and with a total 
loss (absorption and scatter) of less than 5 x 10"3; 
N.B.: 

Seealso2E003.fi 

2.  Optical fabrication  "technology" using single point diamond turning techniques to produce 
surface finish accuracies of better than  10 nm mis on non-planar surfaces  exceeding 0.5 m2; 

"Technology"  "required" for the "development",  "production" or "use" of specially  designed 
diagnostic instruments or targets in test facilities  for  "SHPL" testing or testing or evaluation of 
materials irradiated by  "SHPL" beams; 

"Technology" "required" for the "development" or "production" of fluxgate "magnetometers" or 
fluxgate  "magnetometer"  systems, having any of the  following: 
1.  A "noise level" of less than 0.05 nT rms per square root Hz at frequencies  of less than  1  Hz; or 
2.  A "noise level" of less than  1  x  10"3 nT rms per square root Hz at frequencies of  1 Hz or more. 

6E101 

"Technology" according to the General Technology Note for the "use" of equipment or  "software" 
specified  in 6A002, 6A007.b. and c,  6A008, 6A102, 6A107, 6A108, 6B108, 6D102 or 6D103. 

Note: 6E101 only specifies  "technology" for  equipment specified  in 6A008 when it is designed for 

airborne applications  and is usable in "missiles". 

6E201  "Technology" according to the General Technology Note for the "use" of equipment  specified  in 

6A003, 6A005.a.l.c,  6A005.a.2.a., 6A005.c.l.b., 6A005.c.2.c.2., 6A005.c.2.d.2.b., 6A202, 6A203, 
6A205, 6A225 or 6A226. 

136 

CATEGORY 7 - NAVIGATION AND AVIONICS 

7A 

Systems, Equipment and Components 

N.B.: For automatic pilots for  underwater vehicles, see  Category 8. 

For radar, see  Category 6. 

7A001  Accelerometers  designed for use in inertial navigation or guidance systems and having any of the 

following  characteristics, and specially designed components  therefor: 
N.B.:SEEALSO7A101. 

a. 

A "bias" "stability" of less (better) than  130 microg with respect to a fixed  calibration value over a 
period of one year; 

b.  A "scale factor"  "stability" of less (better) than  130 ppm with respect to a fixed  calibration value 

over a period of one year; or 
Specified  to function  at linear acceleration levels exceeding  100 g. 

c. 

7A002  Gyros having any of the following  characteristics, and specially designed components  therefor: 

N.B.:SEE ALSO 7A102. 

a. 

A "drift rate" "stability", when measured in a  lg  environment over a period of three months and 
with respect to a fixed calibration value,  of: 
1.  Less (better) than 0.1° per hour when specified  to function  at linear acceleration levels below 

10g;or 

2.  Less (better) than 0.5° per hour when specified  to function  at linear acceleration levels  from 

10 g to  100 g inclusive; or 

b. 

Specified  to function  at linear acceleration levels exceeding  100 g. 

7A003 

Inertial navigation systems (gimballed or strapdown) and inertial equipment designed for  "aircraft",  land 
vehicle or "spacecraft"  for attitude, guidance or control having any of the following  characteristics,  and 
specially designed components  therefor: 
N.B.:SEE ALSO 7A103. 

a.  Navigation error (free  inertial) subsequent to normal alignment of 0.8 nautical mile per hour (50% 

Circular Error Probable (CEP)) or less (better); or 
Note: 

The parameters  of7A003.a  are applicable  with any of the following  environmental 
conditions. 
1. 

Input random vibration with an overall magnitude of 7.7 g rms in the first half  hour 
and a total test duration of one and one half hour per  axis in each of the three 
perpendicular  axes, when the random vibration meets the following: 
a.  A constant power spectral density (PSD) value ofO. 04 g^/Hz  over a  frequency 

interval of 15 to 1,000 Hz; and 

b.  The PSD attenuates with frequency from 0.04 g^/Hz 

to 0.01 g^/Hz  over a 

frequency  interval from 1,000 to 2,000 Hz, or 

2.  A roll and yaw  rate of equal to or more than + 2.62 radian/S 

(150deg/S); 
or 

3.  According  to national standards equivalent  to 1. or 2. above. 

b. 

Specified  to function  at linear acceleration  levels exceeding  10 g. 

Note: 7A003 does not control inertial navigation systems which are certified for  use on  "civil aircraft" 

by civil authorities of a  "participating state". 

7 A004  Gyro-astro compasses, and other devices which derive position or orientation by means of  automatically 
tracking celestial bodies or satellites, with an azimuth accuracy of equal to or less (better) than 5 seconds 
of arc. 
N.B.: SEE ALSO 7A104. 

137 

7A005  Global navigation satellite systems (i.e. GPS or GLONASS) receiving equipment having any of the 

following  characteristics, and specially designed components  therefor: 
N.B.: SEE ALSO 7A105. 

Employing decryption; or 
a. 
b.  A null-steerable antenna. 

7A006  Airborne altimeters operating at frequencies other than 4.2 to 4.4 GHz inclusive, having any of the 

following  characteristics: 
N.B.: SEE ALSO 7A106. 

"Power management"; or 

a. 
b.  Using phase shift  key modulation. 

7A007  Direction finding  equipment operating at frequencies  above 30 MHz and having all of the  following 

characteristics, and specially designed components  therefor: 
"Instantaneous bandwidth" of  1  MHz or more; 
a. 
Parallel processing of more than  100 frequency  channels; and 
b. 
Processing rate of more than  1,000  direction finding  results per second and per frequency channel. 
c. 

7A101  Accelerometers, other than those specified  in 7A001, with a threshold of 0.05 g or less, or a linearity 

error within 0.25% of full  scale output, or both, which are designed for use in inertial navigation 
systems or in guidance systems of all types and specially designed components  therefor. 

Note: 7A101 does not specify accelerometers which are specially designed and developed  as MWD 

(Measurement  While Drilling) Sensors for  use in downhole well service  operations. 

7A102  All types of gyros, other than those specified  in 7A002, usable in "missiles", with a rated "drift rate" 

"stability" of less than 0.5° (1 sigma or rms) per hour in a  1  g environment and specially  designed 
components  therefor. 

7A103  Instrumentation, navigation equipment and systems, other than those specified  in 7A003, as follows; 

and specially designed components  therefor: 

a. 

Inertial or other equipment using accelerometers or gyros specified  in 7A001, 7A002, 7A101 or 
7A102 and systems incorporating  such equipment; 

Note:  7A103.a. does not specify equipment containing accelerometers specified  in 7A001 where 
such accelerometers are specially designed and developed as MWD  (Measurement 
While Drilling) sensors for  use in down-hole well services  operations. 

b. 

Integrated flight instrument systems, which include gyrostabilisers or automatic pilots, designed or 
modified  for use in space launch vehicles specified  in 9A004 or sounding rockets specified  in 
9A104." 

7A104  Gyro-astro compasses and other devices, other than those specified  in 7A004, which derive position or 

orientation by means of automatically  tracking celestial bodies or satellites and specially  designed 
components  therefor. 

7A105  Global Positioning Systems (GPS) or similar satellite receivers, other than those specified  in 7A005, 

capable of providing navigation information  under the following  operational conditions and designed  or 
modified  for use in space launch vehicles specified  in 9A004 or sounding rockets specified  in 9A104 

a. 

At speeds in excess of 515 m/s; and 

b.  At altitudes in excess of  18 km. 

138 

7A106  Altimeters, other than those specified  in 7A006, of radar or laser radar type, designed or modified  for 

use in space launch vehicles specified  in 9A004 or sounding rockets specified  in 9A104." 

7A115  Passive sensors for determining bearing to specific  electromagnetic  source (direction  finding  equipment) 

or terrain characteristics, designed or modified  for use in space launch vehicles specified  in 9A004 or 
sounding rockets specified  in 9A104. 

Note: 7All  5 includes sensors for  the following  equipment: 

a. 
b. 
c. 

Terrain contour mapping equipment; 
Imaging sensor equipment; 
Interferometer  equipment. 

7A116  Flight control systems, as follows; designed or modified  for space launch vehicles specified  in 9A004 or 

sounding rockets specified  in 9A104 

a. 

Hydraulic, mechanical, electro-optical, or electro-mechanical flight control systems (including  fly-
by-wire types); 

b.  Attitude control  equipment. 

7A117  "Guidance sets", usable in "missiles", capable of achieving  system accuracy of 3.33% or less of the 

range (e.g., a "CEP" of  10 km or less at a range of 300 km). 

7B 

Test, Inspection  and Production  Equipment 

7B001  Test, calibration or alignment equipment specially designed for equipment specified  in 7A. 

Note: 7B001 does not control test, calibration or alignment equipment for  Maintenance  Level I or 

Maintenance Level II. 

Technical Notes: 

1.  Maintenance Level I 

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

2.  Maintenance Level II 

The defective LRU is sent to the maintenance workshop (the manufacturer's or that of the  operator 
responsible for  level II maintenance). At the maintenance workshop, the malfunctioning  LRU is 
tested by various appropriate means to verify and localise the defective shop replaceable  assembly 
(SRA) module responsible for  the failure.  This SRA is removed and replaced by an operative 
spare.  The defective SRA (orpossibly  the complete LRU) is then shipped to the  manufacturer. 
N.B. :  Maintenance  Level II does not include the removal of controlled accelerometers  or gyro 

sensors from the SRA. 

7B002  Equipment, as follows,  specially designed to characterize mirrors for ring "laser" gyros: 

N.B.: SEE ALSO 7B102. 

a. 

b. 

Scatterometers having a measurement accuracy of  10 ppm or less (better); 

Profilometers  having a measurement accuracy of 0.5 run (5 angstrom) or less (better). 

7B003  Equipment specially designed for the "production" of equipment specified  in 7A., including: 

a. 
b. 
c. 

Gyro tuning test stations; 
Gyro dynamic balance stations; 
Gyro run-in/motor test stations; 

139 

d. 
e. 
f. 

Gyro evacuation and fill stations; 
Centrifuge  fixtures  for gyro bearings; 
Accelerometer  axis align stations. 

7B102  Reflectometers  specially designed to characterise mirrors, for  "laser" gyros, having a measurement 

accuracy of 50 ppm or less (better). 

7B103  Specially designed "production facilities" for equipment specified  in 7A117. 

7C 

Materials 

None 

7D 

Software 

7D001  "Software"  specially designed or modified  for the "development" or "production" of equipment 

specified  in 7A. or 7B. 

7D002  "Source code" for the "use" of any inertial navigation equipment or Attitude and Heading  Reference 

Systems (AHRS) including inertial equipment not controlled by 7A003 or 7A004. 
Note: 7D002 does not control  "source code"for  the  "use" ofgimballed  AHRS. 

Technical Note 
AHRS generally differ from inertial navigation systems (INS) in that an AHRS provides  attitude and 
heading  information and normally does not provide  the acceleration, velocity and position  information 
associated with an INS. 

7D003  Other  "software",  as follows: 

a. 

b. 

c. 

d. 

e. 

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

"Source code" for hybrid integrated systems which improves the operational performance  or 
reduces the navigational error of systems to the level specified  in 7A003 by  continuously 
combining inertial data with any of the following  navigation data: 
1.  Doppler radar velocity; 
2.  Global navigation satellite systems (i.e., GPS or GLONASS) reference  data; or 
3.  Terrain data from data bases; 

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

Integrated propulsion and flight control systems; 

"Source code" for the "development" of any of the  following: 
1.  Digital flight management systems for  "total control of flight"; 
2. 
3.  Fly-by-wire or fly-by-light control systems; 
4.  Fault-tolerant or self-reconfiguring  "active flight control systems"; 
5.  Airborne automatic direction finding equipment; 
6.  Air data systems based on surface  static data; or 
7.  Raster-type head-up displays or three dimensional displays; 

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

140 

7D101  "Software"  specially designed for the "use" of equipment specified  in 7A001 to 7A006, 7A101 to 

7A106, 7A115, 7B002, 7B003, 7B102 or 7B103. 

7D102  Integration  "software"  for the equipment specified  in 7A003 or 7A103. 

7D103 "Software"  specially designed for modelling or simulation of the "guidance sets" specified  in 7A117 or  for 
their design integration with the space launch vehicles specified  in 9A004 or sounding rockets specified  in 
9A104." 

Note: "Software" specified  in 7D103 remains controlled when combined with specially  designed 

hardware specified  in 4A102. 

7E 

Technology 

7E001  "Technology" according to the General Technology Note for the "development"  of equipment or 

"software"  specified  in 7A., 7B. or 7D. 

7E002 

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

7E003  "Technology" according to the General Technology Note for the repair, refurbishing  or overhaul of 

equipment specified  in 7A001. to 7A004. 
Note: 7E003 does not control maintenance  "technology" directly associated with calibration,  removal or 
replacement of damaged or unserviceable LRUs and SRAs of a  "civil aircraft" as described in 
Maintenance Level I or Maintenance Level II. 
N.B.: 

See  Technical Notes to  7BOOL 

7E004  Other  "technology", as  follows: 

a. 

"Technology" for the "development" or "production"  of: 
1.  Airborne automatic direction finding equipment operating at frequencies exceeding 5 MHz; 
2.  Air data systems based on surface  static data only, i.e., which dispense with conventional  air 

data probes; 

3.  Raster-type head-up displays or three dimensional displays for  "aircraft"; 
4. 

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

5.  Electric actuators (i.e., electromechanical, electrohydrostatic  and integrated actuator package) 

specially designed for  "primary flight control"; 

6.  "Flight control optical sensor array" specially designed for implementing  "active flight control 

systems"; 

b. 

"Development"  "technology", as follows, for "active flight control systems" (including  fly-by-wire 
or fly-by-light): 
1.  Configuration  design for interconnecting multiple microelectronic processing  elements (on 

board computers) to achieve  "real time processing" for control law  implementation; 

2.  Control law compensation for sensor location or dynamic airframe  loads, i.e.,  compensation 

for sensor vibration environment or for variation of sensor location from the centre of gravity; 

3.  Electronic management of data redundancy  or systems redundancy for  fault detection,  fault 

tolerance, fault isolation or  reconfiguration; 
Note: 

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

4.  Flight controls which permit inflight reconfiguration  of force  and moment controls for real 

5. 

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

141 

Note: 

7E004.b.5. does not control: 
1.  "Development" "technology" for  integration of digital flight  control,  navigation 
and propulsion  control data into a digital flight management system for  "flight 
path  optimisation "; 
"Development"  "technology"for  "aircraft"flight  instrument systems  integrated 
solely for  VOR,  DME, ILS or MLS navigation or approaches. 

2. 

6.  Full authority digital flight control or multisensor mission management systems  employing 

"expert systems"; 
N.B. : 

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

c. 

"Technology" for the "development" of helicopter systems, as follows: 
1.  Multi-axis fly-by-wire or fly-by-light  controllers which combine the functions  of at least two 

of the following  into one controlling  element: 
a.  Collective controls; 
b.  Cyclic controls; 
c.  Yaw controls; 

2.  "Circulation-controlled  anti-torque or circulation-controlled  directional control systems"; 
3.  Rotor blades incorporating  "variable geometry airfoils" for use in systems using  individual 

blade control. 

7E101  "Technology" according to the General Technology Note for the "use" of equipment specified  in 7A001 
to 7A006, 7A101 to 7A106, 7A115 to 7A117, 7B002, 7B003, 7B102, 7B103, 7D101 to 7D103. 

7E102  "Technology" for protection of avionics and electrical subsystems against electromagnetic pulse (EMP) 

and electromagnetic  interference  (EMI) hazards, from external sources, as follows: 

a. 

Design "technology" for shielding systems; 

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

c. 

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

7E104  "Technology" for the integration of the flight control, guidance, and propulsion data into a flight 

management system for optimization of rocket system  trajectory. 

CATEGORY  8 -  MARINE 

8A 

Systems, Equipment  and  Components 

8A001  Submersible vehicles and surface  vessels, as follows: 

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

Category 5, Part 2  "Information Security"for  encrypted communication  equipment; 
Category 6 for  sensors; 
Categories  7 and 8 for  navigation equipment; 
Category 8A. for  underwater equipment. 

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

b.  Manned, untethered submersible vehicles, having any of the  following: 

1.  Designed to  'operate autonomously'  and having a lifting  capacity of all the  following: 

a. 

10% or more of their weight in air; and 

142 

b. 

15 kN or more; 

2.  Designed to operate at depths exceeding  1,000 m; or 
3.  Having all of the  following: 

a.  Designed to carry a crew of 4 or more; 
b.  Designed to operate autonomously  for  10 hours or more; 
c.  Having a 'range' of 25 nautical miles or more; and 
d.  Having a length of 21 m or less; 

Technical Notes: 
1.  For the purposes  of8A001.b., 

'operate autonomously ' means fully  submerged, without 

snorkel, all systems working and cruising at minimum speed at which the submersible  can 
safely control its depth dynamically by using its depth planes  only, with no need for  a  support 
vessel or support base on the surface, sea-bed  or shore, and containing a propulsion  system 
for  submerged  or surface use. 
2.  For the purposes  of8A001.b., 

'range ' means half the maximum distance a  submersible 

vehicle can cover. 

Unmanned, tethered submersible vehicles designed to operate at depths exceeding  1,000  m, 
having any of the  following: 
1.  Designed for self-propelled  manoeuvre using propulsion motors or thrusters specified  in 

8A002.a.2.; or 

2.  Having a fibre optic data link; 

Unmanned, untethered submersible vehicles, having any of the  following: 
1.  Designed for deciding a course relative to any geographical reference  without real-time 

human assistance; 

2.  Having an acoustic data or command link; or 
3.  Having a fibre optic data or command link exceeding  1,000  m; 

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

1.  Dynamic positioning  systems capable of position keeping within 20 m of a given point 

provided by the navigation system; or 

2.  Seafloor  navigation and navigation integration systems for depths exceeding  1,000 m with 

positioning  accuracies to within  10 m of a predetermined point; 

Surface-effect  vehicles (fully  skirted variety) having all of the following  characteristics: 
1.  a maximum design speed, fully  loaded, exceeding 30 knots in a significant  wave height of 

1.25 m (Sea State 3) or more; 

2.  a cushion pressure exceeding 3,830 Pa; and 
3.  a light-ship-to-full-load  displacement ratio of less than 0.70; 

Surface-effect  vehicles (rigid sidewalls) with a maximum design speed, fully  loaded, exceeding 40 
knots in a significant  wave height of 3.25 m (Sea State 5) or more; 

Hydrofoil  vessels with active systems *br automatically  controlling foil  systems, with a maximum 
design speed, fully  loaded, of 40 knots or more in a significant  wave height of 3.25 m (Sea State 
5) or more; 

Small waterplane area vessels having any of the  following: 
1.  A full  load displacement exceeding  500 tonnes with a maximum design speed, fully  loaded, 

exceeding  35 knots in a significant  wave height of 3.25 m 
(Sea State 5) or more; or 

2.  A full  load displacement exceeding  1,500  tonnes with a maximum design speed, fully  loaded, 

exceeding 25 knots in a significant  wave height of 4 m (Sea State 6) or more. 

143 

Technical Note: 
A small waterplane area vessel is defined by the following formula:  waterplane area at an 
operational design draught less than 2 x  (displaced volume at the operational design 

draught)^ 

8A002  Systems and equipment, as  follows: 

Note: For underwater communications systems, see Category 5, 

Part 1 -  Telecommunications. 

a. 

Systems and equipment, specially designed or modified  for submersible vehicles, designed to 
operate at depths exceeding  1,000  m, as follows: 
1.  Pressure housings or pressure hulls with a maximum inside chamber diameter exceeding 1.5 

m; 

2.  Direct current propulsion motors or thrusters; 
3.  Umbilical cables, and connectors therefor, using optical fibre and having synthetic strength 

members; 

b. 

Systems specially designed or modified  for the automated control of the motion of equipment  for 
submersible vehicles specified  in 8A001. using navigation data and having closed loop servo-
controls: 
1.  Enabling a vehicle to move within  10 m of a predetermined point in the water column; 
2.  Maintaining the position of the vehicle within  10 m of a predetermined point in the water 

column; or < 

3.  Maintaining the position of the vehicle within  10 m while following  a cable on or under the 

seabed; 

c. 

Fibre optic hull penetrators or connectors; 

d.  Underwater vision systems, as follows: 

1.  Television systems and television cameras, as follows: 

a.  Television systems (comprising camera, monitoring and signal transmission  equipment) 

having a limiting resolution when measured in air of more than 800 lines and  specially 
designed or modified  for remote operation with a submersible vehicle; 

b.  Underwater television cameras having a limiting resolution when measured in air of 

more than  1,100  lines; 

c.  Low light level television cameras specially designed or modified  for underwater use 

containing all of the  following: 
1. 
Image intensifier  tubes specified  in 6A002.a.2.a.; and 
2.  More than  150,000 "active pixels" per solid state area array; 

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

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

e. 

Photographic still cameras specially designed or modified  for underwater use below  150 m having 
a film format  of 35 mm or larger, and having any of the  following: 
1.  Annotation of the film with data provided by a source external to the camera; 
2.  Automatic back focal  distance correction; or 
3.  Automatic compensation control specially designed to permit an underwater camera housing 

to be usable at depths exceeding  1,000  m; 

f. 

Electronic  imaging systems, specially designed or modified  for underwater use, capable of storing 
digitally more than 50 exposed images; 

144 

g. 

Light systems, as follows, specially designed or modified  for underwater use: 
1.  Stroboscopic light systems capable of a light output energy of more than 300 J per flash  and a 

flash rate of more than 5 flashes per second; 

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

h. 

"Robots" specially designed for underwater use, controlled by using a dedicated  "stored 
programme  controlled" computer, having any of the  following: 
1.  Systems that control the "robot" using information  from  sensors which measure force  or 

torque applied to an external object,  distance to an external object, or tactile sense between the 
"robot" and an external object; or 

2.  The ability to exert a force  of 250 N or more or a torque of 250 Nm or more and using 

titanium based alloys or "fibrous  or filamentary" "composite" materials in their  structural 
members; 

i. 

Remotely controlled articulated manipulators specially designed or modified  for use with 
submersible vehicles, having any of the  following: 
1.  Systems which control the manipulator using the information from sensors which measure the 
torque or force  applied to an external object, or tactile sense between the manipulator and an 
external object; or 

2.  Controlled by proportional master-slave techniques or by using a dedicated  "stored 

programme controlled" computer, and having 5 degrees of freedom  of movement or more; 

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

j. 

Air independent power systems, specially designed for underwater use, as follows: 
1.  Brayton or Rankine cycle engine air independent power systems having any of the  following: 
a.  Chemical scrubber or absorber systems specially designed to remove carbon dioxide, 

carbon monoxide and particulates from recirculated engine exhaust; 

b.  Systems specially designed to use a monoatomic gas; 
c.  Devices or enclosures specially designed for underwater noise reduction in  frequencies 

below  10 kHz, or special mounting devices for shock mitigation; or 

d.  Systems specially  designed: 

1.  To pressurise the products of reaction or for fuel  reformation; 
2.  To store the products of the reaction; and 
3.  To discharge the products of the reaction against a pressure of  100 kPa or more; 

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

a.  Chemical scrubber or absorber systems specially designed to remove carbon dioxide, 

carbon monoxide and particulates from recirculated engine exhaust; 

b.  Systems specially designed to use a monoatomic gas; 
c.  Devices or enclosures specially designed for underwater noise reduction in  frequencies 

below  10 kHz or special mounting devices for shock mitigation; and 

d.  Specially designed exhaust systems that do not exhaust continuously the products of 

combustion; 

3.  Fuel cell air independent power systems with an output exceeding 2 kW having any of the 

following: 
a.  Devices or enclosures specially designed for underwater noise reduction in  frequencies 

below  10 kHz or special mounting devices for shock mitigation; or 

b.  Systems specially  designed: 

1.  To pressurise the products of reaction or for fuel  reformation; 
2.  To store the products of the reaction; and 
3.  To discharge the products of the reaction against a pressure of  100 kPa or more; 

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

a.  Devices or enclosures specially designed for underwater noise reduction in  frequencies 

below  10 kHz or special mounting devices for shock mitigation; and 

b.  Specially designed exhaust systems which discharge the products of combustion  against 

a pressure of  100 kPa or more; 

145 

k. 

Skirts, seals and fingers, having any of the  following: 
1.  Designed for cushion pressures of 3,830 Pa or more, operating  in a significant  wave height of 

1.25  m (Sea State 3) or more and specially designed for surface  effect  vehicles (fully  skirted 
variety) specified  in 8A001.f; or 

2.  Designed for cushion pressures of 6,224 Pa or more, operating in a significant  wave height of 

3.25 m (Sea State 5) or more and specially designed for surface  effect  vehicles (rigid 
sidewalls) specified  in 8A001.g.; 

1. 

m. 

Lift  fans rated at more than 400 kW specially designed for surface  effect  vehicles specified  in 
8A001.f.or8A001.g.; 

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

n.  Active systems specially designed or modified  to control automatically  the sea-induced motion of 

vehicles or vessels specified  in SAOOl.f., 8A001.g., 8A001.h. or 8A001.Ï.; 

o. 

Propellers, power transmission  systems, power generation systems and noise reduction systems, as 
follows: 
" 1.  Water-screw propeller or power transmission systems, as follows, specially designed  for 

surface  effect  vehicles (fully  skirted or rigid sidewall variety), hydrofoils  or small waterplane 
area vessels specified  in 8A001.f,  8A001.g., 8A001.h. or 8A001.L: 
a.  Supercavitating, super-ventilated, partially-submerged  or surface piercing  propellers 

rated at more than 7.5 MW; 

b.  Contrarotating propeller systems rated at more than  15 MW; 
c.  Systems employing pre-swirl or post-swirl techniques for smoothing the flow  into a 

propeller; 

d.  Light-weight, high capacity (K factor  exceeding 300) reduction gearing; 
e.  Power transmission shaft  systems, incorporating  "composite" material components, 

capable of transmitting more than  1  MW; 

2.  Water-screw propeller, power generation systems or transmission  systems designed for use on 

vessels, as follows: 
a.  Controllable-pitch propellers and hub assemblies rated at more than 30 MW; 
b. 

Internally liquid-cooled electric propulsion engines with a power output exceeding  2.5 
MW; 
"Superconductive" propulsion engines, or permanent magnet electric propulsion engines, 
with a power output exceeding 0.1 MW; 

c. 

d.  Power transmission  shaft  systems, incorporating  "composite" material components, 

capable of transmitting more than 2 MW; 

e.  Ventilated or base-ventilated propeller systems rated at more than 2.5 MW; 

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

follows: 
a.  Systems that attenuate underwater noise at frequencies  below 500 Hz and consist of 

compound  acoustic mounts for the acoustic isolation of diesel engines, diesel  generator 
sets, gas turbines, gas turbine generator sets, propulsion motors or propulsion  reduction 
gears, specially designed for sound or vibration isolation, having an intermediate mass 
exceeding  30% of the equipment to be mounted; 

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

Pumpjet propulsion systems having a power output exceeding 2.5 MW using divergent nozzle and 
flow  conditioning  vane techniques to improve propulsive efficiency  or reduce propulsion-
generated underwater-radiated  noise; 

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

p. 

q. 

146 

8B 

Test, Inspection and Production  Equipment 

8B001  Water tunnels, having a background noise of less than  100 dB (reference  1 uPa,  1  Hz) in the  frequency 

range from 0 to 500 Hz, designed for measuring acoustic fields generated by a hydro-flow  around 
propulsion system models. 

8C 

Materials 

8C001  Syntactic foam designed for underwater use, having all of the  following: 
Designed for marine depths exceeding  1,000 m; and 

a. 
b.  A density less than 561 kg/m3. 

Technical Note: 
Syntactic foam  consists of hollow spheres of plastic  or glass embedded in a resin matrix. 

8D 

Software 

8D001  "Software"  specially designed or modified  for the "development",  "production" or "use" of equipment or 

materials specified  in 8A., 8B. or 8C. 

8D002  Specific  "software"  specially designed or modified  for the "development",  "production",  repair, 

overhaul or refurbishing  (re-machining) of propellers specially designed for underwater noise reduction. 

8E 

Technology 

8E001  "Technology" according to the General Technology Note for the "development" or "production" of 

equipment or materials specified  in 8A., 8B. or 8C. 

8E002  Other "technology", as follows: 

a. 

b. 

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

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

CATEGORY 9 -  PROPULSION  SYSTEMS, SPACE VEHICLES AND RELATED EQUIPMENT. 

9A 

Systems, Equipment and Components 

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

9A001  Aero gas turbine engines incorporating  any of the "technologies" specified  in 9E003.a.,  as follows: 

N.B.: SEE ALSO 9A101 

a.  Not certified  for the specific  "civil aircraft"  for which they are intended; 
b.  Not certified  for civil use by the aviation authorities in a "participating state"; 
c. 

Designed to cruise at speeds exceeding Mach  1.2  for more than thirty minutes. 

9A002  Marine gas turbine engines with an ISO standard continuous power rating of 24,245 kW or more and a 

specific  fuel  consumption not exceeding 0.219 kg/kWh in the power range from 35 to  100%, and 
specially designed assemblies and components  therefor. 

147 

Note: The term  'marine gas turbine engines' includes those industrial, or 

aero-derivative, gas  turbine engines adapted for  a ship's electric power  generation  or 
propulsion. 

9A003  Specially designed assemblies and components, incorporating  any of the "technologies" specified  in 

9E003.a., for the following  gas turbine engine propulsion systems: 
a. 
b.  Whose design or production origins are either non-"participating  states" or unknown to the 

Specified  in 9A001; 

manufacturer. 

9A004  Space launch vehicles and  "spacecraft". 

N.B.: SEE ALSO 9A104. 

Notes: 

1. 
2. 

9A004 does not  controlpayloads. 
For the control status of products  contained in "spacecraft" payloads,  see the 
appropriate Categories. 

9A105  Liquid propellant rocket engines, as follows: 

N.B.: SEE ALSO 9A119. 

(a)  Liquid propellant rocket engines, usable in "missiles", other than those specified  in 9A005, having 

a total impulse capacity of 1.1  MNs or greater; 

(b)  Liquid propellant rocket engines, usable in complete rocket systems or unmanned air vehicles, 

capable of a range of at least 300 km, other than those specified  in 9A005 or 9A105.a., having a 
total impulse capacity of 0.841 MNs or greater. 

9A006  Systems and components specially designed for liquid rocket propulsion systems, as follows: 

N.B.: SEE ALSO 9A106 and 9A108. 

a. 

b. 

Cryogenic refrigerators,  flightweight  dewars, cryogenic heat pipes or cryogenic systems  specially 
designed for use in space vehicles and capable of restricting cryogenic fluid losses to less than 
30%o per year; 
Cryogenic containers or closed-cycle refrigeration  systems capable of providing temperatures  of 
100 K (-173°C) or less for  "aircraft"  capable of sustained flight at speeds exceeding Mach 3, 
launch vehicles or  "spacecraft"; 
Slush hydrogen storage or transfer  systems; 

c. 
d.  High pressure (exceeding  17.5 MPa) turbo pumps, pump components or their associated gas 

e. 
f. 

g. 

generator or expander cycle turbine drive systems; 
High-pressure  (exceeding  10.6 MPa) thrust chambers and nozzles  therefor; 
Propellant storage systems using the principle of capillary containment or positive expulsion (i.e., 
with flexible  bladders); 
Liquid propellant  injectors,  with individual orifices  of 0.381 mm or smaller in diameter (an area of 
1.14 x  10"3 cm2 or smaller for non-circular orifices)  specially designed for  liquid rocket engines; 

h.  One-piece carbon-carbon  thrust chambers or one-piece carbon-carbon  exit cones with densities 

exceeding  1.4 g/cm3 and tensile strengths exceeding 48 MPa. 

9A007  Solid rocket propulsion systems with any of the  following: 

N.B.: SEE ALSO 9A119 

a. 
b. 

Total impulse capacity exceeding  1.1 MNs; 
Specific  impulse of 2.4 kNs/kg or more when the nozzle flow is expanded to ambient sea level 
conditions for an adjusted  chamber pressure of 7 MPa; 
Stage mass fractions  exceeding  88% and propellant solid loadings exceeding 86%; 

c. 
d.  Any of the components specified  in 9A008 .; or 
e. 

Insulation and propellant bonding systems using direct-bonded motor designs to provide a  'strong 
mechanical bond'  or a barrier to chemical migration between the solid propellant and case 
insulation material. 

148 

Technical Note: 
For the purposes  of9A007.e.,  a  'strong mechanical bond' means bond strength  equal to or more 
than propellant  strength. 

9A008  Components, as follows,  specially designed for solid rocket propulsion systems: 

N.B.: SEE ALSO  9A108 

a. 

Insulation and propellant bonding systems using liners to provide a 'strong mechanical bond'  or a 
barrier to chemical migration between the solid propellant and case insulation material; 
Technical Note: 
For the purposes  of9A008.a.,  a  'strong mechanical bond' means bond strength  equal to or more 
than propellant  strength. 

b. 

Filament-wound "composite" motor cases exceeding 0.61 m in diameter or having  structural 
efficiency  ratios (PV/W) exceeding 25 km. 

Technical Note: 
The structural efficiency ratio (PV/W) is the burst pressure  (P) multiplied by the vessel volume (V) 
divided by the total pressure  vessel weight (W). 

c.  Nozzles with thrust levels exceeding 45 kN or nozzle throat erosion rates of less than 0.075  mm/s; 

d.  Movable nozzle or secondary fluid  injection  thrust vector control systems capable of any of the 

following: 
1.  Omni-axial movement exceeding ±5°; 
2.  Angular vector rotations of 20°/s or more; or 
3.  Angular vector accelerations of 40°/s2 or more. 

9A009  Hybrid rocket propulsion systems with: 

N.B.: SEE ALSO 9A109 and 9A119 

a. 
b. 

Total impulse capacity  exceeding  1.1  MNs; or 
Thrust levels exceeding  220 kN in vacuum exit conditions. 

9A010  Specially designed components, systems and structures for launch vehicles, launch vehicle propulsion 

systems or "spacecraft",  as  follows: 
N.B.: SEE ALSO  1A002 AND 9A110. 

a. 

b. 

c. 

d. 

Components and structures each exceeding  10 kg, specially designed  for launch vehicles 
manufactured  using metal "matrix",  "composite", organic  "composite", ceramic  "matrix" or 
intermetallic reinforced  materials specified  in  1C007 or  1C010; 
Note: 

The weight cut-off is not relevant for  nose cones. 

Components and structures  specially designed for  launch vehicle propulsion systems specified  in 
9A005 to 9A009 manufactured  using metal matrix, composite, organic composite, ceramic  matrix 
or intermetallic reinforced  materials specified  in  1C007 or  1C010; 
Structural components  and isolation systems specially designed to control actively the dynamic 
response or distortion of "spacecraft"  structures; 
Pulsed  liquid rocket engines with thrust-to-weight ratios equal to or more than  1  kN/kg and a 
response time (the time required to achieve 90% of total rated thrust  from 
start-up) of less than 30 ms. 

9A011  Ramjet,  scramjet  or combined  cycle engines and specially designed components  therefor. 

N.B.: SEE ALSO 9A111  and 9A118. 

9A101  Lightweight  turbojet  and turbofan  engines (including turbocompound  engines) usable  in "missiles", 

other than those specified  in 9A001, as  follows: 

149 

a. 

Engines having both of the following  characteristics: 
1.  Maximum thrust value greater than  1000 N (achieved un-installed) excluding civil  certified 
engines with a maximum thrust value greater than 8,890 N (achieved un-installed), and 
2.  Specific  fuel  consumption of 0.13 kg/N/hr or less(at sea level static and standard conditions); 

or 

b. 

Engines designed or modified  for use in "missiles". 

9 A104  Sounding rockets, capable of a range of at least 300 km. 

N.B.: SEE ALSO 9A004. 

9A105  Liquid propelîant rocket engines, as follows: 

N.B.: SEE ALSO 9A119. 

a. 

b. 

Liquid propellant rocket engines usable in "missiles", other than those specified  in 9A005, having 
a total impulse capacity of  1.1  MNs or greater; 

Liquid propellant rocket engines usable in 'missiles', other than those specified  in 9A005 or 
9A105.a., having a total impulse capacity of 0.841 MNs or greater. 

9A106  Systems or components, other than those specified  in 9A006, usable in "missiles", as follows,  specially 

designed for liquid rocket propulsion systems: 

a. 

Ablative liners for thrust or combustion chambers; 

b. 

Rocket nozzles; 

c. 

Thrust vector control sub-systems; 

Flexible nozzle; 
Fluid or secondary gas injection; 

Technical Note: 
Examples of methods of achieving thrust vector control specified  in 9A106.C.  are: 
1. 
2. 
3.  Movable  engine or nozzle; 
4. 
5. 

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

d. 

Liquid and slurry propellant (including oxidisers) control systems, and specially  designed 
components therefor,  designed or modified  to operate in vibration environments of more than  10 g 
rms between 20 Hz and 2000 Hz. 

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

a. 

b. 

Servo valves designed for flow  rates of 24 litres per  minute or greater,  at an 
absolute pressure of  7 MPa or greater,  that have an actuator response time of 
less than  100 ms; 
Pumps, for  liquid propellants,  with shaft speeds equal to or greater than 
8,000 rpm or with discharge pressures  equal to or greater  than  7 MPa. 

9A107  Solid propellant  rocket engines, usable  in complete rocket systems or unmanned  air vehicles, capable of 

a range of at least 300 km, other than those specified  in 9A007, having total impulse capacity  of 0.841 
MNs or greater. 
N.B.: SEE ALSO  9A119." 

9A108  Components, other than those specified  in 9A008, usable in "missiles", as follows,  specially  designed 

for  solid rocket propulsion  systems: 

a. 
b. 
c. 

Rocket motor cases, "interior  lining" and "insulation"  therefor; 
Rocket nozzles; 
Thrust vector control sub-systems. 

150 

Technical Note: 
Examples of methods of achieving thrust vector control specified  in 9A108.C.  are: 
1.  Flexible nozzle; 
2.  Fluid or secondary gas injection; 
3.  Movable  engine or nozzle; 
4.  Deflection of exhaust gas stream (jet vanes or probes);  or 
5.  Thrust tabs. 

9A109  Hybrid rocket motors, usable in "missiles", other than those specified  in 9A009, and specially  designed 

components  therefor. 
N.B.: SEE ALSO 9A119. 

9A110  Composite structures, laminates and manufactures  thereof, other than those specified  in 9A010, 

specially designed for use in the space launch vehicles specified  in 9A004 or sounding rockets  specified 
in 9A104  or the subsystems specified  in 9A005, 9A007, 9A105.a., 9A106 to 9A108, 9A116 or 9A119, 
and resin impregnated fibre prepregs and metal coated fibre preforms  therefor,  made either with  organic 
matrix or metal matrix utilising fibrous  or filamentary reinforcements  having a specific  tensile  strength 
greater than 7.62 x  104 m and a specific  modulus greater than 3.18 x  106 m. 
N.B.: SEE ALSO  1A002, 1C010 and 1C210. 

Note: The only resin impregnated fibre prepregs  specified  in entry 9A110 are those using resins with a 

glass transition temperature (Tg),  after cure, exceeding 418 K (145°C)  as determined by 
ASTM D4065 or equivalent. 

9A111  Pulse jet engines, usable in "missiles", and specially designed components  therefor. 

N.B.: SEE ALSO 9A011 and 9A118. 

9A115  Launch support equipment, designed or modified  for space launch vehicles specified  in 9A004 or 

sounding rockets specified  in 9A104,", as follows: 

a. 

Apparatus and devices for handling, control, activation or launching; 

b. 

Vehicles for transport, handling, control, activation or launching. 

9A116  Reentry vehicles, usable in "missiles", and equipment designed or modified  therefor,  as  follows: 

a. 

Reentry vehicles; 

b.  Heat shields and components therefor  fabricated  of ceramic or ablative materials; 

c. 

Heat sinks and components therefor  fabricated  of light-weight, high heat capacity materials; 

d. 

Electronic equipment specially designed for reentry vehicles. 

9A117  Staging mechanisms, separation mechanisms, and interstages, usable in "missiles". 

9A118  Devices to regulate combustion usable in engines, which are usable in "missiles", specified  in 9A011 or 

9A111. 

9A119 Individual rocket stages, usable in complete rocket systems or unmanned air vehicles, capable of a range 

of at 

least 300 km, other than those specified  in 9A005, 9A007, 9A009, 9A105, 9A107 and 9A109. 

9B 

Test, Inspection  and Production  Equipment 

9B001  Specially designed equipment, tooling and fixtures, as follows, for manufacturing  or measuring gas 

turbine blades, vanes or tip shroud castings: 

151 

a. 
b. 
c. 
d. 

Directional solidification  or single crystal casting  equipment; 
Ceramic cores or shells; 
Ceramic core manufacturing  equipment or tools; 
Ceramic shell wax pattern preparation  equipment. 

9B002  On-line (real time) control systems, instrumentation  (including sensors) or automated  data  acquisition 

and processing equipment, specially designed for the "development" of gas turbine engines, assemblies 
or components incorporating  "technologies" specified  in 9E003 .a. 

9B003  Equipment specially designed for the "production" or test of gas turbine brush seals designed to operate 

at tip speeds exceeding 335 m/s, and temperatures in excess of 773 K (500°C), and specially  designed 
components or accessories  therefor. 

9B004  Tools, dies or fixtures for the solid state joining of "superalloy", titanium or intermetallic 

airfoil-to-disk  combinations described in 9E003  .a.3. or 9E003  .a.6. for gas turbines. 

9B005  On-line (real time) control systems, instrumentation (including sensors) or automated data  acquisition 

and processing equipment, specially designed for use with any of the following  wind tunnels or devices: 
N.B.: SEE ALSO 9B105. 

a.  Wind tunnels designed for speeds of Mach  1.2  or more, 

except: 
Those specially designed for educational purposes and having a test section size (measured 
laterally) of less than 250 mm; 
Technical Note: 
Test section size in 9B005.a.means the diameter of the circle, or the side of the square, or the 
longest side of the rectangle, at the largest test section location. 
Devices for simulating flow-environments  at speeds exceeding Mach 5, including 
hot-shot tunnels, plasma arc tunnels, shock tubes, shock tunnels, gas tunnels and light gas guns; or 

b. 

c.  Wind tunnels or devices, other than two-dimensional sections, capable of simulating  Reynolds 

number flows exceeding 25 x 106. 

9B006  Acoustic vibration test equipment capable of producing sound pressure levels of  160 dB or more 

(referenced  to 20 uPa) with a rated output of 4 kW or more at a test cell temperature  exceeding  1,273  K 
(1,000°C), and specially designed quartz heaters  therefor. 
N.B.: SEE ALSO 9B106. 

9B007  Equipment specially designed for  inspecting the integrity of rocket motors using 

non-destructive  test (NDT) techniques other than planar X-ray or basic physical or chemical analysis. 

9B008  Transducers specially designed for the direct measurement of the wall skin friction  of the test flow  with 

a stagnation temperature exceeding  833 K (560°C). 

9B009  Tooling  specially designed for producing turbine engine powder metallurgy rotor components  capable 

of operating  at stress levels of 60% of ultimate tensile strength (UTS) or more and metal temperatures of 
873 K (600°C) or more. 

9B105  Wind tunnels for  speeds of Mach 0.9 or more, usable for  "missiles" and their subsystems. 

N.B.: SEE ALSO  9B005 

9B106  Environmental chambers and anechoic chambers, as follows: 

a. 

Environmental  chambers capable of simulating the following  flight  conditions: 
1.  Vibration environments of  10 g rms or greater between 20 Hz and 2,000 Hz and  imparting 

forces  of 5 kN or greater; and 
2.  Altitudes of  15,000 m or greater; or 
3.  Temperature  of at least 223 K (-50°C) to 398 K (+  125°C) 

152 

b.  Anechoic chambers capable of simulating the following flight conditions: 

1.  Acoustic environments at an overall sound pressure level of  140 dB or greater (referenced  to 

20 microPa) or with a rated power output of 4 kW or greater; and 

2.  Altitudes of  15,000 m or greater; or 
3.  Temperature of at least 223 K (-50°C) to 398 K (+  125°C) 

9B115  Specially designed  "production  equipment" for the systems, sub-systems and components  specified  in 

9A005 to 9A009, 9A011, 9A101, 9A105 to 9A109, 9A111, 9A116 to 9A119. 

9B116 Specially designed  "production  facilities" for the space launch vehicles specified  in 9A004, or systems, 

sub-systems, and components specified  in 9A005 to 9A009, 9A011, 9A101, 9A104 to 9A109, 9A111 or 
9A116to9A119." 

9B117  Test benches and test stands for solid or liquid propellant rockets or rocket motors, having either of the 

following  characteristics: 

a. 

b. 

The capacity to handle more than 90 kN of thrust; or 

Capable of simultaneously measuring the three axial thrust components. 

9C 

Materials 

None 

Software 

9D 
9D001  "Software"  specially designed or modified  for the "development" of equipment or  "technology" 

specified  in 9A. , 9B. or 9E003 . 

9D002  "Software"  specially designed or modified  for the "production" of equipment specified  in 9A. or 9B. 

9D003  "Software"  specially designed or modified  for the "use" of full  authority digital electronic  engine 

controls (FADEC) for propulsion systems specified  in 9A. or equipment specified  in 9B., as  follows: 

a. 

b. 

"Software"  in digital electronic controls for propulsion systems, aerospace test facilities  or air 
breathing aero-engine test  facilities; 
Fault-tolerant "software"  used in "FADEC" systems for propulsion systems and associated test 
facilities. 

9D004  Other  "software",  as follows: 

a. 

b. 

c. 
d. 

2D or 3D viscous "software"  validated with wind tunnel or flight test data required for  detailed 
engine flow  modelling; 
"Software"  for testing aero gas turbine engines, assemblies or components, specially designed to 
collect, reduce and analyse data in real time, and capable of feedback  control, including the 
dynamic adjustment  of test articles or test conditions, as the test is in progress; 
"Software"  specially designed to control directional solidification  or single crystal casting; 
"Software"  in "source code", "object code" or machine code required for the "use" of active 
compensating  systems for rotor blade tip clearance control. 

Note: 

9D004 .d.  does not control  "software" embedded in uncontrolled equipment or required 
for  maintenance activities associated with the calibration or repair or updates to the 
active compensating clearance control system. 

9D101  "Software"  specially designed for the "use" of goods specified  in 9B105, 9B106, 9B116 or 9B117. 

9D103  "Software"  specially designed for modelling, simulation or design integration of the space  launch 

vehicles specified  in 9A004 or sounding rockets specified  in 9A104, or the sub-systems specified  in 
9A005, 9A007, 9A105.a., 9A106, 9A108, 9A116 or 9A119. 

153 

Note: "Software" specified  in 9D103 remains controlled when combined with specially  designed 

hardware specified  in 4A102. 

9E 

Technology 

Note: "Development" or  "production" "technology"specified  in 9E001 to 9E003.for  gas  turbine  engines 
remains controlled when used as  "use" "technology"for  repair, rebuild and  overhaul. 
Excluded from control are: technical data, drawings or documentation for  maintenance 
activities directly associated with calibration, removal or replacement of damaged  or 
unserviceable line replaceable units, including replacement of whole engines or engine 
modules. 

9E001  "Technology" according to the General Technology Note for the "development"  of equipment or 

"software"  specified  in 9A001.C, 9A004. to 9A011., 9B. or 9D. 

9E002 

"Technology" according to the General Technology Note for the "production" of equipment specified  in 
9A001.C, 9A004 . to 9A011. or 9B. 

Note: For  "technology" for  the repair of controlled structures, laminates or materials, see  lE002.f. 

9E003  Other  "technology", as follows: 

a. 

"Technology"  "required" for the "development" or "production" of any of the following  gas 
turbine engine components or systems: 
1. 

Gas turbine blades, vanes or tip shrouds made from  directionally solidified  (DS) or single 
crystal (SC) alloys having (in the 001 Miller Index Direction) a 
stress-rupture  life exceeding 400 hours at  1,273  K (1,000°C) at a stress of 200 MPa, based 
on the average property values; 

2.  Multiple domed combustors operating at average burner outlet temperatures  exceeding 

1,813 K ( 1,540°C) or combustors incorporating thermally decoupled combustion liners, 
non-metallic liners or non-metallic shells; 
Components manufactured  from  organic  "composite" materials designed to operate  above 
588 K (315°C), or from metal "matrix" "composite", ceramic "matrix", intermetallic or 
intermetallic reinforced  materials controlled by  1A002 or  1C007; 
Uncooled turbine blades, vanes, tip-shrouds or other components  designed to operate at gas 
path temperatures of  1,323 K (1,050°C) or more; 
Cooled turbine blades, vanes or tip-shrouds, other than those described in 9E003.a. 1., 
exposed to gas path temperatures of  1,643  K (1,370°C) or more; 
Airfoil-to-disk  blade combinations using solid state joining; 
Gas turbine engine components using "diffusion  bonding" "technology" controlled by 
2E003.b.; 
Damage tolerant gas turbine engine rotating components using powder metallurgy  materials 
controlled by  lC002.b.; 
"FADEC" for gas turbine and combined cycle engines and their related  diagnostic 
components, sensors and specially designed components; 

3. 

4. 

5. 

6. 
7. 

8. 

9. 

10.  Adjustable flow path geometry and associated control systems  for: 

Gas generator turbines; 
Fan or power turbines; 
Propelling nozzles; 

a. 
b. 
c. 
Notes: 1. 

Adjustable flow path geometry  and associated control systems in  9E003.a.lO. 

2. 

do not include inlet guide  vanes, variable pitch fans,  variable stators 
or bleed valves for  compressors. 
9E003.a.lO does not control  "development" or 
"production ""technology "for  adjustable flow path  geometry  for 
reverse thrust. 

11.  Rotor blade tip clearance control systems employing active compensating  casing 

"technology" limited to a design and development data base; or 

12.  Wide chord hollow fan blades without part-span  support; 

154 

b. 

"Technology"  "required" for the "development" or "production" of any of the  following: 
1.  Wind tunnel aero-models equipped with non-intrusive  sensors capable of transmitting  data 

2. 

from  the sensors to the data acquisition system; or 
"Composite" propeller blades or propfans  capable of absorbing more than 2,000 kW at 
flight speeds exceeding Mach 0.55; 

c. 

"Technology"  "required" for the "development" or "production" of gas turbine engine  components 
using  "laser", water jet, ECM or EDM hole drilling processes to produce holes having any of the 
following  sets of characteristics: 
1.  All of the  following: 

a.  Depths more than four times their diameter; 
b.  Diameters less than 0.76 mm; and 
c. 

Incidence angles equal to or less than 25°; or 

2.  All of the  following: 

Incidence angles of more than 25°; 

a.  Depths more than five times their diameter; 
b.  Diameters less than 0.4 mm; and 
c. 
Technical Note: 
For the purposes  of9E003.c, 
airfoil surface at the point  where the hole axis enters the airfoil surface. 

incidence angle is measured from a plane  tangential to the 

d. 

"Technology" "required" for any of the  following: 
1.  The "development" of helicopter power transfer  systems or tilt rotor or tilt wing  "aircraft" 

power transfer  systems; or 

2.  The "production" of helicopter power transfer  systems or tilt rotor or tilt wing "aircraft"  power 

transfer  systems; 

e. 

1.  "Technology" for the "development"  or "production" of reciprocating  diesel engine  ground 

vehicle propulsion systems having all of the  following: 
a.  A box volume of 1.2 m3 or less; 
b.  An overall power output of more than 750 kW based on 80/1269/EEC, ISO 2534 or 

national equivalents; and 

c.  A power density of more than 700 kW/m3 of box volume; 
Technical Note: 
Box volume: the product  of three perpendicular  dimensions measured in the following  way: 
Length:  The length of the crankshaft from front flange to flywheel face; 
Width: 

The widest of the following: 
a.  The outside dimension from valve cover to valve cover; 
b.  The dimensions of the outside edges of the cylinder heads; or 
c. 

The diameter of the flywheel housing; 

Height:  The largest of the following: 

a.  The dimension of the crankshaft centre-line to the top plane  of the valve 

cover (or cylinder head) plus  twice the stroke; or 

b.  The diameter of the flywheel  housing. 

2. 

"Technology"  "required" for the "production" of specially designed components, as follows, 
for high output diesel engines: 
a. 

"Technology"  "required" for the "production" of engine systems having all of the 
following  components employing ceramics materials controlled by  1C007: 
1. 
2. 
3. 
4. 

Cylinder liners; 
Pistons; 
Cylinder heads; and 
One or more other components (including exhaust ports, turbochargers, valve 
guides, valve assemblies or insulated  fuel  injectors); 

b. 

"Technology"  "required" for the "production" of turbocharger  systems, with single-
stage compressors having all of the  following: 
1. 
2. 
3. 

Operating at pressure ratios of 4:1 or higher; 
A mass flow  in the range from  30 to  130 kg per minute; and 
Variable flow  area capability within the compressor or turbine sections; 

155 

c. 

"Technology" "required" for the "production" of fuel  injection  systems with a 
specially designed multifuel  (e.g., diesel or jet fuel)  capability covering a viscosity 
range from diesel fuel  (2.5 cSt at 310.8 K (37.8°C)) down to gasoline fuel (0.5 cSt at 
310.8 K (37.8°C)), having both of the  following: 
1. 
2. 

Injection  amount in excess of 230 mm3 per injection per cylinder; and 
Specially designed electronic control features  for switching  governor 
characteristics automatically depending on fuel property to provide the same 
torque characteristics by using the appropriate sensors; 

3. 

"Technology" "required" for the "development" or "production" of high output diesel 
engines for solid, gas phase or liquid film (or combinations thereof)  cylinder wall 
lubrication, permitting operation to temperatures exceeding 723 K (450°C), measured on 
the cylinder wall at the top limit of travel of the top ring of the piston. 
Technical Note: 
High output diesel engines: diesel engines with a specified brake mean effective pressure  of 
1.8 MP a or more at a speed of 2,300 r.p.m., provided  the rated speed is 2,300 r.p.m. or 
more. 

9E101  "Technology" according to the General Technology Note for the "development" or "production" of 

goods specified  in 9A101, 9A104 to 9A111 or 9A115 to 9A119. 

9E102 "Technology" according to the General Technology Note for the "use" of:  space launch vehicles  specified 

in 9A004, or goods specified in 9A005 to 9A011, 9A101, 9A104 to 9A111, 9A115 to 9A119, 9B105, 
9B106, 9B115, 9B116, 9B117, 9D101 or9D103. 

156 

ANNEX n  - COMMUNITY GENERAL EXPORT AUTHORIZATION 

157 

1. 

A  general  authorization  is  granted  for  the  export  of  dual-use  items  as  specified  in 
Schedule A hereto to any destination in any country specified  in Schedule B hereto. 

(a) 

Schedule A 

Dual-use  items  specified  in  any  entry  in  Annex  I  of  the  present  Regulation 
except 

all entries in category O (nuclear items) 

all entries in category 5, part 2 (Information  security) 

all  entries  with  a  T 
(items controlled  for reasons of missile  proliferation) 

in  the  third  position  of  the  reference  number 

all entries of goods specified  in Annex IV of the present  Regulation 

(b) 

Schedule B 

Australia,  Canada,  Czech  Republic,  Hungary,  Japan,  New  Zealand,  Norway, 
Poland, Switzerland, United States of America 

2. 

The registration  and/or reporting  requirement  attached  to the use of this  Authorization 
are  the  respective  requirement  defined  by  Member  States  for  the  use  of  national 
General Authorizations. 

3. 

The list of destinations specified  in Schedule B shall be kept under constant review. 

158 

ANNEX III - MODEL FORM 

159 

Kote:  In per:  J 0/ -eotium  Li.  wr„v c-£  qesnti.y  suil  eneitablg  end  in pen  5  of coiur-.- 23. w - ,r  *.  quSKt,.y  deduced  on  this occr^ion. 

2" Se:  q-jar.:irytvclii: (fret mess/otker  uri; vJ-Ji  ir.dica.ion  of  uni:) 

SO Customs docx-.er.: (Type 

23 In  nurrbtn 

$?ln  words for  quenfy/vatu; 

deducted 

end  r.urrbcr)  or cv.rzzi  fftr) 
end  dz:c  of deduction 

11  Msmher s&:e.  none  end  sigrict-JTe, 
iterr.p  of  deduction  cuihoHr/ 

' 

' 

I 

2 

I 

2 

1 

2 

I  * 

2 

I 

V 

! 

? 

/ 

•> 

I 

I 

! 

> 

! 

• 

•' 

•' 

% 

-

• 

161 

ANNEX IV 

162 

PART A 

(a) 

List of goods subject to licensing requirement (Article 23.1) 

ITEMS INCLUDED IN THE NSG -  TRIGGER LIST INFCIRC 254/PART 1 

(change of text)  * 

0B001  Plant for the separation of isotopes of "natural uranium" and "depleted uranium", 

"special fissile materials" and "other fissile materials"; 

0B002  Auxiliary equipment for enrichment plants; 

0B004  Heavy water, deuterium or deuterium compound production equipment and 

components; 

0B006  Plant for the reprocessing of irradiated  "nuclear reactor" fuel  elements; 

0C002  Only the following fissile materials: 

(a) separated plutonium; 

(b) "uranium enriched in the isotopes 235 or 233" to more than 20%; 

0D001  As it relates to 0B001, 0B002, 0B004, 0B006 and OC002. 

0E001  As it relates to 0B001, 0B002, 0B004, 0B006 and 0C002 

PARTB 

(b) 

List of goods subject to notification  procedure (Article 22.1) 

General Note 

1. 

2. 

The  notification  procedure  does  not  apply  to  items  listed  in  Category  5,  part  2 
(Information  Security)  when  these  items  are  transferred  for  personal  use  and  are 
accompanying the user. 

The  necessity  to  maintain  the  notification  procedure  for  items  listed  in  Category  5, 
part 2, shall be periodically reviewed. 

163 

COMMUNITY STRATEGIC  CONTROL 

3A002.g Atomic frequency standards; 

4A001b. 

Electronic computer and related equipment, as follows,  and  "electronic 
assemblies", and specially designed components therefor,  having characteristics or 
performing  functions  exceeding the limits in Category 5 Part 2  ("Information 
Security"); 
except: 
"digital computers" having characteristics or performing  functions  described by 4 
in Category 5 Part 2 of this Annex when they are for personal use and 
accompanying their user. 

4D003c. 

"Software"  having characteristics or performing  functions  exceeding the limits in 
Category 5 Part 2 ("Information  Security"); 
except: 
"software"  having characteristics or performing  functions  described at: 
(a)  1. of Category 5 Part 2 of this Annex and without end-to-end encryption or 

decryption capability; or 

(b)  4. of Category 5 Part 2 of this Annex when they are for personal use and 

accompanying their user. 

Category 5  All goods specified  in Part 2 -  ("Information  Security"), other than: 

1.  Portable or mobile radiotelephones designed to recognized national, 
regional or international civil standards, e.g., portable or mobile 
radiotelephones for use with commercial civil cellular 
radiocommunication  systems; 

2.  Commercial civil cellular radiocommunication base stations having all of 

the  following: 

(a)  limited to supporting radiotelephones which are not capable of 

employing cryptographic techniques on message traffic  between 
handsets except over direct links between radiotelephones and base 
stations (known as the Air Interface); and 

(b)  not capable of employing cryptographic techniques on message  traffic 

except over the air interface; 

3.  Equipment specified  in 5B002 for equipment described in 2 above; 

4.  Those not capable of on-line voice encryption or decryption and designed 
to be used in conjunction  with "digital computers" (including those 
described by Category 4) for personal use when accompanying their user; 

164 

5.  "Software"  when incorporated as part of the goods whose  characteristics 

or performing  functions  are described in: 

(a)  1. to 3. above; or 

(b)  4. above and is for personal use when accompanying the  user; 

6.  "Technology"  for the "use" of goods described in  1  to 5 above." 

6A001 
6D003.a. 

Acoustics; 
"Software"  for the real time processing of acoustic data. 

STEALTH  TECHNOLOGY 

1C001 

Materials specially designed for use as absorbers of electromagnetic waves, or 
intrinsically conductive polymers; 

ID 103 

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

6B008 

Pulse radar cross-section measurement  systems having transmit pulse widths of 

100 ns or less and specially designed components  therefor; 

6B108 

Systems specially designed for radar cross section measurement usable  for 

"missiles" and their subsystems; 

MTCR  TECHNOLOGY 

9A005 

Liquid rocket propulsion systems; 

9A007.a 

Solid rocket propulsion systems with a total impulse capacity exceeding  1.1  MNS; 

9A008.d  Movable nozzle or secondary fluid  injection  thrust vector control systems, 

specially designed for solid rocket propulsion systems; 

9A009.a  Hybrid rocket propulsion systems with total impulse capacity exceeding  1.1  MNS; 

9A108.c 

Thrust vector control sub-systems, specially designed for solid rocket propulsion 

systems; 

9A119 

Individual rocket stages; 

9B115 

Specially designed "production equipment"  for the systems, sub-systems and 

components specified  in 9A005, 9A007.a, 9A008.d, 9A108.C and 9A119; 

165 

9B116 

Specially designed "production facilities"  for the systems, sub-systems and 

components specified  in 9A005, 9A007.a, 9A008.d, 9A108.C and 9.A119; 

9D001 

"Software" required for the "development" of equipment or "technology" 

specified  in 9A005, 9A007.a, 9A008.d, 9A108.C, 9A119, 9B115 and 9B116; 

9D101 

"Software"  specially designed for the "use" of goods specified  in 9B116; 

9D103 

"Software"  specially designed for modelling, simulation or design integration  of 

the systems specified  in 9A007.a, 9A108.C or 9A119; 

9E001 

"Technology" for the "development"  of equipment specified  in 9A005, 9A007.a, 

9A008.d.,  9B115,9B116; 

9E002 

"Technology" for the "production" of equipment specified  in 9A005, 9A007.a, 

9A008.d.,9B115and9B116; 

9E101 

"Technology" for the "development" or "production" of equipment  specified  in 

9A108.C. or9A119. 

166 

Financial Statement 

External trade relations -  Proposal for a Council Regulation  regarding export of 

dual use goods 

1. TITLE 

Proposal  for  Council  Regulation  N°  ....setting  up  a  Community  regime  for  the  control  of 
exports of dual-use goods and technology and repealing Regulation (EC) N°3381/94 

2. BUDGETARY  HEADINGS: 

A-7030 

3. LEGAL BASIS 

•  Article  113 of the Treaty of Rome 
•  Proposal  for  Council  Regulation  No  ....setting  up  a  Community  regime  for  the  control  of 

exports of dual-use goods and technology and repealing Regulation (EC) No 3381/94 

4. DESCRIPTION  OF OPERATION  : 

The purpose of the Regulation is to establish  an efficient  export control  system  at  Community 
level concerning dual-use goods. 

Period covered:  indefinite 

5. CLASSIFICATION  OF  EXPENDITURE/REVENUE 

Not applicable 

6. TYPE OF  EXPENDITURE/REVENUE 

Not  applicable 

7. FINANCIAL IMPACT ON APPROPRIATIONS  FOR  OPERATIONS 

Not  applicable 

8.  WHAT ANTI-FRAUD MEASURES ARE PLANNED IN THE PROPOSAL  FOR 

THE OPERATION ? 

Not applicable 

167 

9.  ELEMENTS  OF COST-EFFECTIVENESS  ANALYSIS 

Not  applicable 

10. 

ADMINISTRATIVE  EXPENSES 

Actual  mobilisation  of 
the 
Commission's  annual  decision  on  the allocation  of resources, taking  into  account  the  number 
of staff  and  additional  amounts  authorised by the budgetary  authority.  There  is no request  for 
additional  staff. 

the  necessary  administrative  resources  will  depend  on 

10.1 

Effect  on the number of posts 

Type of post 

Staff to be assigned to 
managing the operation 

Permanent 
posts 

Temporary 
posts 

DGI 

Source 

Duration 

Existing 
resources in the 
DG 

Additional 
resources 

1 

None 

1 

None 

permanent 

Officials 

A 

B 

C 

Other resources 
Total 

None 

1 

1 

10.2  Overall financial impact of human ressources 

Officials  (see*) 
Temporary  staff 
Other resources (indicate budget heading) 

1A 

Amounts 
108.000*ECU 
none 

none 

Total  I  108.q00*ECU 

~~| 

Method of calculation 

1x108.000 ECU 

*By using  existing ressources  necessary  to manage the operation  (calculation based  on titles A-l,  A-2, A-4, A-5 
and A-7) 

168 

10.3 Increase in other administrative expenditure as a result of the operation 

Budget heading 
A-7030 (Meetings) 

Amounts 
39.000 ECU 

ECU 
Method of calculation 

4 meetings (1 day each) a year 

Average  cost  for  one  national 
expert  per  Member  State  and 
per meeting  : 650 ECU 

. 

Total  I 39.000 ECU 

4X15x650 ECU 
| 

The credits will be found in the existing envelope of DG I. 

169 

ISSN 0254-1475 

COM(98) 257  final 

DOCUMENTS 

EN 

10  15  02 

Catalogue  number  :  CB-CO-98-274-EN-C 

ISBN  92-78-35374-4 

Office  for  Official  Publications  of the European  Communities 

L-2985  Luxembourg 

iq o