Proposal for a Council Regulation setting up a Community regime for the control of exports of dual-use items and technology [COM(2006) 828 final] [SEC(2006) 1696]
Date: 2006-12-19
Institutions: European Commission
Subjects: customs regulations, dual-use good, export monitoring, technology transfer

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 18.12.2006 
COM(2006) 829 final 

2006/0266 (ACC) 

Proposal for a 

COUNCIL REGULATION 

setting up a Community regime for the control of exports of dual-use items and 
technology 

(presented by the Commission) 

[COM(2006) 828 final] 
[SEC(2006) 1696] 

EN 

   EN 

 
 
 
  
 
 
EXPLANATORY MEMORANDUM 

1) 

CONTEXT OF THE PROPOSAL 

Grounds for and objectives of the proposal 

The proposal for the amendment and recast of Council Regulation N° (EC) 1334/2000 on the 
control of exports  of  dual-use  items  and technology has the objectives  of strengthening and 
improving the EU dual-use export control regime. This will enable the EU to meet standards 
set  by  the  UN  Security  Council  Resolution  1540  and  to  implement  most  of  the 
recommendations  noted  by  the  General  Affairs  Council  following  the  "peer  reviews"  of  the 
implementation  of  the  Regulation  by  the  Member  States  in  2004  in  conformity  with  the 
Thessaloniki Action Plan endorsed by the Heads of States and governments in June 2003. It 
also  aims  at  introducing  more  clarity  and  at  reducing  regulatory  burdens  in  the 
implementation of controls by EU exporters. 

General context 

The EC Regulation on export controls of dual-use items and technologies contributes to the 
Member  States'  implementation  of  their  commitments  taken  in  international  export  control 
regimes  or  as  State  parties  to  the  non-proliferation  treaties  and  arrangements.  The  reason  is 
that dual-use items are civil items that can be used for military purposes and, in some cases, 
for  the  production  or  as  the  means  of  delivery  of  weapons  of  mass  destruction  (nuclear, 
biological, chemical or missiles).  

Since 11 September 2001, the mandates of international export control regimes, which were 
initially created by like-minded States to prevent the illicit acquisition by States of weapons of 
mass destruction or of their means of delivery, have been extended to the prevention  of the 
acquisition by non-State actors of dual-use items in order to prevent attacks against civilians 
and states. Consequently, the European Council adopted in June 2003 the Thessaloniki Action 
Plan, which contained several  provisions recommending the strengthening of the EU export 
control  regime  and  an  enhanced  and  more  visible  role  for  the  EU  in  international  export 
control regimes. It included considerations on an enhanced role for the Commission in those 
fora and also recommended an EU strategy to support the entry of new EU Member States in 
those regimes.  

Following  this  Action  Plan,  several  proposals  were  made  to  the  Council  in  the  autumn  of 
2003. They addressed the role of the Commission in the international regimes and a method to 
enhance EU coordination in those fora, proposing a strategy for the membership of new EU 
Member  States.  A  "peer  review"  of  Member  States'  implementation  of  the  Regulation  was 
coordinated by the Commission and implemented by the Member States, with the support of a 
small task force comprising the Commission, the Council Secretariat and Finland. The Task 
Force recommended actions which were noted by the General Affairs and External Relations 
Council  (GAERC)  in  December  2004.  Those  recommendations  stressed,  among  other 
priorities, the need for a more pro-active approach of the EU against the acquisition by State 
and non State actors of dual-use items focussing on risks. 

EN 

2 

   EN 

 
Existing provisions in the area of the proposal 

The  existing  Regulation  (EC)  N°  1334/2000  was  adopted  following  two  decisions  of  the 
European Court of Justice in 1995 which affirmed the exclusive competences of the European 
Community  in  the  area  of  external  trade  in  dual-use  items.  The  current  proposal  aims  at 
amending that Regulation. 

Consistency with the other policies and objectives of the Union 

The proposal to amend the Regulation will enable the EU to implement relevant aspects of the 
EU  Strategy  against  the  proliferation  of  Weapons  of  Mass  Destruction  and  to  contribute  to 
other  priorities  of  the  EU  such  as  the  security  of  EU  citizens,  the  prevention  of  biological, 
chemical or nuclear terrorist attacks, the support of EU defence-related industries in line with 
the  Commission's  communication  on  Defence  made  in  2003  and  to  EU  and  international 
security. 

2) 

CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

Consultation of interested parties 

Consultation methods, main sectors targeted and general profile of respondents 

The Commission launched a study via a consultancy firm to assess the views of exporters and 
other stakeholders in order to assess the impact of options to amend the Regulation.  

In order to define a representative sample of stakeholders, a questionnaire was sent to about 
450 potential dual-use exporters based in the EU including a large number of EU federations 
of industry. The consultation was also extended to any potential interested exporter as it was 
advertised  on  the  DG  TRADE  website  from  5  October  2005.  The  final  sample  of  exporters 
who  answered  the  questionnaire  was  representative  of  the  distribution  of  suppliers  and 
exporters of the 10 categories of dual-use items listed in Annex I of the Regulation. Based on 
the  answers  received,  specific  sub-samples  of  representative  exporters  were  selected  to  be 
consulted on the various options to reform the EC Regulation. Because the options referred 
also  to  transit,  transhipment  and  brokering  controls,  transporters  and  traders  were  also 
consulted. 

Summary of responses and how they have been taken into account 

The exporters were consulted on the final report of the impact assessment study and on the 
Commission services' assessment of the findings of the study. Opinions from member States 
and  other  stakeholders  on  the  results  of  the  study  and  the  intended  follow-up  by  the 
Commission services were collected from January until early July 2006 and are well reflected 
by this proposal. 

Collection and use of expertise 

Scientific/expertise domains concerned 

The  necessary  expertise  on  dual-use  was  assured  all  along  the  processes  of  consulting  and 
assessing  the  views  of  stakeholders.  Expertise  on  dual-use  items  and  on  export  control  and 
security issues was a major criterion of selection in the call for tender. 

EN 

3 

   EN 

 
Methodology used 

The initial questionnaire aiming at identifying a representative sample of exporters has been 
prepared by DG TRADE and was included in the terms of reference of the call for tender. It 
was  improved  after  consultation  with  a  number  of  EU  federations  of  industry.  During  the 
study, additional questionnaires on options tested were prepared by the consultancy firm and 
subject  to  Commission's  endorsement  before  they  were  sent  out  to  stakeholders  (Member 
States' administrations and exporters). 

Main organisations/experts consulted 

EU  federations  of  industry  and  individual  exporters,  Member  States  national  competent 
authorities  in  particular  national  authorities  competent  to  grant  export  authorisations  and 
custom authorities. 

Summary of advice received and used 

The  impact  assessment  study  revealed  a  number  of  weaknesses  in  the  options  that  DG 
TRADE had put for testing with the consensus of the different associated DGs. In some cases, 
DG TRADE knew that the options were weak but considered nevertheless that they had to be 
tested to confirm initial opinions shared with the Member States.  

Some  comments  and  suggestions  made  by  industry  could  not  be  retained  for  a  variety  of 
reasons, and in  particular as they would go beyond what is achievable in the context of the 
current revision of the Regulation. These include for example: 

–  The  exemption  of  a  multinational  company  from  export  controls  of  intangible  transfers 

between its EU base and its foreign subsidiaries  

–  The  change  of  the  current  system  based  on  ex  ante  and  case  by  case  export  control 
decisions granted to individual exporters for most of the Annex I items to third countries to 
a  system  of  certified  exporters  through  regular  audits  of  their  internal  compliance 
programmes and intensive government to industry dialogue.  

–  The  introduction  of  a  pre-established  maximum  deadline  for  the  process  by  national 

authorities of export authorisations applications.  

–  Introduction of an exemption for all small samples and small value shipments from export 
authorisations. However, the Commission will examine in 2007 the possibility to propose 
new  Community  export  authorisations  to  facilitate  certain  exports  to  certain  destinations 
based on industry's relevant input, and this could include the introduction of a de minimis 
rule in certain instances. 

–  The elimination or a radical simplification of the controls on non-listed items that Member 

States are enabled to conduct in addition to the items listed in the Regulation. 

However,  the  Commission  is  sensitive  to  the  concerns  of  industry,  and  it  will  continue  its 
work  in  order  to  provide  the  least  possible  burdensome  regulatory  framework  in  order  to 
enhance its international competitive position. For this reason, a review clause has been added 
to the proposal for amendment to the Regulation. 

EN 

4 

   EN 

 
Means used to make the expert advice publicly available 

The  results  of  the  study  were  made  available  on  23  February  2006  at  the  following  URL 
address: http://ec.europa.eu/comm/trade/issues/sectoral/industry/dualuse/pr230206_en.htm 

Impact assessment 

As  to  the  decision  to  clarify  the  definition  of  intangible  transfers  of  technology,  it  is  not 
clear  if  the  current  Article  2biii)  covers  the  transmission  of  controlled  dual-use  technology 
via the access to intranet by third parties located outside the EU. This can have an impact on 
industry as currently there is no EU-wide definition and no harmonisation of the enforcement 
of controls on intangible technology. However such impact could be reduced by the adoption 
of  EU  guidelines  for  the  implementation  of  controls  of  intangible  transfers  which  would 
include a practical understanding of the scope of technologies in the public domain. 

Different options to control transit and transhipment have been considered. Given the high 
volume  of  trade  passing  through  the  EU,  the  option  to  submit  all  transit  or  transhipment  of 
dual-use  items  to  systematic  pre-authorisation  requirements  was  excluded  as  impracticable 
and  excessively  burdensome.  The  option  kept  is  to  allow  all  Member  States'  competent 
national authorities to take possession of a dual-use item in transit or transhipped when there 
are  reasonable  indications  (mainly  from  intelligence  sources)  that  the  item  is  or  may  be 
intended for illicit proliferation in a third country. This option already exists in some Member 
States as it enables them to implement the Proliferation Security Initiative. The impact of this 
option  on  those  few  Member  States  who  used  to  impose  systematic  prior  authorisation  on 
transit of dual-use items should be minimum as the volume of such authorisations that they 
reported is below 10 per year.  

Different options to sanction illicit brokering of dual-use items have been studied based on 
the  definition  that  brokering  is  a  service  facilitating  a  transaction  covering  dual  use  items. 
They have taken into account that brokering controls would cover goods located outside the 
EU  and  hence  submitted  to  third  country's  legislation.  The  study  has  revealed  the  extreme 
difficulty to enforce such controls. It was concluded that controls should only cover the two 
following cases: 

–  when the broker is aware of the illicit WMD end uses of the goods in third countries 

–  when the Member State where the broker is located has informed him of such risks.  

Those two cases will trigger the obligation for the broker /supplier of intermediation services 
to apply for an authorisation if he aims at doing the transaction.  

The  explicit  reference  to  the  possibility  for  Member  States  to  introduce  electronic 
management  of  export  applications  and  authorisations  in  recasted  Article  10.4  will 
facilitate the work of national administrations and exporters.  

Different options have been tested to harmonise the conditions of use of the different types 
of export authorisations that are available in conformity with the Regulation so as to create a 
level playing field and improve EU security.  

Regarding  the  Community  General  Export  Authorisation  (CGEA),  the  impact  assessment 
study  has  led  the  Commission  to  opt  for  clarifying  the  meaning  of  "registration"  and 

EN 

5 

   EN 

 
"reporting"  which  are  currently  defined  in  Annex  II  of  the  Regulation,  and  for  limiting  the 
conditions  under  which  the  CGEA  can  be  denied  (Recasted  Article  6.1.a)).  This  lead  to 
greater convergence of practices across the EU. 

Regarding  the  harmonisation  of  the  conditions  of  use  of  the  National  General  Export 
Authorisations (NGEA), the impact assessment study has revealed that some Member States 
had no system of registration and therefore, by lacking information on users, could not fully 
ensure the enforcement of the Regulation. The option to amend the Regulation aims at filling 
this gap. The study has also highlighted that the exporters who could benefit from National 
General Export authorisations at national level1 do enjoy a comparative advantage compared 
to  other  exporters.  The  Commission's  proposal  to  create  new  Community  General  Export 
Authorisations has been widely supported by industry and favoured by Member States. The 
Commission will try to make those proposals in 2007 based on information to be supplied by 
exporters and discussions with Member States. 

Regarding  the  option  to  harmonise  the  Member  States'  practices  of  granting  global  export 
authorisations  by  obliging  the  exporter  to  carry  out  an  internal  compliance  programme 
(ICP), the study has revealed that when implemented, ICPs are considered as positive factors. 
In fact, those ICPs significantly enhance the capacity of the exporters to comply with export 
control provisions. The Commission proposal is to encourage Member States to grant global 
export authorisations to companies having ICPs in place. 

Options  to  increase  coordination  and  the  sharing  of  sensitive  information  among  Member 
States  national  authorities  on  the  national  implementation  of  the  "end  use  control"  have 
been tested. The results have led the Commission to propose a middle position between the 
option  tested  during  the  impact  assessment  study  (a  systematic  sharing  of  information 
between  national  customs  authorities  of  all  Member  States'  valid  national  requests)  and  the 
current  situation,  which  is  unsatisfactory  from  a  trade  and  security  point  of  view.  The 
proposal  aims  at  obliging  Member  States  to  share  with  other  Member  States  and  the 
Commission  the  general  requirements  that  they  impose  on  national  exporters  regarding  the 
obligation of an export authorisation for non-listed items aimed at being exported to certain 
end  users.  In  due  course  this  should  lead  to  greater  convergence  of  national  policies,  and 
better information of and transparency for the exporting industry. 

Amendments  have  been  made  to  Article  7.2,  Article  9  and  Article  15  of  the  Regulation  in 
order to: 

–  Align  the  EU  legal  framework  on  the  informal  but  politically  binding  rules  set  in 

international export control regimes which regularly review the validity of denials; 

–  Ensure wider consultations between Member States in case of divergences of appreciation 

on some export application cases and to create a level playing-field within the EU; 

–  Enable  the  Commission  to  develop,  in  the  future,  an  electronic  secure  system  to  share 

sensitive and possibly classified EU information.  

1 

Such authorisations are provided by 8 Member States. Among those Member States, some have issued 
more  than  10  of  those  trade  facilitation  instruments  covering  various  types  of  items  or  transactions 
(repair/exhibition/chemical items, non sensitive Wassenaar items) and various destinations. 

EN 

6 

   EN 

 
                                                 
The impact of those above mentioned proposals is expected to be positive both on trade and 
security issues.  

The proposed recasted Article 11 establishes that amendments to the list of controlled items 
will be carried out using a comitology procedure, established in recasted Article 19 instead of 
requiring a formal Council Regulation. It will result in speedier update of the list of controlled 
items in accordance with the decisions adopted in the export control regimes. 

The  obligations  regarding  record  keeping  under  Article  16  have  been  amended  to  take  due 
account  of  demands  from  industry,  supported  by  work  carried  out  with  Member  States' 
experts,  to  improve  the  current  situation  by  introducing  proportionate  and  enforceable 
requirements depending on the transfers at stake. 

The  recast  Article  21  provides  for  the  imposition  of  criminal  sanctions  for  at  least  serious 
infringements of the Regulation and implementing provisions will provide a deterrent for the 
violation of export controls regulations.  

The impact of the creation of a recast Article 22 on international cooperation will: 

- contribute to solving current situations such as those, among others, where exporters in third 
countries  and  in  the  EU  are  obliged  to  apply  controls  to  transfers  of  dual-use  items  in  the 
single market (concretely when third countries' laws impose re-export rules within the single 
market of dual-use items imported) 

-  allow  for  mutual  recognition  of  export  authorisations  which  has  the  potential  to  greatly 
facilitate  joint  industrial  projects  or  research  projects  in  particular  with  third  countries 
members of international export control regimes or listed in the current CGEA. 

- allow for the adoption of EU-wide specific export control rules that would be applicable to 
the  technologies  developed  in  the  EU  in  the  context  of  Community-financed  international 
programmes involving third countries and would also cover access through intangible means 
to those technologies.  

The  impact  of  the  replacement  of  the  existing  prior  authorisation  for  transfers  between 
Member  States  of  items  in  current  Annex  IV  (recast  Article  25)  by  pre-notifications  will 
facilitate transfers within the internal market without having a negative impact on security as 
Members States will retain the possibility of blocking such transfers for justified reasons.  

Finally, a number of proposals are made in order to adopt in specific areas best practices and 
administrative measures whose impact has not been assessed but whose political justification 
can  be  found  in  developments  in  international  export  control  regimes  and  in  the 
recommendations adopted by the Council on the follow up to the "peer reviews". 

3) 

LEGAL ELEMENTS OF THE PROPOSAL 

Summary of the proposed action 

This  proposal  is  a  recasting  of  Council  Regulation  (EC)  N°1334/2000  in  line  with  the 
Interinstitutional  Agreement  on  the  recasting  technique  for  legal  acts.  It  incorporates  in  a 
single  text  both  the  substantive  amendments  it  makes  to  Council  Regulation  (EC) 

EN 

7 

   EN 

 
N°1334/2000 and the unchanged provisions thereof. The proposal will replace and repeal this 
Regulation . This will help make Community legislation more accessible and transparent. 

Among the proposed amendments to the Regulation, there are in particular five items where 
the  changes  proposed  go  beyond  a  technical  revision  and  update  of  Regulation  (EC) 
N°1334/2000. These are the following: 

–  a  proposal  for  the  introduction  of  a  "comitology"  procedure  for  the  amendment  of  the 
annexes  of  the  Regulation  (lists  controlled  items  and  forms)  and  for  the  adoption  of 
implementing measures; 

–  a replacement of the authorisation requirement for the transfer of items within the internal 
market which are listed in recasted Annex V with a "pre-notification" procedure destined 
to facilitate trade within the EU internal market without compromising security interests; 

–  the  introduction  of  a  provision  according  to  which  Member  States  must  apply  criminal 
sanctions at least for violations of the Regulation; it responds to the call in the Thessaloniki 
Action Plan for a common EU approach regarding  the criminalisation of illegal dual  use 
exports, and to the call by UNSC Resolution 1540 for the introduction of appropriate civil 
or criminal penalties for violations of such export control regulations. The current sanction 
regimes  of  most  Member  States  include  both  administrative  and  criminal  penalties.  The 
new provision will rule out through a minimum harmonization on EU level that, at least for 
serious  infringements,  offenders  can  profit  from  purely  administrative  sanctions  in  some 
Member States; 

–  a recital clarifies that the Regulation provides for a comprehensive legal framework for the 
export of dual use items, technology and related services. In this context, legal security is 
essential  for  those  exports  of  dual  use  items,  technology  or  services  subject  to  this 
Regulation and performed in conformity with its provisions and with those adopted for its 
implementation  in  compliance  with  this  Regulation.  The  legal  security  is  particularly 
important in respect to third countries' legislation that might consider the same exports as 
criminal offences; 

–  the introduction of an article providing for the conduct of negotiations with third countries 
destined to deal with issues such as re-export requirements, in particular when they aim at 
preventing  the  full  use  of  the  single  market  by  the  EU  importers  of  those  dual-use 
technologies  of  non  EU  origin  and  to  adopt  specific  project-based  export  control  rules 
when EC financed projects involved third countries; 

The other main proposals for the recast and amendment of Regulation (EC) N°1334/2000 are 
the following: 

–  the introduction of controls on transit ; 

–  the introduction of controls of brokering and the sanctioning of illicit brokering of dual-use 

items linked to a weapons of mass destruction programme; 

–  the clarification and update of controls of intangible transfers of technology including the 

provision of technical assistance; 

–  the introduction of some limited adjustments regarding the application of national controls 

on items non-listed in the Regulation to improve their efficiency and transparency  

EN 

8 

   EN 

 
–  the harmonisation of the conditions of use of general authorisations  

–  the  inclusion  of  a  criterion  to  enhance  the  granting  of  global  licences  to  exporters 

implementing internal compliance programmes 

–  the  introduction  of  possibilities  for  wider  consultation  among  concerned  Member  States 

prior to granting authorisations essentially similar to denied transactions 

–  the  improvement  of  the  exchange  of  denials  and  other  sensitive  information  and  the 
possible  introduction  in  the  future  of  an  encrypted  electronic  system  for  exchanging 
information on denials as well as other classified information  

–  the  obligation  of  registration  of  exporters  and  of  suppliers  of  the  most  sensitive  items 

within the Community to competent national authorities 

–  provision  for  the  establishment  by  national  authorities  of  indicative  deadlines  for  the 
processing of applications for export authorisations, and of deadlines for the treatment of 
requests for  information  from  licensing authorities concerning the  application  of national 
controls.  

Some measures, such as adaptation of the model form in Annex III to comply with the United 
Nations  Layout  Key  for  trade  documents,  which  has  provided  Governments,  organisations 
and the business community with a basis for a standard and aligned design of documents used 
in  trade  and  transport  in  order  to  facilitate  the  use  of  the  licence,  have  been  left  for  further 
regulatory action under the comitology procedure. 

Legal basis 

Article 133 of the EC Treaty. 

Subsidiarity principle 

The  proposal  falls  under  the  exclusive  competence  of  the  Community.  The  subsidiarity 
principle therefore does not apply. 

Proportionality principle 

The proposal complies with the proportionality principle for the following reasons: 

Only the amendments to the Regulation which are necessary and whose justification has been 
confirmed  have  been  proposed.  Other  issues  will  be  dealt  with  and  are  addressed  through 
administrative action or best practices or actions at national level. 

As  stated  above,  the  financial  and  administrative  burden  is  reduced  to  the  minimum  as  the 
new obligations have been limited to what can be reasonably enforced and some of the new 
measures will facilitate the management of export controls.  

Choice of instruments 

Proposed instrument: Regulation. 

EN 

9 

   EN 

 
Other  means  would  not  be  adequate,  first  because  an  amendment  to  the  existing  legal 
instrument (Council Regulation) can only be done through another Regulation. Secondly, the 
decisions of the European Court of Justice have made it clear that export controls of dual-use 
items are an exclusive Community competence. Other measures that are of a non-legal nature 
and  which  have  met  the  criteria  that  they  can  bring  an  added  value  to  the  EU  have  been 
proposed in the Communication. 

4) 

BUDGETARY IMPLICATIONS 

In  the  short  term  the  proposals  will  not  have  significant  financial  consequences  for  the  EU. 
The possible development and establishment of an EU secure system for sharing denials and 
other  sensitive  information  would  have  a  moderate  financial  cost,  although  a  decision  on 
whether or not such a system should be developed will be taken in agreement with Member 
States  not  before  early  2007.  An  assessment  of  the  costs  of  establishing  such  a  system  is 
provided in the annex.. 

5) 

ADDITIONAL INFORMATION 

Simplification 

The proposal provides for simplification of legislation, and of the administrative procedures 
for public authorities (Community or national), and for private entities. 

The use of the recasting technique allows the Community to combine in a single text both the 
substantive  amendments  proposed  to  the  Council  Regulation  and  the  unchanged  provisions 
thereof. Moreover, the original text of the Regulation has been improved and clarified in the 
interests of better regulation. 

A  number  of  proposals  will  simplify  the  work  for  the  Community  administrations  (a 
comitology procedure for changes to the annexes and for the adoption of guidelines) and for 
private  entities  (adoption  of  best  practices  for  the  implementation  of  the  Regulation, 
harmonisation of the conditions of use of export authorisations and their format, e-systems for 
the management of licence applications). 

Repeal of existing legislation 

The adoption of the proposal will lead to the repeal of existing legislation. 

Recasting 

The proposal involves recasting. 

EN 

10 

   EN 

 
Annex 

Costs of the possible establishment of a secure system for the exchange of information 
mentioned in the amended Article 15.4 of the proposal of Regulation 

Introduction 

The  proposed  new  paragraph  4  of  Article  15  of  the  recasted  Regulation  establishes  the 
possibility  of  setting  up  a  secure  system  for  the  exchange  of  information  among  Member 
States and as appropriate also the Commission. Such a system would be destined in particular 
to  have  access  on-line  to  a  database  containing  the  denials  of  export  authorisations 
(information  currently  shared  via  a  CD-Rom),  although  other  possible  uses  to  facilitate  the 
exchange of information provided for in the Regulation might also be considered. 

The  proposal  at  this  stage  only  intends  to  provide  a  legal  basis  in  case  such  a  decision  is 
taken; it does not prejudge any such future decision, which would have to be taken only after 
consideration of the parameters required for such a system and in agreement with the Member 
States. 

Budget line concerned 

20.02.01, within the operational part of the budget, and within the current amounts available. 

Estimated costs 

In case in the future a decision to go ahead with such a system was taken, the budget could be 
split into five parts detailed in the table below: 

2007 

2008 

2009 

2010  Total 
0 

Development  200.000 50.000  0 
Maintenance 
Infrastructure    
Network 
Support infra 
Support user 
Total 

250.000
10.000  20.000  20.000  50.000 
30.000    
10.000  40.000 
25.000  15.000  15.000  55.000 
30.000  20.000  20.000  70.000 
40.000  30.000  30.000  100.000
200.000 185.000 85.000  95.000  565.000

The development would consist in refurbishing the current database using a server technology 
and including additional functions and possibilities. However, a significant part of the current 
database (e.g. the format) would be reused. 

As regards the network costs, in principle they should be very limited as the current "Testa 
secure"  would  be  used.  Such  costs  do  not  include  the  connexion  costs  incurred  by  Member 
States.  Should  a  separate  ad-hoc  network  be  considered,  it  would  require  a  specific  budget, 
but this is not the option under consideration. 

The user support budget would consist of setting up a helpdesk, which could be shared with 
other existing projects. 

EN 

11 

   EN 

 
  
  
  
  
  
(cid:208) 1334/2000 

2006/0266 (ACC) 

Proposal for a 

COUNCIL REGULATION 

setting up a Community regime for the control of exports of dual-use items and 
technology 

THE COUNCIL OF THE EUROPEAN UNION, 

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

Having regard to the proposal from the Commission, 

Whereas: 

(1) 

Council  Regulation  (EC)  No  1334/2000  of  22  June  2000  setting  up  a  Community 
regime for the control of exports of dual-use items and technology2 has been amended 
substantially, and it should be recast in the interests of clarity. 

(cid:216) new 

(2) 

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

(cid:208) 1334/2000 recital 1 (adapted) 

(3) 

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

(cid:208) 1334/2000 recital 2  

(4) 

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

(cid:208) 1334/2000 recital 3 

2 

OJ  L  159,  30.6.2000,  p.  1.  Regulation  as  last  amended  by  Regulation  (EC)  No  394/2006  (OJ  L  74, 
13.3.2006, p. 1). 

EN 

12 

   EN 

 
 
 
 
 
 
                                                 
(4) 

The  current  regime  of  export  controls  on  dual-use  items  established  by  Regulation 
(EC)  No  3381/943,  and  Decision  94/942/CFSP4,  needs  to  be  further  harmonised  in 
order to cntinue to guarantee the effective application of controls. 

(cid:208) 1334/2000 recital 4 (adapted) 

(cid:208) 1334/2000 recital 6 
(cid:214) new 

(5) 

(6) 

(7) 

The  responsibility  for  deciding  on  applications  for (cid:214) individual,  global  or  general 
national  export  authorisations  (cid:214) or for  authorisations  for 
the  provision  of 
intermediary services or for the transfer supervision of Annex V dual-use items within 
the  single  market  lies  with  national  authorities.  National  provisions  and  decisions 
affecting  exports  of  dual-use  items  must  be  taken  in  the  framework  of  the  common 
commercial  policy,  and  in  particular  Council  Regulation  (EEC)  N°  2603/69  of  20 
December 1969 establishing common rules for exports5. 

(cid:208) 1334/2000 recital 7 (adapted) 
(cid:214) new 

Decisions  to  update  the  common  lists  of  dual-use  items  ⌦ subject  to  export 
controls ⌫  must  be  in  full  conformity  with  the  obligations  and  commitments  that 
each Member State has (cid:214) States have  accepted as a member (cid:214) members  of the 
relevant international non-proliferation regimes and export control arrangements, or by 
ratification of relevant international treaties. 

(cid:208) 1334/2000 recital 5 (adapted) 
(cid:214) new 

Common lists of dual-use items, destinations and guidelines are essential elements for 
an  effective  ⌦ EU ⌫  export  control  ⌦ regime ⌫  system;  such  lists  have  been 
established  by  Decision  94/942/CFSP  and  subsequent  amendments  and  should  be 
incorporated into this Regulation.(cid:214) and it is appropriate that the decisions agreed by 
Member  States  in  international  export  control  regimes  are  quickly  reflected  into 
amendments to the Annex I of the Regulation listing the items under control in the EU, 
and that procedures are established for the adoption of measures by the Commission 
for the implementation of the Regulation in consultation with a Committee composed 
of Member States' representatives.  

3 

4 

5 

OJ L 367, 31.12.1994, p. 1. Regulation as amended by Regulation (EC) No 837/95 (OJ L 90, 21.4.1995, 
p. 1). 
OJ L 367, 31.12.1994, p. 8. Decision as last amended by Decision 2000/243 CFSP (OJ L 82, 1.4.2000, 
p. 1). 
OJ  L  324,  27.12.1969,p25.  Regulation  as  last  amended  by  Regulation  (EEC)  N°  3918/91  (OJ  L  372, 
31.12.1991,p.31). 

EN 

13 

   EN 

 
 
 
 
 
                                                 
(8) 

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

(cid:208) 1334/2000 recital 8 

(9) 

Particular attention needs to be paid to issues of reexport and end-use. 

(cid:208) 1334/2000 recital 9 

(cid:208) 1334/2000 recital 10 

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

(cid:208) 1334/2000 recital 11 

(11)  The Community has adopted a body of customs rules, contained in Council Regulation 
(EEC)  No  2913/92  of  12 October  1992  establishing  the  Community  Customs  Code6 
and Commission Regulation (EEC) No 2454/937 implementing Regulation (EEC) No 
2913/92  which  lay  down,  among  other  things,  provisions  relating  to  the  export  and 
reexport  of  goods.  Nothing  in  this  Regulation  constrains  any  powers  under  and 
pursuant to the Community Customs Code and its implementing provisions. 

(cid:208) 1334/2000 recital 12 
(cid:214) new 

(12)  Pursuant  to  and  within  the  limits  of  Article  30  of  the  Treaty  and  pending  a  greater 
degree of harmonisation, Member States will retain the right to carry out controls on 
transfers  of  certain  dual-use  items  within  the  European  Community  in  order  to 
safeguard public policy or public security. (cid:214) These intra-community controls of items 
listed in Annex V will consist in pre-notifications of shipments made within the EU in 
order to ensure both greater consistency with the provisions of the Euratom Treaty and 
to  ease  intra-Community  dual-use  trade.  Measures  adopted  by  Member  States  to 
implement  these  new  provisions  shall  not  involve  the  application  of  internal  frontier 
controls  within  the  Community,  but  solely provisions  aimed  for  instance  at  ensuring 
traceability  of  items  circulating  in  the  single  market  and  applied  as  part  of  control 
procedures  applied  in  a  non-discriminatory  fashion  throughout  the  territory  of  the 
Community.   Where  these  controls  are  linked  to  the  effectiveness  of  controls  on 
exports from the Community, they will be periodically reviewed by the Council. 

6 

7 

OJ  L  302,  19.10.1992,  p.  1.  Regulation  as  last  amended  by  Regulation  (EC)  No  955/1999  of  the 
European Parliament and of the Council (OJ L 119, 7.5.1999, p. 1). 
OJ L 253, 11.10.1993, p. 1. Regulation as last amended by Regulation (EC) No 1662/1999 (OJ L 197, 
29.7.1999, p. 25). 

EN 

14 

   EN 

 
 
 
 
 
 
                                                 
(13) 

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

(cid:208) 1334/2000 recital 13 

(cid:216) new  

(14)  The UN Security Council Resolution 1540, adopted 28/04/2004, calls in particular for 
adequate prevention of illicit export, re-export, transit, transhipment and brokering of 
dual-use  items.  Accordingly,  a  possibility  for  Member  States  authorities  to  intercept 
and  take  possession  of  a  dual-use  item  in  transit  when  it  may  or  is  intended  for 
proliferation  of  weapons  of  mass  destruction  or  of  their  means  of  delivery  in  a  third 
country  should  be  explicitly  established,  and  controls  should  be  introduced  on 
provision  of  intermediation  services  when  the  intermediary  has  been  informed  by 
competent national authorities or is aware that it might lead to production or delivery 
of illegal weapons of mass destruction in a third country. 

(15) 

It is desirable to achieve a uniform and consistent application of controls throughout 
the  EU  in  order  to  avoid  undermining  EU  and  international  security  and  unfair 
competition  among  EU  exporters.  With  this  objective,  it  is  decided,  in  line  with  the 
recommendations  of  the  Thessaloniki  Action  Plan  adopted  by  Heads  of  States  and 
Governments in June 2003 and complemented by the WMD strategy: 

–  to enlarge the circumstances when the Member States can enter into consultation 
with other Member States prior to granting an export authorisation which could, 
for example, threaten another Member State's essential security interests 

–  to ensure greater convergence of the conditions of implementation of the national 

controls on dual-use items not listed by the Regulation 

–  to  complement  the  definition  of  intangible  transfers  of  technology  to  include 
making  available  controlled  technology  to  persons  located  outside  the  EU  and 
including  technical  assistance  services  provided  via  electronic  means;  and  to 
adjust,  by  amendments  to  Article16,  the  record  keeping  requirements  for 
intangible transfers of technology to the actual possibilities of exporters 

–  to harmonise the conditions of use of the different types of authorisations that can 

be granted under the Regulation 

–  to  further  align  the  modalities  of  exchange  of  sensitive  information  among 
Member  States  with  some  of  the  existing  practices  of  the  international  export 
control  regimes,  in  particular  by  introducing  in  the  Regulation  the  concept  of 
denials  in  effect  or  of  valid  denials,  and  to  provide  for  the  possibility  of 
establishing  a  secure  electronic  system  for  sharing  information  among  the 
Member States. 

(16)  As  EU  exporters  operating  in  different  countries  may  be  subject  to  different  export 
control standards, it is provided that the Commission can negotiate with third countries 
so as to obtain in particular the recognition of the EU regime and its specificities such 

EN 

15 

   EN 

 
 
 
as the single market  for dual-use items and the common external trade policy which 
applies to dual-use items. 

(cid:208) 1334/2000 recital 14 (adapted) 
(cid:214) new 

(17)  Each Member State should determine the (cid:214) effective, proportionate and dissuasive  
penalties applicable in the event of breach of the provisions of this Regulation. 

(cid:216) new 

(18) 

In  order  to  strengthen  the  EU  regime  on  the  export  of  dual-use  items  and  related 
services  and  pursuant  to  UN  Security  Council  Resolution  1540,  it  is  necessary  to 
provide for the imposition of criminal penalties in particular for serious infringements 
of  the  Regulation  and  of  the  regulations  adopted  by  Member  States  for  its 
implementation.  In  addition,  the  European  Council  on  17/18  June  2004  adopted  a 
declaration  on  criminal  sanctions,  recalling  the  commitment  expressed  by  Member 
States  in  the  European  Strategy  against  the  proliferation  of  WMD  adopted  on  12 
December  2003,  to  adopt  common  policies  related  to  criminal  sanctions  for  illegal 
export, brokering and smuggling of WMD-related material. 

(19)  The  Regulation  provides  for  a  comprehensive  framework  regulating  the  export  of 
dual-use items, technology or services from the European Union. In this regard, legal 
security is essential for exporters of items or services subject to this Regulation, who 
have  acted  in  conformity  with  its  provisions  and  with  those  adopted  for  its 
implementation  in  compliance  with  this  Regulation,  in  respect  to  differing  third 
country legislation that might consider such exports as criminal offences. 

(20)  National competent authorities in charge of the implementation of the Regulation must 
know  the  exporters  intending  to  export  dual-use  items  or  the  suppliers  intending  to 
transfer items listed in the Annex V to the Regulation within the community so as to 
efficiently enforce its provisions. 

The European Parliament expressed its views in its resolution of 13 April 19998. 

(cid:208) 1334/2000 recital 15 (adapted) 

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

(cid:208) 1334/2000 recital 16 (adapted) 

8 

OJ C 219, 30.7.1999, p. 34. 

EN 

16 

   EN 

 
 
 
 
 
                                                 
HAS ADOPTED THIS REGULATION: 

(cid:208) 1334/2000 

CHAPTER I 

SUBJECT AND DEFINITIONS 

(cid:208) 1334/2000 (adapted) 
(cid:214) new 

Article 1 

This Regulation sets up a Community system ⌦ regime ⌫ of export controls ⌦ of exports 
of ⌫ for dual-use items (cid:214) and related services and of transit of dual-use items . 

(cid:208) 1334/2000 Art. 2 (adapted) 
(cid:214) new 

For the purposes of this Regulation: 

Article 2 

(a) 

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

(b) 

«export» shall mean: 

(i) 

an  export  procedure  within  ⌦ the  meaning  of ⌫  Article  161  of 
⌦ Regulation (EC) No 2913/1992 ⌫ (the Community Customs Code); 

(ii) 

a re-export within ⌦ the meaning of ⌫Article 182 of that Code,; and 

(iii) 

transmission  of  software  or  technology  (cid:214) ,  or  the  provision  of  technical 
assistance,   by  electronic  media,  ⌦ including  by ⌫  fax,  or  telephone  (cid:214) , 
electronic  mail  or  any  other  electronic  means,    to  a  destination  outside  the 
⌦ European ⌫  Community;  this  applies  to  oral  transmission  of  technology 
by  telephone  only  where  the  technology  is  contained  in  a  document  the 
relevant part of which is read out over the telephone, or is described over the 
telephone  in  such  a  way  as  to  achieve  substantially  the  same  result  (cid:214) ,  and 
includes  making  available  in  an  electronic  form  such  software,  technology  or 
technical assistance  ; 

(cid:214) (iv)  the  provision  of  the  services  of  intermediation  in  transactions  of  dual-use 

items from the European Community intro the territory of a third country.  

EN 

17 

   EN 

 
 
 
 
(c) 

«exporter» shall mean any natural or legal person (cid:214) or partnership :   

(i) 

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

(ii)  «exporter» shall also mean any natural or legal person who decides to transmit 
(cid:214) or  make  available   software  or  technology  (cid:214) or  provides  technical 
assistance  by ⌦ any ⌫ electronic media, fax or telephone ⌦ means ⌫ to 
a destination outside the ⌦ European ⌫ Community; 

(iii)  who provide services as intermediaries within the meaning of point (e) 

(cid:216) new 

(cid:208) 1334/2000 

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 Ccontracting Pparty established in the Community. 

(d) 

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

(e) 

"Intermediation  services  related  to  dual-use  items"  shall  mean  activities  of  persons, 
entities and partnerships: 

(cid:216) new 

– 

– 

negotiating or arranging transactions that have as an object the purchase, sale 
or supply of dual-use items listed in Annex I from a third country to any other 
third country; or 

who  buy,  sell  or  supply  such  items  from  a  third  country  to  any  other  third 
country. 

(f) 

(g) 

"Intermediary"  shall  mean  any  legal  or  natural  person  or  partnership  providing 
intermediation services related to dual-use items listed in Annex I from the customs 
territory of the European Community into the territory of a third country 

"Transit" shall mean a  transport of dual-use items  entering and passing through the 
customs  territory  of  the  European  Community  with  a  destination  outside  the 
European Community 

EN 

18 

   EN 

 
 
 
 
(h) 

(i) 

(j) 

(k) 

(l) 

"Individual export authorisation" shall mean an authorisation granted to one specific 
exporter for one end user in a third country and covering one or more dual-use items 
or technologies 

"Community General Export Authorisation" shall mean an export authorisation (EU 
001)  for  exports  to  certain  countries  of  destination  available  to  all  exporters  who 
respect its conditions of use as listed in Article 6(1) and Annex II. 

"Global  export  authorisation"  shall  mean  an  authorisation  granted  to  one  specific 
exporter  in  respect  of  a  type  or  category  of  dual-use  item  which  may  be  valid  for 
exports to one or more specified end users in one or more specified third countries. 

"National general export authorisation" shall mean a national authorisation published 
in the official journal of a Member State which is valid for all exporters based in the 
Member State where it is published who meet the conditions set in the national law, 
covering  one  or  several  specified  countries  as  well  as  a  number  of  dual-use  items 
defined in the national law and not subject to notifications under Article 9. 

"Supplier" shall mean any legal or natural person or partnership who transfers a dual-
use  item  listed  in  Annex  V  to  the  Regulation  from  one  Member  State  to  another 
Member State. 

(cid:208) 1334/2000  

CHAPTER II 

SCOPE 

Article 3 

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

2. Pursuant to Article 4 or Article 5, an authorisation may also be required for the export to all 
or certain destinations of certain dual-use items not listed in Annex I. 

(cid:216) new 

3. An authorisation for the provision of intermediation services related to dual-use items listed 
in Annex I is required when the intermediary has been informed by the competent authorities 
of the Member State where he is established or has grounds for suspecting that those dual-use 
items are or may be intended for proliferation of weapons of mass destruction or their means 
of delivery in violation of relevant international treaties and obligations. 

4. 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. 

EN 

19 

   EN 

 
 
 
4. National customs authorities can temporarily stop for the purpose of control dual-use items 
listed in Annex I being in transit. If as a result of such controls, national competent authorities 
have  reasonable  grounds  for  suspecting  that  those  items  are  or  may  be  intended  for  illegal 
proliferation  or  attempts  at  international  security  in  violation  of  international  treaties  and 
obligations, they can decide to take possession of them.  

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

(cid:208) 1334/2000 

(cid:208) 1334/2000  
(cid:214) new 

Article 4 

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

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

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

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

listed 

items 

in 

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

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

4. If an exporter is aware that dual-use items which he proposes to export, not listed in Annex 
I, are intended, in their entirety or in part, for any of the uses referred to in paragraphs 1, 2 and 

EN 

20 

   EN 

 
 
 
 
 
 
3, he must notify the authorities referred to in paragraph 1, which will decide whether or not it 
is expedient to make the export concerned subject to authorisation. 

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

6. A Member State which imposes an authorisation requirement, in application of paragraphs 
1 to 5, on the export of a dual-use item not listed in Annex I, shall, where appropriate, inform 
the  other  Member  States  and  the  Commission.  (cid:214) Member  States  shall  also  provide 
information  to  the  other  Member  States  and  the  Commission  on  any  authorisation 
requirements  applied  generally  in  accordance  with  this  Article  for  the  export  of  non-listed 
items subject to such authorisation requirements, and on the names of end-users/consignees to 
which these requirements apply  . 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. 

7. The provisions of Article 9(2) and (3) shall apply to cases concerning dual-use items not 
listed in Annex I. 

(cid:216) new 

8.  Exporters  can  request  a  reply  from  the  competent  authorities  of  the  Member  State  where 
they  are  established  on  whether  the  export  of  a  non-listed  item  is  subject  or  not  to  an 
authorisation requirement under this Article. The national competent authorities shall provide 
a reply within a delay of 20 working days from the presentation of a complete request by the 
exporter. 

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

(cid:208) 1334/2000 (adapted) 

Article 5 

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

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

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

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

EN 

21 

   EN 

 
 
 
CHAPTER III 

EXPORT AUTHORISATION 

Article 6 

1.  A  Community  general  export  authorisation  for  certain  exports  as  set  out  in  Annex  II  is 
established by this Regulation. 

(cid:216) new 

(a) 

(b) 

Exporters  that  intend  to  use  the  Community  General  Export  Authorisation  shall 
notify the competent authorities of the Member State where they are established of 
their  intention  to  use  or  of  their  first  use  of  the  Community  General  Export 
authorisation; such notification shall take place no later than thirty days after the date 
when the first export took place. The Member States will share with the Commission 
and other Member States those registration notifications. 

The  use  of  the  Community  General  Export  authorisation  shall  be  denied  by  the 
national competent authorities of the Member State where the exporter is established 
if: 

–  the exporter has been informed by his authorities that the items in question are or may be 
intended, in their entirety or in part, for any of the uses referred to in paragraphs 1, 2 and 3 
of Article 4,  

–  or if the exporter is aware that the items are intended for the abovementioned uses,  

–  or when the relevant items are exported to a customs free zone or free warehouse which is 

located in a destination covered by this authorisation. 

In  those  cases,  the  competent  authorities  of  the  Member  State  shall  assess  individual 
applications  on  the  basis  of  the  criteria  listed  in  Article  8  (1)  to  decide  if  the  items  can  be 
exported with a global or individual export authorisation or if they must be denied.  

(cid:208) 1334/2000 (adapted) 

2.  For  all  other  exports  for  which  an  authorisation  is  required  under  this  Regulation,  such 
authorisation  shall  be  granted  by  the  competent  authorities  of  the  Member  State  where  the 
exporter is established. Subject to the restrictions specified in paragraph 13, this authorisation 
may be an individual, global or general authorisation. 

The authorisation ⌦ All the authorisations ⌫ shall be valid throughout the ⌦ European ⌫ 
Community. 

EN 

22 

   EN 

 
 
 
 
Member States shall establish targets for the treatment of the requests of export authorisation 
within certain deadlines and communicate them to the Commission and national exporters.  

(cid:216) new 

The authorisation may be subject, if appropriate, to certain requirements and conditions, such 
as an obligation to provide an end-use statement. 

3. Items listed in Part 2 of Annex II shall not be included in a general authorisation. 

(cid:208) 1334/2000  

3. National general export authorisations shall: 

(cid:216) new 

Exclude from their scopes items listed in part 2 of Annex II and items and countries 

(a) 
subject of valid denials issued under Article 9.2;  

(b) 

Be  used  only  by  exporters  who  have  notified  to  the  competent  authorities  of  the 
Member State where they are established their intention to use the national general 
export authorisation at the latest 30 days after the first shipment; 

4. Member States shall indicate in general authorisations that these may 

(cid:208) 1334/2000  

(c) 

not  be  used  if  the  exporter  has  been  informed  by  his  authorities  that  the  items  in 
question  are  or  may  be  intended,  in  their  entirety  or  in  part,  for  any  of  the  uses 
referred to in paragraphs 1, 2 and 3 of Article 4, or if the exporter is aware that the 
items are intended for the abovementioned uses. 

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

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

(a) 

grant export authorisations for dual-use items; 

(cid:216) new  

(b) 

(c) 

(d) 

grant  export  authorisations  for  the  provision  of  intermediation  services  related  to 
listed dual use items 

decide to take possession of dual-use items in transit 

grant transfer authorisations only if these authorities are different from these listed in 
Article 6.5a). 

EN 

23 

   EN 

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

(cid:208) 1334/2000 (adapted) 

(cid:208) 1334/2000 
(cid:214) new 

Article 7 

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

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

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

2.  If  an  export  might  prejudice  its  essential  security  interests,  a  Member  State  may  request 
another Member State not to grant an export authorisation or, if such authorisation has been 
granted, request its annulment, suspension, modification or revocation. (cid:214) Such request shall 
be  circulated  to  the  other  Member  States  and  to  the  Commission.   The  Member  State 
receiving  such  a  request  shall  immediately  engage  in  consultations  of  a  non-binding  nature 
with  the  requesting  Member  State,  to  be  terminated  within  10  working  days.  (cid:214) The 
requesting  and  requested  Member  States  may  ask  the  Commission  to  raise  the  issue  in  the 
Coordination Group established in Article 18 within 10 working days. In case the requested 
Member  State  decides  to  grant  the  authorisation,  this  should  be  notified  to  the  Commission 
and other Member States 

(cid:208) 1334/2000 
(cid:214) new 

Article 8 

In deciding whether or not to grant an (cid:214) individual or global  export authorisation 
1. 
(cid:214) or  an  authorisation  for  the  provision  of  intermediation  services   under  this  Regulation, 
the Member States shall take into account all relevant considerations including: 

EN 

24 

   EN 

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

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

(c) considerations of national foreign and security policy, including those covered by 
the European Union Code of Conduct on arms exports; 

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

(cid:216) new 

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

(cid:208) 1334/2000 (adapted) 
(cid:214) new 

Article 9 

1. Exporters shall supply the competent authorities with all relevant information required for 
their  applications  for  export  authorisation  (cid:214) and  for  authorisation  for  the  provision  of 
intermediation services including any relevant information collected from third parties so as 
to provide complete information to the national competent authorities in particular on the end-
user, the country of destination, the end-uses of the item exported.  

2. The competent authorities, acting in accordance with this Regulation, may refuse to grant 
an export authorisation (cid:214) or an authorisation for the provision of intermediation services  
and may annul, suspend, modify or revoke an export authorisation (cid:214) or an authorisation for 
the  provision  of  intermediation  services  which  they  have  already  granted.  Where  they 
refuse,  annul,  suspend,  substantially  limit  or  revoke  an  (cid:214) export    authorisation  (cid:214) or  an 
authorisation for the provision of intermediation services, or when they have determined that 
the export of dual-use item or the provision of intermediation is not to be authorised,  they 
shall  inform  ⌦ notify ⌫  the  competent  authorities  of  the  other  Member  States  and  the 
Commission  thereof  and  exchange  ⌦ share ⌫  the  relevant  information  with  ⌦ them ⌫ 
the other Member States and the Commission, while complying with the provisions of Article 
15(3) concerning the confidentiality of such information.  

Those  notifications  will  be  made  via  secure  electronic  means  for  the  exchange  of  sensitive 
information available to Member States and the Commission, including via a secure system 
that  may  be  set  up  in  accordance  with  Article  15.4 .  Member  States  shall  review  denials  of 

(cid:216) new 

EN 

25 

   EN 

 
 
 
 
 
 
 
 
authorisations notified under this paragraph within three years of their notification and revoke 
them, amend them or renew them. Denials which are not revoked shall remain valid. 

When Member States suspend an export authorisation or an authorisation for the provision of 
intermediation  services, they  shall  inform  the  other  Member  States  and  the  Commission 
thereof and share the relevant information with them while complying with the provisions of 
article 15 (3) concerning the confidentiality of such information. At the end of the period of 
suspension,  the  final  assessment  shall  be  communicated  to  the  Member  States  and  the 
Commission. If the authorisation is revoked, this shall be considered as a notification under 
the second sub-paragraph. 

(cid:208) 1334/2000 (adapted) 
(cid:214) new 

3. Before any ⌦ a ⌫ Member State grants an export authorisation (cid:214) or an authorisation for 
the provision of intermediation service  which has been denied by another Member State or 
States for an essentially identical transaction (cid:214) (meaning an essentially identical end use or 
an  item  with  essentially  identical  parameters  or  technical  characteristics  to  the  same  end 
user/consignee or wider entity encompassing the same end user) and for which the denial is 
still  valid   within  the  previous  three  years,  it  will ⌦ shall ⌫ first  consult  the  Member 
State or States which issued the (cid:214) valid  denial(s) (cid:214) as provided for in paragraph 2 as well 
as  notifications  under  the  fourth  sub-paragraph  thereof,  and  will  inform  the  Commission  of 
the  launching  of  those  consultations .  If  following  (cid:214) such   consultations,  the  Member 
State  nevertheless  decides ⌦ intends ⌫  to  grant  an  authorisation,  it  shall  inform  the  other 
Member  States  and  the  Commission,  providing  all  relevant  information  to  explain  the 
decision ⌦ intention ⌫ . 

4.  The  competent  authorities  of  the  Member  States  shall  notify  the  Member  States  and  the 
Commission of the denials of items in transit that they have taken possession of in application 
of Article 3. 

(cid:216) new 

(cid:208) 1334/2000 (adapted) 
(cid:214) new 

Article 10 

1.  All  individual  and  global  export  authorisations  (cid:214) and  authorisations for  the  provision  of 
intermediation  services   shall  be  issued  on  forms  consistent  with  (cid:214) containing at  least  all 
the elements and in the order of  the model set out in Annex IIIa. (cid:214) Measures destined to 
harmonise  the  forms  of  authorisations  can  be  adopted  in  accordance  with  the  procedure 
referred to in Article 19.  

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

EN 

26 

   EN 

 
 
 
 
3.  ⌦ National ⌫  General  export  authorisations  granted  under  Article  6(3)(2)  shall  be 
published in accordance with national laws and practices. They shall be issued in accordance 
with the indications set out in Annex IIIb IV (cid:214) and communicated to the Commission . 

(cid:216) new 

4. Member States may issue their export authorisations in an electronic form. For the purposes 
of  enabling  the  customs  and  other  relevant  authorities  to  check  the  existence  of  an  export 
authorisation,  the  information  contained  in  the  export  authorisation  may  be  made  available 
using  a  secure  system  that  may  be  set  up  for  this  purpose.  A  decision  to  implement  this 
provision  and  the  modalities  of  its  application  may  be  adopted  in  accordance  with  the 
procedures referred to in Article 19. 

(cid:208) 1334/2000 (adapted) 
(cid:214) new 

CHAPTER IV 

UPDATING OF LIST OF DUAL-USE ITEMS 

Article 11 

The  lists  of  dual-use  items  set  out  in  Annex  I  and  Annex  IV  shall  be  updated  (cid:214) , in 
accordance with the procedure referred to in Article 19.2,  in conformity with the relevant 
obligations  and  commitments,  and  any  modification  thereof,  that  each  Member  State 
(cid:214) States   has (cid:214) have   accepted  as  a  member (cid:214) members   of  the  international  non-
proliferation  regimes  and  export  control  arrangements,  or  by  ratification  of  relevant 
international treaties. 

(cid:208) 1334/2000 (adapted) 
(cid:206)1 2432/2001 Art. 1.a 
(cid:214) new 

CHAPTER V 

CUSTOMS PROCEDURES 

Article 12 

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

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

EN 

27 

   EN 

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

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

granted, or 

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

4. In the case referred to in paragraph 3, the competent authorities of the Member State which 
granted  the  export  authorisation  shall  be  consulted  forthwith  in  order  that  they  may  take 
action  pursuant  to  Article  9(2).  If  such  competent  authorities  decide  to  maintain  the 
authorisation,  they  shall  reply  within  10  working  days,  which,  at  their  request,  may  be 
extended  to  30  working  days  in  exceptional  circumstances.  In  such  case,  or  if  no  reply  is 
received  within  10  or  30  days,  as  the  case  may  be,  the  dual-use  items  shall  be  released 
immediately.  The  Member  State  which  granted  the  authorisation  shall  inform  the  other 
Member States and the Commission. 

Article 13 

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

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

Article 14 

(cid:206)1 The  provisions  of  Articles  843  and  912a  to  912g  of  Regulation  (EEC)  No  2454/93  
shall  apply  to  the  restrictions  relating  to  the  exportation,  reexportation  and  exit  from  the 
customs territory of dual-use items for the export of which an authorisation is required under 
this Regulation. 

CHAPTER VI 

ADMINISTRATIVE COOPERATION 

Article 15 

1. 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 to 

EN 

28 

   EN 

 
 
 
dual-use  items  may  lead  to  a  deflection  of  trade,  which  could  create  difficulties  for  one  or 
more Member States. 

2.  Member  States  shall  take  all  appropriate  measures  to  establish  direct  cooperation  and 
exchange of information between competent authorities on sensitive end-users with a view to 
providing  a  consistent  level  of  guidance  to  exporters  concerned  by  this  Regulation. (cid:214) Such 
information shall cover:  

(a) convictions for criminal export-related offences; 

(cid:216) new 

(b) other intelligence, as appropriate, data on sensitive intermediaries, routes taken and 

consignees 

(cid:208) 1334/2000  

3. Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the 
administrative  authorities  of  the  Member  States  and  cooperation  between  the  latter  and  the 
Commission to ensure the correct application of the law on customs and agricultural matters9, 
and  in  particular  the  provisions  on  the  confidentiality  of  information,  shall  apply  mutatis 
mutandis, without prejudice to Article 18 of this Regulation.  

(cid:216) new 

4. 
A secure and encrypted system for the exchange of information among Member States 
and whenever appropriate the Commission may be set up under the terms to be determined in 
accordance with the procedures referred to in paragraph 3 of Article 19. 

Measures necessary to facilitate the cooperation established in this paragraphs 1 to 4 

5. 
of this Article may be taken in accordance with the procedures referred to in Article 19. 

(cid:208) 1334/2000 

CHAPTER VII 

CONTROL MEASURES 

Article 16 

(cid:216) new 

1. Exporters of items listed in Annex I and natural and legal persons or partnership wishing to 
provide intermediation services for those dual-use items in third countries as well as natural or 

9 

OJ L82, 22.3.1997, p.1. 

EN 

29 

   EN 

 
 
 
 
 
 
 
 
                                                 
legal persons intending to ship dual–use items listed in Annex V within the Community shall 
notify their intention to export such items or provide such services to the national competent 
authorities  defined  in  Article  6.  The  Member  States  receiving  these  registrations  will  share 
them with other Member States and the Commission.  

(cid:208) 1334/2000  
(cid:214) new 

-1. 2. (i) Exporters (cid:214) of tangible dual-use items  shall keep detailed registers or records of 
their exports, 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. 

(cid:216) new 

(ii) Suppliers  of  Annex  V  dual-use  items transferring  them  in  the  single  market  shall  keep 
detailed registers or records of their shipments 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, other  dispatch  documents and  the 
information contained in the pre-transfer notifications defined in part II of Annex V.  

(iii) For exports as defined in Article 2biii) and for the provision of intermediation services, 
exporters/intermediary shall keep registers or records so as to be able to prove, on request, the 
nature of the dual-use items, technology or software that were transferred/subject of provision 
of  intermediation  services,  the  period  during  which  the  items  were  transferred/subject  of 
provision of intermediation services and the destination of the transfers. 

(cid:208) 1334/2000 (adapted) 
(cid:214) new 

2. 3. The registers or records and the documents referred to in paragraph (cid:214) paragraphs  1 
(cid:214) and 2  shall be kept for at least three years from the end of the calendar year in which the 
export  (cid:214) /transfer  or  provision  of  intermediation  services   took  place.  They  shall  be 
produced to the competent authorities of the Member State in which the exporter (cid:214) /supplier 
or intermediary  is established on request. 

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

Article 17 

EN 

30 

   EN 

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

(b)  to  establish  that  the  export  control  measures  are  being  properly  applied,  which 
may include in particular the power to enter the premises of persons with an interest 
in an export transaction. 

CHAPTER VIII 

GENERAL AND FINAL ⌦ OTHER ⌫ PROVISIONS ⌦ AND INTERNATIONAL 
COOPERATION ⌫  

Article 18 

1.  A  (cid:214) Dual-use   Coordinating ⌦ Coordination ⌫  Group  chaired  by  a  representative  of 
the  Commission  shall  be  set  up.  Each  Member  State  shall  appoint  a  representative  to  the 
Coordinating ⌦ this ⌫ Group. 

The Coordinating Group ⌦ It ⌫ 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, inter alia ⌦ in particular ⌫ : 

(a) 

(b) 

(c) 

(d) 

the measures which should be taken by Member States to inform exporters (cid:214) /other 
relevant stakeholders  of their obligations under this Regulation; 

guidance concerning export authorisation forms. (cid:214) best practices and administrative 
procedures for the implementation and enforcement of the Regulation;  

(cid:216) new 

technical considerations on options for legislative amendments to address problems 
of implementation; 

common guidelines for making available in a user-friendly manner for exporters the 
relevant information concerning the Community dual-use export control regime and 
its application by the Member States. 

It shall report to the Council on the outcomes of its meetings. 

2. The (cid:214) Chair of the Dual-use  Coordinating ⌦ Coordination ⌫ Group may (cid:214) shall  , 
whenever  it  considers  it  to  be  necessary,  consult  organisations  representative  of  exporters 
(cid:214) and other relevant stakeholders  concerned by this Regulation.  

(cid:208) 1334/2000 (adapted) 
(cid:214) new 

EN 

31 

   EN 

 
 
 
 
 
(cid:216) new 

Article 19 

The Dual-use committee 

The Commission shall be assisted by a committee (hereinafter referred to as the 'Dual 

1. 
Use Committee'). 

2. 
The procedure referred to in paragraph 3 of this Article shall apply for the adoption of 
measures that may be necessary for the implementation of this Regulation other than in areas 
covered  by  Article  21  and  23,  and  for  the  adoption  of  amendments  to  the  Annexes  of  this 
Regulation. 

Where reference is made to this paragraph, Articles 5 and 7 of Decision 1999/468/EC 

3. 
shall apply. 

The period laid down in Article 5(6) of Decision 1999/468/EC shall be set at two months. 

4. 

The Dual-use Committee shall adopt its rules of procedure. 

Article 20 

The chair of the Dual-use Committee may, on his own initiative or at the request of one of the 
Member  States  representatives,  consult  the  dual-use  Committee  about  any  other  matter 
relating to the operation or application of this Regulation. 

(cid:208) 1334/2000 
(cid:214) new 

Article 1921 

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.  (cid:214) They  shall  include 
criminal penalties at least for serious infringements of the provisions of this Regulation, such 
as an intentional export intended for use in a programme for the development or manufacture 
of chemical, biological, nuclear weapons or of missiles capable of their delivery without the 
authorisation  required  under  this  Regulation,  or  the  falsification  or  omission  of  information 
with a view to obtaining an authorisation that would otherwise have been denied.   

(cid:216) new 

Article 22 

International cooperation 

Without  prejudice  to  the  provisions  on  mutual  administrative  assistance  agreements  or 
protocols  in  customs  matters  concluded  between  the  Community  and  third  countries,  the 

EN 

32 

   EN 

 
 
 
 
Commission  may  negotiate  with  third  countries  agreements  providing  for  the  mutual 
recognition of export controls of dual-use items covered by this Regulation and in particular 
to  eliminate  authorisation  requirements  for  re-exports  within  the  territory  of  the  European 
Community.  These  shall  be  conducted  in  accordance  with  the  procedures  established  in 
Article  133  (3)  of  the  Treaty  establishing  the  European  Community  and  the  Treaty 
establishing the European Atomic Energy Community, as appropriate. 

Article 23 

When  appropriate  and  when  projects  financed  by  the  Community  are  at  stake,  the 
Commission  can  make  proposals, in  the  relevant  legislative  frameworks  of  the  European 
Union or in the arrangements with third countries, so that an ad hoc committee involving all 
competent  authorities  of  the  Member  States  can  be  set  up  and  be  entitled  to  decide  on  the 
granting  of  the  necessary  export  authorisations  to  ensure  the  proper  functioning  of  those 
projects involving dual-us items or technologies. 

(cid:208) 1334/2000 (adapted) 
(cid:214) new 

Article 2024 

report 

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  1921.  The  Commission  shall  forward  the  information  to  the  other  Member  States. 
Every  three  years  the  Commission  shall  (cid:214) review  the  implementation  of  this  Regulation 
and   present  a 
the 
⌦ its ⌫ application of this Regulation (cid:214) , which shall include as appropriate proposals for 
its  amendment   .  Member  States  shall  provide  to  the  Commission  all  appropriate 
information  for  the  preparation  of  the  report  (cid:214) ,  such  as  the  number  of  exporters  using  the 
authorisations available in each Member State, the number of different authorisations granted 
to exporters, the registers of companies using the Community General Export Authorisation, 
or  the  number  of  bilateral  consultations  carried  out  under  different  Articles  of  this 
Regulation  . 

the  European  Parliament  and 

the  Council  on 

to 

Article 2125 

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

2. 

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

– 

– 

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

export  of  those  items  to  that  final  destination  is  subject  to  an  authorisation 
requirement pursuant to Article 3, 4 or 5 in the Member State from which the 

EN 

33 

   EN 

 
 
items  are  to  be  transferred,  and  such  export  directly  from  its  territory  is  not 
authorised by a general authorisation or a global authorisation, 

– 

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

(b) The transfer authorisation must be applied for in the Member State from which the 

dual-use items are to be transferred.  

(cid:216) new 

A  transfer  to  another  Member  State  of  a  dual-use  item  listed  in  Annex  V  must  be 
1. 
notified in advance by the supplier to the national competent authorities of the Member State 
where  the  item  is  located  8  working  days  prior  to  the  shipment  date,  who  will  inform  the 
Member State where the supplier is established.  

2. 

The pre-transfer notification must contain the information listed in part II of Annex V.  

The  national competent  authorities of the Member States concerned can suspend  the 

3. 
transfer when: 

(a) 

(b) 

the supplier has not registered to national authorities of the Member State where it is 
established or has not fully provided the information required under part II of Annex 
V 

they have serious reasons to consider that the transfer would be contrary to essential 
security interests of the EU or of a Member State. 

In this case, the national competent authority notified of the transfer enters into consultation 
with the Member States concerned. If the examination of the case leads to the Member State 
maintaining  its  initial  decision  to  suspend  the  transfer,  the  Member  States  concerned  may 
refer  to  the  Commission  and  the  other  Member  States  for  larger  consultations.  The  final 
decision will be communicated to Member States and Commission with justification.  

(cid:208) 1334/2000 (adapted) 
(cid:214) new 

(c) (cid:214) The national  competent authorities cannot suspend the transfer  Iin cases where  the 
subsequent  export  of  the  dual-use  items  has  already  been  accepted,  in  the  consultation 
procedures  set  out  in  Article  7,  by  the  Member  State  from  which  the  items  are  to  be 
transferred, the transfer authorisation shall be issued to the operator immediately, unless the 
circumstances have substantially changed. 

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

3.4. The measures pursuant to paragraphs 1 and 2 shall not involve the application of internal 
frontier controls within the Community, but solely controls which are performed as part of the 

EN 

34 

   EN 

 
 
 
 
 
normal control procedures applied in a non-discriminatory fashion throughout the territory of 
the Community. 

4.5. Application of the measures pursuant to paragraphs 1 and 2 (cid:214) and 3  may in no case 
result  in  transfers  from  one  Member  State  to  another  being  subject  to  more  restrictive 
conditions than those imposed for exports of the same items to non-Member States. 

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

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

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

This Regulation does not affect: 

Article 2226 

– 

– 

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

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

Article 2327 

Regulation  (EC)  No  3381/94  ⌦ 1334/2000 ⌫  is  hereby  repealed  ⌦ with  effect  from 
[...] ⌫. 

However, for export authorisation applications made before the date of entry into force of this 
Regulation,  the  relevant  provisions  of  Regulation  (EC)  No  3381/94 ⌦ 1334/2000 ⌫  shall 
continue to apply. 

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

(cid:216) new 

EN 

35 

   EN 

 
 
(cid:208) 1334/2000 (new) 

Article 2428 

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

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

Done at Luxembourg, 22 June 2000 in Brussels,  

For the Council 
The President 

EN 

36 

   EN 

 
 
 
 
(cid:208) 394/2006 Art. 1 and Annex 
(adapted) 

ANNEX I 

LIST OF DUAL-USE ITEMS AND TECHNOLOGY 

(referred to in Article 3 of Regulation (EC) No 1334/2000) 

This  list  implements  internationally  agreed  dual-use  controls  including  the  Wassenaar 
Arrangement, the Missile Technology Control Regime (MTCR), the Nuclear Suppliers' Group 
(NSG), the Australia Group and the Chemical Weapons Convention (CWC). No account has 
been taken of any items that Member States wish to place on an exclusion list. No account has 
been taken of any national controls  (non-regime origin controls) that may be maintained by 
Member States. 

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  authorises  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». 

EN 

37 

   EN 

 
 
GENERAL TECHNOLOGY NOTE (GTN) 

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

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

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

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

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

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

GENERAL SOFTWARE NOTE (GSN) 

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

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

a. Generally available to the public by being: 

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

a. Over-the-counter transactions; 

b. Mail order transactions; 

c. Electronic transactions; or 

d. Telephone order transactions; and 

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

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

b.«In the public domain». 

EDITORIAL PRACTICES 

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

EN 

38 

   EN 

 
 
 
 
 
 
 
 
 
 
– 

– 

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

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

DEFINITIONS OF TERMS USED IN THIS ANNEX 

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

Definitions of terms between «double quotation marks» are as follows: 

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

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

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

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

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

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

N.B.: See also «civil aircraft». 

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

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

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

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

«Asymmetric  algorithm» 
mathematically-related keys for encryption and decryption. 

(5)  means  a  cryptographic  algorithm  using  different, 

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

EN 

39 

   EN 

 
«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 in a «monolithic integrated circuit». For a «family» of 
«monolithic  integrated  circuits»,  this  may  be  specified  either  as  the  propagation  delay  time 
per typical gate within the given «family» or as the  typical propagation delay time per gate 
within the given «family». 

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

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

a.The common hardware and software architecture; 

b.The common design and process technology; and 

c.The common basic characteristics. 

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

«Bias» (accelerometer) (7) means an accelerometer output when no acceleration is applied. 

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

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

«CE» is equivalent to «computing element». 

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

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

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

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

EN 

40 

   EN 

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

N.B.: See also «aircraft». 

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

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

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

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

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

«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 (ref. ISO/DIS 2806 - 1980). 

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

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

EN 

41 

   EN 

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

«CTP» is equivalent to «composite theoretical performance». 

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

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

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

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

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

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

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

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

a. Accept data; 

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

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

d. Provide output of data. 

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

«Digital transfer rate» 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». 

EN 

42 

   EN 

 
 
 
 
 
 
 
«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. 

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

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

N.B.: See also «signal analysers». 

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

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

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

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

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

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

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

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

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

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

EN 

43 

   EN 

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

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

a. Modifying automatically the «source code» introduced by the user; 

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

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

«FADEC» is equivalent to «full authority digital engine control». 

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

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

a. Continuous «monofilaments»; 

b. Continuous «yarns» and «rovings»; 

c.«Tapes», fabrics, random mats and braids; 

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

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

f. Aromatic polyamide pulp. 

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

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

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

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

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

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

EN 

44 

   EN 

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

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

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

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

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

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

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

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

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

«Geographically  dispersed»  (6)  is  where  each  location  is  distant  from  any  other  more  than 
1500 m in any direction. Mobile sensors are always considered «geographically dispersed». 

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

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

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

a. Accept data; 

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

c. Provide output of data. 

EN 

45 

   EN 

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

a. Containing at least one unencapsulated device; 

b. Connected together using typical IC production methods; 

c. Replaceable as an entity; and 

d. Not normally capable of being disassembled. 

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

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

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

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

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

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

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

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

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

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

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

EN 

46 

   EN 

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

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

N.B.: See also «magnetic gradiometer». 

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

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

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

N.B.: See 
also: 

«Chemical laser»; 

«Q-switched laser»; 

«Super High Power Laser»; 

«Transfer laser». 

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

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

«Local  area  network»  (4)  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. 

EN 

47 

   EN 

 
 
 
 
N.B.: See also «intrinsic magnetic gradiometer». 

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

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

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

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

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

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

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

N.B.:«Solidify rapidly»: solidification of molten material at cooling rates exceeding 1000 K/s. 

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

N.B.:«Solidify rapidly»: solidification of molten material at cooling rates exceeding 1000 K/s. 

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

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

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

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

EN 

48 

   EN 

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

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

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

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

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

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

b. Can be considered as indivisibly associated; and 

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

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

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

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

«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. 

EN 

49 

   EN 

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

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

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

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

«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 S2
pp = 8 No(f2–f1), where 
Spp is the peak-to-peak value of the signal (e.g., nanoteslas), No is the power spectral density 
(e.g., (nanotesla)2/Hz) and (f2–f1) 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  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 

EN 

50 

   EN 

 
the  total  cross-section  of  the  coil  (comprising  the  superconducting  filaments,  the  metallic 
matrix in which the superconducting filaments are embedded, the encapsulating material, any 
cooling channels, etc.). 

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

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

«Personalised 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. 

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

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

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

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

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

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

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

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

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

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

EN 

51 

   EN 

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

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

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

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

«Real-time  bandwidth»  (2  3)  for  «dynamic  signal  analysers»  is  the  widest  frequency  range 
which the analyser can output to display or mass storage without causing any discontinuity in 
the  analysis  of  the  input  data.  For  analysers  with  more  than  one  channel,  the  channel 
configuration  yielding  the  widest  «real-time  bandwidth»  shall  be  used  to  make  the 
calculation. 

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

«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. ANSI B-89.1.12). 

«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; 

EN 

52 

   EN 

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

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

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

«SHPL» is equivalent to «super high power laser». 

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

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

EN 

53 

   EN 

 
 
 
 
 
«Software» 
«microprogrammes» fixed in any tangible medium of expression. 

(GSN  All)  means  a  collection  of  one  or  more  «programmes»  or 

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

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

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

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

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

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

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

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

N.B.:«Solidify rapidly» solidification of molten material at cooling rates exceeding 1000 K/s. 

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

«Spread spectrum» radar (6) - see «Radar spread spectrum» 

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

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

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

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

EN 

54 

   EN 

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

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

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

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

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

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

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

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

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

N.B.: A common use of «symmetric algorithms» is confidentiality of data. 

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

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

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

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

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

EN 

55 

   EN 

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

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

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

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

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

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

N.B.: See also «digital transfer rate». 

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

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

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

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

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

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

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

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

EN 

56 

   EN 

 
 
 
a. A physical change in wiring or interconnections; or 

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

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

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

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

«Yarn» (1) is a bundle of twisted «strands». 

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

ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX 

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

Acronym or abbreviation 

Meaning 

ABEC 

AGMA 

AHRS 

AISI 

ALU 

ANSI 

ASTM 

ATC 

AVLIS 

CAD 

CAS 

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 

Chemical Abstracts Service 

EN 

57 

   EN 

 
 
 
CCITT 

CDU 

CEP 

CNTD 

CRISLA 

CVD 

CW 

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 

CW (for lasers) 

continuous wave 

DME 

DS 

distance measuring equipment 

directionally solidified 

EB-PVD 

electron beam physical vapour deposition 

EBU 

ECM 

ECR 

EDM 

European Broadcasting Union 

electro-chemical machining 

electron cyclotron resonance 

electrical discharge machines 

EEPROMS 

electrically erasable programmable read only memory 

EIA 

EMC 

ETSI 

FFT 

Electronic Industries Association 

electromagnetic compatibility 

European Telecommunications Standards Institute 

Fast Fourier Transform 

GLONASS 

global navigation satellite system 

GPS 

HBT 

HDDR 

HEMT 

ICAO 

global positioning system 

hetero-bipolar transistors 

high density digital recording 

high electron mobility transistors 

International Civil Aviation Organisation 

EN 

58 

   EN 

 
IEC 

IEEE 

IFOV 

ILS 

IRIG 

ISAR 

ISO 

ITU 

JIS 

JT 

International Electro-technical Commission 

Institute of Electrical and Electronic Engineers 

instantaneous-field-of-view 

instrument landing system 

inter-range instrumentation group 

inverse synthetic aperture radar 

International for Standardization 

International Telecommunication Union 

Japanese Industrial Standard 

Joule-Thomson 

LIDAR 

light detection and ranging 

LRU 

MAC 

Mach 

MLIS 

MLS 

line replaceable unit 

message authentication code 

ratio of speed of an object to speed of sound (after Ernst Mach) 

molecular laser isotopic separation 

microwave landing systems 

MOCVD 

metal organic chemical vapour deposition 

MRI 

MTBF 

Mtops 

MTTF 

NBC 

NDT 

PAR 

PIN 

ppm 

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 

EN 

59 

   EN 

 
PSD 

QAM 

RF 

power spectral density 

quadrature-amplitude-modulation 

radio frequency 

SACMA 

Suppliers of Advanced Composite Materials Association 

SAR 

SC 

SLAR 

SMPTE 

SRA 

SRAM 

SRM 

SSB 

SSR 

synthetic aperture radar 

single crystal 

sidelooking airborne radar 

Society of Motion Picture and Television Engineers 

shop replaceable assembly 

static random access memory 

SACMA Recommended Methods 

single sideband 

secondary surveillance radar 

TCSEC 

trusted computer system evaluation criteria 

TIR 

UV 

UTS 

VOR 

YAG 

total indicated reading 

ultraviolet 

ultimate tensile strength 

very high frequency omni-directional range 

yttrium/aluminium garnet 

CATEGORY 0 

NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT 

0ASystems, 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; 

EN 

60 

   EN 

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

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

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

0BTest, Inspection and Production Equipment 

0B001Plant  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: 

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; 

EN 

61 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
5. Ion-exchange separation plant; 

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

7. Molecular «laser» isotope separation (MLIS) plant; 

8. Plasma separation plant; 

9. Electro magnetic separation plant; 

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

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

a.Maraging steel capable of an ultimate tensile strength of 2050 MPa or more; 

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

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

1. Gas centrifuges; 

2. Complete rotor assemblies; 

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

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

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

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

7.  Magnetic  suspension  bearings  consisting  of  an  annular  magnet  suspended 
within a housing made of or protected by «materials resistant to corrosion by 
UF6»  containing  a  damping  medium  and  having  the  magnet  coupling  with  a 
pole piece or second magnet fitted to the top cap of the rotor; 

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

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

EN 

62 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 2000 Hz and a power range of 50 to 1000 Volt-Amps; 

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

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

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

a. Multiphase output of 600 to 2000 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 UF6»; 

3. Compressors (positive displacement, centrifugal and axial flow types) or gas 
blowers  with  a  suction  volume  capacity  of  1  m3/min  or  more  of  UF6,  and 
discharge  pressure  up  to  666,7  kPa,  made  of  or  protected  by  «materials 
resistant to corrosion by UF6»; 

4.  Rotary  shaft  seals  for  compressors  or  blowers  specified  in  0B001.c.3.  and 
designed for a buffer gas in-leakage rate of less than 1000 cm3/min.; 

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

6. Bellow valves made of or protected by «materials resistant to corrosion by 
UF», with a diameter of 40 mm to 1500 mm; 

EN 

63 

   EN 

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

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

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

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

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

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

6. Bellows valves made of or protected by «materials resistant to corrosion by 
UF6», with a diameter of 40 mm to 1500 mm; 

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

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

2. Fast-exchange liquid-liquid centrifugal contactors with stage residence time 
of 30 seconds or less and resistant to concentrated hydrochloric acid (e.g. made 

EN 

64 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
of or protected by suitable plastic materials such as fluorocarbon polymers or 
glass); 

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

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

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

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

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); 

2. Ion exchange columns (cylindrical) with a diameter greater than 1000 mm, 
made  of  or  protected  by  materials  resistant  to  concentrated  hydrochloric  acid 
titanium  or  fluorocarbon  plastics)  and  capable  of  operating  at 
(e.g. 
temperatures in the range of 373 K (100 °C) to 473 K (200 °C) and pressures 
above 0,7 MPa; 

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

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

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

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

N.B.: SEE ALSO 2A225. 

EN 

65 

   EN 

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

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

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

N.B.: SEE ALSO 6A005 AND 6A205. 

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) or less; 

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

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

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

N.B.: SEE ALSO 6A005 AND 6A205. 

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

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

EN 

66 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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; 

N.B.: SEE ALSO 2A225. 

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

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

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

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

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

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

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

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

a. Capable of continuous operation; 

b. Output voltage of 20000 V or greater; 

c. Output current of 1 A or greater; and 

d. Voltage regulation of better than 0,01 % over a period of 8 hours; 

N.B.: SEE ALSO 3A227. 

EN 

67 

   EN 

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

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

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

N.B.: SEE ALSO 3A226. 

0B002Specially  designed  or  prepared  auxiliary  systems,  equipment  and  components,  as 
follows, for isotope separation plant specified in 0B001, made of or protected by «materials 
resistant to corrosion by UF6»: 

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

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

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

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

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

f. 

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

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

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 ionisation sources; and 

4. Collector system suitable for isotopic analysis. 

0B003Plant  for  the  conversion  of  uranium  and  equipment  specially  designed  or  prepared 
therefor, as follows: 

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

b. Systems for the conversion of UO3 to UF6; 

EN 

68 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
c. Systems for the conversion of UO3 to UO2; 

d. Systems for the conversion of UO2 to UF4; 

e. Systems for the conversion of UF4 to UF6; 

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

g. Systems for the conversion of UF6 to UO2; 

h. Systems for the conversion of UF6 to UF4; 

i. Systems for the conversion of UO2 to UCl4. 

0B004Plant  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: 

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  m3/second  when 
operating at pressures greater than or equal to 1,8 MPa suction and having seals 
designed for wet H2S service; 

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

4.  Tower  internals,  including  stage  contactors,  and  stage  pumps,  including 
those  which  are  submersible,  for  heavy  water  production  utilising  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 %; 

EN 

69 

   EN 

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

0B005Plant  specially  designed  for  the  fabrication  of  «nuclear  reactor»  fuel  elements  and 
specially designed or prepared equipment therefor. 

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

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

b.Seals the nuclear materials within the cladding; 

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

d.Checks the finish treatment of the sealed fuel. 

0B006Plant  for  the  reprocessing  of  irradiated  «nuclear  reactor»  fuel  elements,  and  specially 
designed or prepared equipment and components therefor. 

Note: 0B006 includes: 

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

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

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

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

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 per cent; 

EN 

70 

   EN 

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

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

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

0B007Plant  for  the  conversion  of  plutonium  and  equipment  specially  designed  or  prepared 
therefor, as follows: 

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

b. Systems for plutonium metal production. 

0CMaterials 

0C001«Natural  uranium»  or  «depleted  uranium»  or  thorium  in  the  form  of  metal,  alloy, 
chemical  compound  or  concentrate  and  any  other  material  containing  one  or  more  of  the 
foregoing; 

Note: 0C001 does not control the following: 

a.Four  grammes  or  less  of  «natural  uranium»  or  «depleted  uranium»  when 
contained in a sensing component in instruments; 

b.«Depleted  uranium»  specially  fabricated  for  the  following  civil  non-nuclear 
applications: 

1.Shielding; 

2.Packaging; 

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

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

c.Alloys containing less than 5 % thorium; 

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

0C002«Special fissile materials» 

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

0C003Deuterium,  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 1:5000. 

0C004Graphite,  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. 

EN 

71 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
N.B.: SEE ALSO 1C107. 

Note 1: 0C004 does not control the following: 

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

b.Graphite powder. 

Note  2:  In  0C004,  «boron  equivalent»  (BE)  is  defined  as  the  sum  of  BEz  for 
impurities (excluding BEcarbon since carbon is not considered an impurity) including 
boron, where: 

BEz (ppm) = CF × concentration of element Z in ppm; 

where CF is the conversion factor = (σZAB)/(σBAZ) 

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

0C005Specially  prepared  compounds  or  powders  for  the  manufacture  of  gaseous  diffusion 
barriers,  resistant to corrosion by UF6 (e.g. nickel or alloy containing 60 weight per cent or 
more nickel, aluminium oxide and fully fluorinated hydrocarbon polymers), having a purity of 
99,9 weight per cent or more and a mean particle size of less than 10 micrometres measured 
by American Society for Testing and Materials (ASTM) B330 standard and a high degree of 
particle size uniformity. 

0DSoftware 

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

0ETechnology 

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

CATEGORY 1 

MATERIALS, CHEMICALS, «MICROORGANISMS» AND «TOXINS» 

1ASystems, Equipment and Components 

1A001Components made from fluorinated compounds, as follows: 

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

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

EN 

72 

   EN 

 
 
 
 
 
 
 
 
 
 
 
1. In sheet or film form; and 

2. With a thickness exceeding 200 μm; 

c.  Seals,  gaskets,  valve  seats,  bladders  or  diaphragms  made  from  fluoroelastomers 
containing  at  least  one  vinylether  group  as  a  constitutional  unit,  specially  designed 
for «aircraft», aerospace or «missile» use. 

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

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

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

a. An organic «matrix» and made from materials specified in 1C010.c., 1C010.d. or 
1C010.e.; or 

b. A metal or carbon «matrix» and made from: 

1. Carbon «fibrous or filamentary materials» with: 

a. A «specific modulus» exceeding 10,15 × 106 m; and 

b. A «specific tensile strength» exceeding 17,7 × 104 m; or 

2. Materials specified in 1C010.c. 

Note 1: 1A002 does not control composite structures or laminates made from epoxy 
resin  impregnated  carbon  «fibrous  or  filamentary  materials»  for  the  repair  of 
aircraft structures or laminates, provided the size does not exceed 1 m2. 

Note 2: 1A002 does not control finished or semi-finished items specially designed for 
purely civilian applications as follows: 

a.Sporting goods; 

b.Automotive industry; 

c.Machine tool industry; 

d.Medical applications. 

1A003Manufactures of non-fluorinated polymeric substances specified in 1C008.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. 

EN 

73 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1A004Protective  and  detection  equipment  and  components,  other  than  those  specified  in 
military goods controls, as follows: 

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

a.  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; 

b.  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; 

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. 

1A005Body  armour,  and  specially  designed  components  therefor,  other  than  those 
manufactured to military standards or specifications or to their equivalents in performance. 

N.B.: SEE ALSO MILITARY GOODS CONTROLS. 

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

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

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

1A102Resaturated  pyrolized  carbon-carbon  components  designed  for  space  launch  vehicles 
specified in 9A004 or sounding rockets specified in 9A104. 

1A202Composite  structures,  other  than  those  specified  in  1A002,  in  the  form  of  tubes  and 
having both of the following characteristics: 

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

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

EN 

74 

   EN 

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

1A225Platinized 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. 

1A226Specialised  packings  which  may  be  used  in  separating  heavy  water  from  ordinary 
water, having both of the following characteristics: 

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

b. Designed to be used in vacuum distillation towers. 

1A227High-density  (lead  glass  or  other)  radiation  shielding  windows,  having  all  of  the 
following characteristics, and specially designed frames therefor: 

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

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

c. A thickness of 100 mm or greater. 

Technical Note: 

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

1BTest, Inspection and Production Equipment 

1B001Equipment for the production of fibres, prepregs, preforms or «composites» specified 
in 1A002 or 1C010, as follows, and specially designed components and accessories therefor: 

N.B.: SEE ALSO 1B101 AND 1B201. 

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

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

Note:  In  1B001.b.,  «missile»  means  complete  rocket  systems  and  unmanned  aerial 
vehicle systems. 

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

Technical Note: 

EN 

75 

   EN 

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

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

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

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

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

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

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

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

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

1B002Equipment  for  producing  metal  alloys,  metal  alloy  powder  or  alloyed  materials, 
specially  designed  to  avoid  contamination  and  specially  designed  for  use  in  one  of  the 
processes specified in 1C002.c.2. 

N.B.: SEE ALSO 1B102. 

1B003Tools,  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. 

1B101Equipment,  other  than  that  specified  in  1B001,  for  the  «production»  of  structural 
composites as follows; and specially designed components and accessories therefor: 

N.B.: SEE ALSO 1B201. 

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

a.  Filament  winding  machines  of  which  the  motions  for  positioning,  wrapping  and 
winding fibres can be coordinated and programmed in three or more axes, designed 

EN 

76 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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; 

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

d.  Equipment  designed  or  modified  for  special  fibre  surface  treatment  or  for 
producing prepregs and preforms specified in entry 9C110. 

Note:  1B101.d.  includes  rollers,  tension  stretchers,  coating  equipment,  cutting 
equipment and clicker dies. 

1B102Metal  powder  «production  equipment»,  other  than  that  specified  in  1B002,  and 
components as follows: 

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

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

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

Note: 1B102 includes: 

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

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

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

EN 

77 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
1B115Equipment,  other  than  that  specified  in  1B002  or  1B102,  for  the  production  of 
propellant  and  propellant  constituents,  as  follows,  and  specially  designed  components 
therefor: 

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

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

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

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

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

1B116Specially  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. 

1B117Batch mixers with provision for mixing under vacuum in the range of zero to 13,326 
kPa  and  with  temperature  control  capability  of  the  mixing  chamber  and  having  all  of  the 
following, and specially designed components therefor: 

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

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

1B118Continuous  mixers  with  provision  for  mixing  under  vacuum  in  the  range  of  zero  to 
13,326 kPa and with a temperature control capability of the mixing chamber having any of the 
following, and specially designed components therefor: 

a. Two or more mixing/kneading shafts; or 

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

1B119Fluid  energy  mills  usable  for  grinding  or  milling  substances  specified  in  1C011.a., 
1C011.b.,  1C111  or  in  the  Military  Goods  Controls,  and  specially  designed  components 
therefor. 

1B201Filament winding machines, other than those specified in 1B001 or 1B101, and related 
equipment, as follows: 

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

EN 

78 

   EN 

 
 
 
 
 
 
 
 
 
 
 
1.  Having  motions  for  positioning,  wrapping,  and  winding  fibres  coordinated 
and programmed in two or more axes; 

2.  Specially  designed  to  fabricate  composite  structures  or  laminates  from 
«fibrous or filamentary materials»; and 

3. Capable of winding cylindrical rotors of diameter between 75 and 400 mm 
and lengths of 600 mm or greater; 

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

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

1B225Electrolytic cells for fluorine production with an output capacity greater than 250 g of 
fluorine per hour. 

1B226Electromagnetic  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. 

1B227Ammonia 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. 

1B228Hydrogen-cryogenic distillation columns having all of the following characteristics: 

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

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

c. Constructed of either: 

1.  Stainless  steel  of  the  300  series  with  low  sulphur  content  and  with  an 
austenitic ASTM (or equivalent standard) grain size number of 5 or greater; or 

2. Equivalent materials which are both cryogenic and H2-compatible; and 

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

1B229Water-hydrogen sulphide exchange tray columns and «internal contactors», as follows: 

N.B.:  For  columns  which  are  specially  designed  or  prepared  for  the  production  of  heavy 
water see 0B004. 

a.  Water-hydrogen  sulphide  exchange  tray  columns,  having  all  of  the  following 
characteristics: 

EN 

79 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1. Can operate at pressures of 2 MPa or greater; 

2.  Constructed  of  carbon  steel  having  an  austenitic  ASTM  (or  equivalent 
standard) grain size number of 5 or greater; and 

3. With a diameter of 1,8 m or greater; 

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

Technical Note: 

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

1B230Pumps  capable  of  circulating  solutions  of  concentrated  or  dilute  potassium  amide 
catalyst in liquid ammonia (KNH2/NH3), having all of the following characteristics: 

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

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

c. Either of the following characteristics: 

1.  For  concentrated  potassium  amide  solutions  (1 %  or  greater),  an  operating 
pressure of 1,5 to 60 MPa; or 

2. For dilute potassium amide solutions (less than 1 %), an operating pressure 
of 20 to 60 MPa. 

1B231Tritium facilities or plants, and equipment therefor, as follows: 

a.  Facilities  or  plants  for  the  production,  recovery,  extraction,  concentration,  or 
handling of tritium; 

b. Equipment for tritium facilities or plants, as follows: 

1.  Hydrogen  or  helium  refrigeration  units  capable  of  cooling  to  23 K  (–
 250 °C) or less, with heat removal capacity greater than 150 W; 

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

1B232Turboexpanders  or  turboexpander-compressor  sets  having  both  of  the  following 
characteristics: 

a. Designed for operation with an outlet temperature of 35 K (– 238 °C) or less; and 

b. Designed for a throughput of hydrogen gas of 1000 kg/h or greater. 

1B233Lithium isotope separation facilities or plants, and equipment therefor, as follows: 

EN 

80 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
a. Facilities or plants 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 or lithium amalgam pumps; 

3. Lithium amalgam electrolysis cells; 

4. Evaporators for concentrated lithium hydroxide solution. 

1CMaterials 

Technical Note: 

Metals and alloys: 

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

Crude forms: 

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

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

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. 

1C001Materials  specially  designed  for  use  as  absorbers  of  electromagnetic  waves,  or 
intrinsically conductive polymers, as follows: 

N.B.: SEE ALSO 1C101. 

a. Materials for absorbing frequencies exceeding 2 × 108 Hz but less than 3 × 1012 
Hz; 

Note 1: 1C001.a. does not control: 

EN 

81 

   EN 

 
 
 
 
 
 
 
 
 
 
 
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 °C); 
or 

b.Ceramic  materials  providing  more  than  20 %  echo  compared 
with  metal  over  a  bandwidth  exceeding  ±15 %  of  the  centre 
frequency of the incident energy, and not capable of withstanding 
temperatures exceeding 800 K (527 °C); 

Technical Note: 

Absorption  test  samples  for  1C001.a.  Note:  1.c.1.  should  be  a 
square at least 5 wavelengths of the centre frequency on a side and 
positioned in the far field of the radiating element. 

2.Tensile strength less than 7 × 106 N/m2; and 

3.Compressive strength less than 14 × 106 N/m2; 

d.Planar absorbers made of sintered ferrite, having: 

1.A specific gravity exceeding 4,4; and 

2.A maximum operating temperature of 548 K (275 °C). 

Note 2: Nothing in Note 1 to 1C001.a. releases magnetic materials to provide 
absorption when contained in paint. 

b.  Materials  for  absorbing  frequencies  exceeding  1,5  ×  1014  Hz  but  less  than  3,7  × 
1014 Hz and not transparent to visible light; 

c. Intrinsically conductive polymeric materials with a «bulk electrical conductivity» 
exceeding  10000  S/m  (Siemens  per  metre)  or  a  «sheet  (surface)  resistivity»  of  less 
than 100 ohms/square, based on any of the following polymers: 

1. Polyaniline; 

2. Polypyrrole; 

EN 

82 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3. Polythiophene; 

4. Poly phenylene-vinylene; or 

5. Poly thienylene-vinylene. 

Technical Note: 

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

1C002Metal alloys, metal alloy powder and alloyed materials, as follows: 

N.B.: SEE ALSO 1C202. 

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

Technical Notes: 

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

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

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 (Kt) equal to 
1.  The  average  stress  is  defined  as  maximum  stress  minus  minimum  stress 
divided by maximum stress. 

a. Aluminides, as follows: 

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

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

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

1. Nickel alloys with: 

a. A stress-rupture life of 10000 hours or longer at 923 K (650 °C) at a 
stress of 676 MPa; or 

b. A low cycle fatigue life of 10000 cycles or more at 823 K (550 °C) at a 
maximum stress of 1,095 MPa; 

2. Niobium alloys with: 

EN 

83 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
a. A stress-rupture life of 10000 hours or longer at 1073 K (800 °C) at a 
stress of 400 MPa; or 

b. A low cycle fatigue life of 10000 cycles or more at 973 K (700 °C) at a 
maximum stress of 700 MPa; 

3. Titanium alloys with: 

a. A stress-rupture life of 10000 hours or longer at 723 K (450 °C) at a 
stress of 200 MPa; or 

b. A low cycle fatigue life of 10000 cycles or more at 723 K (450 °C) at a 
maximum stress of 400 MPa; 

4. Aluminium alloys with a tensile strength of: 

a. 240 MPa or more at 473 K (200 °C); or 

b. 415 MPa or more at 298 K (25 °C); 

5. Magnesium alloys with: 

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

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

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

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  μm  in  109  alloy 
particles; 

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

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

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

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

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

EN 

84 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
a.«Vacuum atomisation»; 

b.«Gas atomisation»; 

c.«Rotary atomisation»; 

d.«Splat quenching»; 

e.«Melt spinning» and «comminution»; 

f.«Melt extraction» and «comminution»; or 

g.«Mechanical alloying»; and 

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

d. Alloyed materials having all of the following characteristics: 

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

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

3. Produced in a controlled environment by any of the following: 

a.«Splat quenching»; 

b.«Melt spinning»; or 

c.«Melt extraction». 

1C003Magnetic  metals,  of  all  types  and  of  whatever  form,  having  any  of  the  following 
characteristics: 

a. Initial relative permeability of 120000 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 × 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 

EN 

85 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3. Any of the following: 

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

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

Technical Note: 

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

1C004Uranium  titanium  alloys  or  tungsten  alloys  with  a  «matrix»  based  on  iron,  nickel  or 
copper, having all of the following: 

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

b. An elastic limit exceeding 880 MPa; 

c. An ultimate tensile strength exceeding 1270 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 × 10-4 mm2 (6 μm in diameter for 
circular filaments); 

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

1.  A  «critical  temperature»  at  zero  magnetic  induction  exceeding  9,85  K  (–
 263,31 °C) but less than 24 K (– 249,16 °C); 

2. A cross-section area less than 0,28 × 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. 

1C006Fluids and lubricating materials, as follows: 

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

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

EN 

86 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Technical Note: 

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

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

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

c. A viscosity index of 75 or more; and 

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

2. Chlorofluorocarbons, having all of the following: 

Technical Note: 

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

a. No flash point; 

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

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

d. A viscosity index of 80 or more; and 

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

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

1.  Phenylene  or  alkylphenylene  ethers  or  thio-ethers,  or  their  mixtures, 
containing more than two ether or thio-ether functions or mixtures thereof; or 

2.  Fluorinated  silicone  fluids  with  a  kinematic  viscosity  of  less  than  5000 
mm2/s (5000 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 μm 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: 

EN 

87 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
of 

perfluoropolyalkylether-triazines 

or 

a.  Monomeric 
forms 
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 
ASTM D-92 or national equivalents; 

b.Pour  point  is  determined  using  the  method  described  in  ASTM  D-97  or  national 
equivalents; 

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

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 of M-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/mm2 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 
ASTM E-659 or national equivalents. 

1C007Ceramic 
«matrix»«composite» materials and precursor materials, as follows: 

base  materials, 

non-«composite» 

ceramic  materials, 

EN 

88 

ceramic-

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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  5000  ppm,  an  average 
particle size equal to or less than 5 μm and no more than 10 % of the particles larger 
than 10 μm; 

b. Non- «composite» ceramic materials in crude or semi-fabricated form, composed 
of borides of titanium with a density of 98 % or more of the theoretical density; 

Note: 1C007.b. does not control abrasives. 

c.  Ceramic-ceramic  «composite»  materials  with  a  glass  or  oxide-«matrix»  and 
reinforced with fibres having all of the following: 

1. Made from any of the following materials: 

a. Si-N; 

b. Si-C; 

c. Si-Al-O-N; or 

d. Si-O-N; and 

2. Having a specific tensile strength exceeding 12,7 × 103m; 

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

e. Precursor materials (i.e., special purpose polymeric or metallo-organic materials) 
for producing any phase or phases of the materials specified in 1C007.c., as follows: 

1. Polydiorganosilanes (for producing silicon carbide); 

2. Polysilazanes (for producing silicon nitride); 

3.  Polycarbosilazanes  (for  producing  ceramics  with  silicon,  carbon  and 
nitrogen components); 

f. Ceramic-ceramic «composite» materials with an oxide or glass «matrix» reinforced 
with continuous fibres from any of the following systems: 

1. Al2O3; or 

2. Si-C-N. 

Note:  1C007.f.  does  not  control  «composites»  containing  fibres  from  these  systems 
with  a  fibre  tensile  strength  of  less  than  700  MPa  at  1273  K  (1000 °C)  or  fibre 
tensile creep resistance of more than 1 % creep strain at 100 MPa load and 1273 K 
(1000 °C) for 100 hours. 

EN 

89 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1C008Non-fluorinated polymeric substances, as follows: 

a. 

1. Bismaleimides; 

2. Aromatic polyamide-imides; 

3. Aromatic polyimides; 

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

Note:  1C008.a.  does  not  control  non-fusible  compression  moulding  powders  or 
moulded forms. 

b.  Thermoplastic  liquid  crystal  copolymers  having  a  heat  distortion  temperature 
exceeding  523  K  (250 °C)  measured  according  to  ISO  75-3  (2004),  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. Not used; 

2. Polyether ketone ketone (PEKK); 

3. Polyether ketone (PEK); 

4. Polyether ketone ether ketone ketone (PEKEKK); 

d. Polyarylene ketones; 

e.  Polyarylene  sulphides,  where  the  arylene  group  is  biphenylene,  triphenylene  or 
combinations thereof; 

f. Polybiphenylenethersulphone having a glass transition temperature (Tg) exceeding 
513 K (240°C). 

EN 

90 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Technical Note: 

The  glass  transition  temperature  (Tg)  for  1C008  materials  is  determined  using  the  method 
described in ISO 11357-2 (1999) or national equivalents. 

1C009Unprocessed fluorinated compounds, as follows: 

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

b. Fluorinated polyimides containing 10 % by weight or more of combined fluorine; 

c.  Fluorinated  phosphazene  elastomers  containing  30 %  by  weight  or  more  of 
combined fluorine. 

1C010«Fibrous  or  filamentary  materials»  which  may  be  used  in  organic  «matrix»,  metallic 
«matrix» or carbon «matrix»«composite» structures or laminates, as follows: 

N.B.: SEE ALSO 1C210. 

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

1. A «specific modulus» exceeding 12,7 × 106 m; and 

2. A «specific tensile strength» exceeding 23,5 × 104 m; 

Note: 1C010.a. does not control polyethylene. 

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

1. A «specific modulus» exceeding 12,7 × 106 m; and 

2. A «specific tensile strength» exceeding 23,5 × 104 m; 

Note:  1C010.b.  does  not  control  fabric  made  from  «fibrous  or  filamentary 
materials» for the repair of aircraft structures or laminates, in which the size 
of individual sheets does not exceed 50 cm × 90 cm. 

Technical Note: 

Properties  for  materials  described  in  1C010.b.  should  be  determined  using 
SACMA recommended methods SRM 12 to 17, or national equivalent tow tests, 
such as Japanese Industrial Standard JIS-R-7601, Paragraph 6.6.2., and based 
on lot average. 

c. Inorganic «fibrous or filamentary materials», having all of the following: 

1. A «specific modulus» exceeding 2,54 × 106 m; and 

2. A melting, softening, decomposition or sublimation point exceeding 1922 K 
(1649 °C) in an inert environment; 

Note: 1C010.c. does not control: 

EN 

91 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 × 106m; 

2.Molybdenum and molybdenum alloy fibres; 

3.Boron fibres; 

4.Discontinuous  ceramic  fibres  with  a  melting,  softening,  decomposition  or 
sublimation point lower than 2043 K (1770 °C) in an inert environment. 

d.«Fibrous or filamentary materials»: 

1. Composed of any of the following: 

a. Polyetherimides specified in 1C008.a.; or 

b. Materials specified in 1C008.b. to 1C008.f.; or; 

2.  Composed  of  materials  specified  in  1C010.d.1.a.  or  1C010.d.1.b.  and 
«commingled» with other fibres specified in 1C010.a., 1C010.b. or 1C010.c.; 

e. Resin-impregnated or pitch-impregnated fibres (prepregs), metal or carbon-coated 
fibres (preforms) or «carbon fibre preforms», as follows: 

1.  Made  from  «fibrous  or  filamentary  materials»  specified  in  1C010.a., 
1C010.b. or 1C010.c.; 

2. Made from organic or carbon «fibrous or filamentary materials»: 

a. With a «specific tensile strength» exceeding 17,7 × 104 m; 

b. With a «specific modulus» exceeding 10,15 × 106 m; 

c. Not controlled by 1C010.a. or 1C010.b.; and 

d.  When  impregnated  with  materials  specified  in  1C008  or  1C009.b., 
having  a  glass  transition  temperature  (Tg)  exceeding  383  K  (110 °C)  or 
with phenolic or epoxy resins, having a glass transition temperature (Tg) 
equal to or exceeding 418 K (145 °C). 

Notes: 1C010.e. does not control: 

a.Epoxy  resin  «matrix»  impregnated  carbon  «fibrous  or  filamentary 
materials»  (prepregs)  for  the  repair  of  aircraft  structures  or  laminates, 
in which the size of individual sheets of prepreg does not exceed 50 cm × 
90 cm; 

b.Prepregs  when  impregnated  with  phenolic  or  epoxy  resins  having  a 
glass  transition  temperature  (Tg)  less  than  433  K  (160 °C)  and  a  cure 
temperature lower than the glass transition temperature. 

Technical Note: 

EN 

92 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
The  glass  transition  temperature  (Tg)  for  1C010.e.  materials  is  determined 
using the method described in ASTM D 3418 using the dry method. The glass 
transition  temperature  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. 

1C011Metals and compounds, as follows: 

N.B.: SEE ALSO MILITARY GOODS CONTROLS and 1C111. 

a. Metals in particle sizes of less than 60 μm whether spherical, atomised, spheroidal, 
flaked  or  ground,  manufactured  from  material  consisting  of  99 %  or  more  of 
zirconium, magnesium and alloys of these; 

Technical Note: 

The  natural  content  of  hafnium  in  the  zirconium  (typically  2 %  to  7 %)  is 
counted with the zirconium. 

Note: The metals or alloys listed in 1C011.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 μm or 
less; 

Note:  The  metals  or  alloys  listed  in  1C011.b.  are  controlled  whether  or  not  the 
metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium. 

c. Guanidine nitrate; 

d. Nitroguanidine (NQ) (CAS 556-88-7). 

1C012Materials as follows: 

Technical Note: 

These materials are typically used for nuclear heat sources. 

a. Plutonium in any form with a plutonium isotopic assay of plutonium-238 of more 
than 50 % by weight; 

Note: 1C012.a. does not control: 

a.Shipments with a plutonium content of 1 g or less; 

b.Shipments  of  3  «effective  grammes»  or  less  when  contained  in  a  sensing 
component in instruments. 

b.«Previously separated» neptunium-237 in any form. 

Note: 1C012.b. does not control shipments with a neptunium-237 content of 1 g or 
less. 

EN 

93 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1C101Materials  and  devices 
reflectivity, 
ultraviolet/infrared  signatures  and  acoustic  signatures,  other  than  those  specified  in  1C001, 
usable in «missiles», «missile» subsystems or unmanned aerial vehicles specified in 9A012. 

reduced  observables  such  as 

radar 

for 

Note 1: 1C101 includes: 

a.Structural  materials  and  coatings  specially  designed  for  reduced  radar 
reflectivity; 

b.Coatings,  including  paints,  specially  designed  for  reduced  or  tailored 
reflectivity or emissivity in the microwave, infrared or ultraviolet regions of the 
electromagnetic spectrum. 

Note 2: 1C101 does not include coatings when specially used for the thermal control 
of satellites. 

Technical Note: 

In  1C101  «missile»  means  complete  rocket  systems  and  unmanned  aerial  vehicle 
systems capable of a range exceeding 300 km. 

1C102Resaturated  pyrolized  carbon-carbon  materials  designed  for  space  launch  vehicles 
specified in 9A004 or sounding rockets specified in 9A104. 

1C107Graphite and ceramic materials, other than those specified in 1C007, as follows: 

a. Fine grain graphites with a bulk density of 1,72 g/cm3 or greater, measured at 288 
K (15 °C), and having a grain size of 100 μm or less, usable for rocket nozzles and 
re-entry vehicle nose tips, which can be machined to any of the following products: 

1. Cylinders having a diameter of 120 mm or greater and a length of 50 mm or 
greater; 

2. Tubes having an inner diameter of 65 mm or greater and a wall thickness of 
25 mm or greater and a length of 50 mm or greater; or 

3. Blocks having a size of 120 mm × 120 mm × 50 mm or greater; 

N.B.: See also 0C004 

b. Pyrolytic or fibrous reinforced graphites, usable for «missile» nozzles and re-entry 
vehicle nose tips; 

N.B.: See also 0C004 

c. Ceramic composite materials (dielectric constant less than 6 at any frequency from 
100 MHz to 100 GHz) usable for «missile» radomes; 

d. Bulk machinable silicon-carbide reinforced unfired ceramic, usable for «missile» 
nose tips. 

1C111Propellants  and  constituent  chemicals  for  propellants,  other  than  those  specified  in 
1C011, as follows: 

EN 

94 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
a. Propulsive substances: 

1. Spherical aluminium powder, other than that specified in the Military Goods 
Controls,  with  particles  of  uniform  diameter  of  less  than  200  μm  and  an 
aluminium  content  of  97 %  by  weight  or  more,  if  at  least  10 %  of  the  total 
weight is made up of particles of less than 63 μm, according to ISO 2591:1988 
or national equivalents; 

Technical Note: 

A particle size of 63 μm (ISO R-565) corresponds to 250 mesh (Tyler) or 230 
mesh (ASTM standard E-11). 

2.  Metal  fuels,  other  than  that  specified  in  the  Military  Goods  Controls,  in 
particle  sizes  of  less  than  60  μm,  whether  spherical,  atomised,  spheroidal, 
flaked or ground, consisting 97 % by weight or more of any of the following: 

a. Zirconium; 

b. Beryllium; 

c. Magnesium; or 

d. Alloys of the metals specified by a. to c. above; 

Technical Note: 

The  natural  content  of  hafnium  in  the  zirconium  (typically  2 %  to  7 %)  is 
counted with the zirconium. 

3. Liquid oxidiser substances as follows: 

a. Dinitrogen trioxide; 

b. Nitrogen dioxide/dinitrogen tetroxide; 

c. Dinitrogen pentoxide; 

d. Mixed Oxides of Nitrogen (MON); 

Technical Note: 

Mixed Oxides of Nitrogen (MON) are solutions of Nitric Oxide (NO) in 
Dinitrogen  Tetroxide/Nitrogen  Dioxide  (N2O4/NO2)  that  can  be  used  in 
missile systems. There are a range of compositions that can be denoted 
as  MONi  or  MONij,  where  i  and  j  are  integers  representing  the 
percentage  of  Nitric  Oxide  in  the  mixture  (e.g.,  MON3  contains  3 % 
Nitric Oxide, MON25 25 % Nitric Oxide. An upper limit is MON40, 40 % 
by weight). 

e.See  Military  Goods  Controls  for  Inhibited  Red  Fuming  Nitric  Acid 
(IRFNA); 

EN 

95 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
f.See  Military  Goods  Controls  and  1C238  for  Compounds  composed  of 
fluorine and one or more of other halogens, oxygen or nitrogen; 

4.  Hydrazine  derivatives  usable  as  rocket  fuel  substances,  other  than  those 
specified in the Military Goods Controls; 

b. Polymeric substances: 

1. Carboxy-terminated polybutadiene (CTPB); 

2. Hydroxy-terminated 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  Carboranes,  decaboranes,  pentaboranes 
and derivatives thereof; 

2. Triethylene glycol dinitrate (TEGDN); 

3. 2-Nitrodiphenylamine; 

4. Trimethylolethane trinitrate (TMETN); 

5. Diethylene glycol dinitrate (DEGDN); 

6. Ferrocene derivatives as follows: 

a.See Military Goods Controls for catocene; 

b. Ethyl ferrocene; 

c. Propyl ferrocene; 

d.See Military Goods Controls for n-butyl ferrocene; 

e. Pentyl ferrocene; 

f. Dicyclopentyl ferrocene; 

g. Dicyclohexyl ferrocene; 

h. Diethyl ferrocene; 

i. Dipropyl ferrocene; 

j. Dibutyl ferrocene; 

k. Dihexyl ferrocene; 

EN 

96 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
l. Acetyl ferrocenes; 

m.See Military Goods Controls for ferrocene Carboxylic acids; 

n.See Military Goods Controls for butacene; 

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

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

1C116Maraging 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 1,500 MPa or greater, measured at 293 K (20 °C), in the form of 
sheet, plate or tubing with a wall or plate thickness equal to or less than 5 mm. 

N.B.: SEE ALSO 1C216. 

1C117Tungsten, 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 «missile» motor components, i.e., heat shields, nozzle substrates, nozzle throats 
and thrust vector control surfaces. 

1C118Titanium-stabilised duplex stainless steel (Ti-DSS) having all of the following: 

a. Having all of the following characteristics: 

1. Containing 17,0-23,0 weight percent chromium and 4,5-7,0 weight  percent 
nickel; 

2. Having a titanium content of greater than 0,10 weight percent; and 

3.  A  ferritic-austenitic  microstructure  (also  referred  to  as  a  two-phase 
microstructure ) of which at least 10 percent is austenite by volume (according 
to ASTM E-1181-87 or national equivalents); and 

b. Having any of the following forms: 

1. Ingots or bars having a size of 100 mm or more in each dimension; 

2. Sheets having a width of 600 mm or more and a thickness of 3 mm or less; 
or 

3. Tubes having an outer diameter of 600 mm or more and a wall thickness of 3 
mm or less. 

1C202Alloys, other than those specified in 1C002.b.3. or .b.4., as follows: 

a. Aluminium alloys having both of the following characteristics: 

1.«Capable  of»  an  ultimate  tensile  strength  of  460  MPa  or  more  at  293  K 
(20 °C); and 

EN 

97 

   EN 

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

b. Titanium alloys having both of the following characteristics: 

1.«Capable  of»  an  ultimate  tensile  strength  of  900  MPa  or  more  at  293  K 
(20 °C); and 

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

Technical Note: 

The phrase alloys «capable of» encompasses alloys before or after heat treatment. 

1C210«Fibrous or filamentary materials» or prepregs, other than those specified in 1C010.a., 
b. or e., as follows: 

a. Carbon or aramid «fibrous or filamentary materials» having either of the following 
characteristics: 

1. A «specific modulus» of 12,7 × 106 m or greater; or 

2. A «specific tensile strength» of 235 × 103 m or greater; 

Note:  1C210.a.  does  not  control  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  both  of  the  following 
characteristics: 

1. A «specific modulus» of 3,18 × 106 m or greater; and 

2. A «specific tensile strength» of 76,2 × 103 m or greater; 

c.  Thermoset  resin  impregnated  continuous  «yarns»,  «rovings»,  «tows»  or  «tapes» 
with  a  width  of  15  mm  or  less  (prepregs),  made  from  carbon  or  glass  «fibrous  or 
filamentary materials» specified in 1C210.a. or b. 

Technical Note: 

The resin forms the matrix of the composite. 

Note:  In  1C210,  «fibrous  or 
«monofilaments», «yarns», «rovings», «tows» or «tapes». 

filamentary  materials» 

is  restricted 

to  continuous 

1C216Maraging  steel,  other  than  that  specified  in  1C116,  «capable  of»  an  ultimate  tensile 
strength of 2050 MPa or more, at 293 K (20 °C). 

Note:  1C216  does  not  control  forms  in  which  all  linear  dimensions  are  75  mm  or 
less. 

Technical Note: 

EN 

98 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
The phrase maraging steel «capable of» encompasses maraging steel before or after 
heat treatment. 

1C225Boron  enriched  in  the  boron-10  (10B)  isotope  to  greater  than  its  natural  isotopic 
follows:  elemental  boron,  compounds,  mixtures  containing  boron, 
abundance,  as 
manufactures thereof, waste or scrap of any of the foregoing. 

Note: In 1C225 mixtures containing boron include boron loaded materials. 

Technical Note: 

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

1C226Tungsten, tungsten carbide, and alloys containing more than 90 % tungsten by weight, 
having both of the following characteristics: 

a.  In  forms  with  a  hollow  cylindrical  symmetry  (including  cylinder  segments)  with 
an inside diameter between 100 mm and 300 mm; and 

b. A mass greater than 20 kg. 

Note:  1C226  does  not  control  manufactures  specially  designed  as  weights  or  gamma-ray 
collimators. 

1C227Calcium having both of the following characteristics: 

a. Containing less than 1000 parts per million by weight of metallic impurities other 
than magnesium; and 

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

1C228Magnesium having both of the following characteristics: 

a. Containing less than 200 parts per million by weight of metallic impurities other 
than calcium; and 

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

1C229Bismuth having both of the following characteristics: 

a. A purity of 99,99 % or greater by weight; and 

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

1C230Beryllium  metal,  alloys  containing  more  than  50 %  beryllium  by  weight,  beryllium 
compounds, manufactures thereof, and waste or scrap of any of the foregoing. 

Note: 1C230 does not control the following: 

a.Metal windows for X-ray machines, or for bore-hole logging devices; 

EN 

99 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
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. 

1C231Hafnium  metal,  alloys  containing  more  than  60 %  hafnium  by  weight,  hafnium 
compounds containing more than 60 % hafnium by weight, manufactures thereof, and waste 
or scrap of any of the foregoing. 

1C232Helium-3 (3He), mixtures containing helium-3, and products or devices containing any 
of the foregoing. 

Note: 1C232 does not control a product or device containing less than 1 g of helium-3. 

1C233Lithium  enriched  in  the  lithium-6  (6Li)  isotope  to  greater  than  its  natural  isotopic 
abundance,  and  products  or  devices  containing  enriched  lithium,  as  follows:  elemental 
lithium, alloys, compounds, mixtures containing lithium, manufactures thereof, waste or scrap 
of any of the foregoing. 

Note: 1C233 does not control thermoluminescent dosimeters. 

Technical Note: 

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

1C234Zirconium with a hafnium content of less than 1 part hafnium to 500 parts zirconium 
by  weight,  as  follows:  metal,  alloys  containing  more  than  50 %  zirconium  by  weight, 
compounds, manufactures thereof, waste or scrap of any of the foregoing. 

Note: 1C234 does not control zirconium in the form of foil having a thickness of 0,10 mm or 
less. 

1C235Tritium, tritium compounds, mixtures containing tritium in which the ratio of tritium to 
hydrogen  atoms  exceeds  1  part  in  1000,  and  products  or  devices  containing  any  of  the 
foregoing. 

Note: 1C235 does not control a product or device containing less than 1,48 × 103 GBq (40 
Ci) of tritium. 

1C236Alpha-emitting  radionuclides  having  an  alpha  half-life  of  10  days  or  greater  but  less 
than 200 years, in the following forms: 

a. Elemental; 

b. Compounds having a total alpha activity of 37 GBq/kg (1 Ci/kg) or greater; 

c. Mixtures having a total alpha activity of 37 GBq/kg (1 Ci/kg) or greater; 

d. Products or devices containing any of the foregoing. 

EN 

100 

   EN 

 
 
 
 
 
 
 
 
 
Note:  1C236  does  not  control  a  product  or  device  containing  less  than  3,7  GBq  (100 
millicuries) of alpha activity. 

1C237Radium-226  (226Ra),  radium-226  alloys,  radium-226  compounds,  mixtures  containing 
radium-226, manufactures thereof, and products or devices containing any of the foregoing. 

Note: 1C237 does not control the following: 

a.Medical applicators; 

b.A product or device containing less than 0,37 GBq (10 millicuries) of radium-226. 

1C238Chlorine trifluoride (ClF3). 

1C239High  explosives,  other  than  those  specified  in  the  Military  Goods  Controls,  or 
substances  or  mixtures  containing  more  than  2 %  by  weight  thereof,  with  a  crystal  density 
greater than 1,8 g/cm3 and having a detonation velocity greater than 8000 m/s. 

1C240Nickel  powder  and  porous  nickel  metal,  other  than  those  specified  in  0C005,  as 
follows: 

a. Nickel powder having both of the following characteristics: 

1. A nickel purity content of 99,0 % or greater by weight; and 

2.  A  mean  particle  size  of  less  than  10  micrometres  measured  by  American 
Society for Testing and Materials (ASTM) B330 standard; 

b. Porous nickel metal produced from materials specified in 1C240.a. 

Note: 1C240 does not control the following: 

a.Filamentary nickel powders; 

b.Single porous nickel sheets with an area of 1000 cm2 per sheet or less. 

Technical Note: 

1C240.b. refers to porous metal formed by compacting and sintering the materials in 
1C240.a.  to  form  a  metal  material  with  fine  pores  interconnected  throughout  the 
structure. 

1C350Chemicals, which may be used as precursors for toxic chemical agents, as follows, and 
«chemical mixtures» containing one or more thereof: 

N.B.: SEE ALSO MILITARY GOODS CONTROLS AND 1C450. 

1. Thiodiglycol (111-48-8); 

2. Phosphorus oxychloride (10025-87-3); 

3. Dimethyl methylphosphonate (756-79-6); 

EN 

101 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
4.SEE MILITARY GOODS CONTROLS FOR Methyl phosphonyl difluoride (676-99-
3); 

5. Methyl phosphonyl dichloride (676-97-1); 

6. Dimethyl phosphite (DMP) (868-85-9); 

7. Phosphorus trichloride (7719-12-2); 

8. Trimethyl phosphite (TMP) (121-45-9); 

9. Thionyl chloride (7719-09-7); 

10. 3-Hydroxy-1-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.SEE MILITARY GOODS CONTROLS FOR 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); 

EN 

102 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
29.SEE  MILITARY  GOODS  CONTROLS  FOR  O-Ethyl-2-diisopropylaminoethyl 
methyl phosphonite (QL) (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 or ammonium bifluoride (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); 

55. Methylphosphonic acid (993-13-5); 

EN 

103 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
56. Diethyl methylphosphonate (683-08-9); 

57. N,N-Dimethylaminophosphoryl dichloride (677-43-0); 

58. Triisopropyl phosphite (116-17-6); 

59.Ethyldiethanolamine (139-87-7); 

60. O,O-Diethyl phosphorothioate (2465-65-8); 

61. O,O-Diethyl phosphorodithioate (298-06-6); 

62. Sodium hexafluorosilicate (16893-85-9); 

63. Methylphosphonothioic dichloride (676-98-2). 

Note  1:  For  exports  to  «States  not  Party  to  the  Chemical  Weapons  Convention», 
1C350  does  not  control  «chemical  mixtures»  containing  one  or  more  of  the 
chemicals specified in entries 1C350.1, .3, .5, .11, .12, .13, .17, .18, .21, .22, .26, .27, 
.28,  .31,  .32,  .33,  .34,  .35,  .36,  .54,  .55,  .56,  .57  and  .63  in  which  no  individually 
specified chemical constitutes more than 10 % by the weight of the mixture. 

Note 2: For exports to «States Party to the Chemical Weapons Convention», 1C350 
does  not  control  «chemical  mixtures»  containing  one  or  more  of  the  chemicals 
specified in entries 1C350.1, .3, .5, .11, .12, .13, .17, .18, .21, .22, .26, .27, .28, .31, 
.32,  .33,  .34,  .35,  .36,  .54,  .55,  .56,  .57  and  .63  in  which  no  individually  specified 
chemical constitutes more than 30 % by the weight of the mixture. 

Note 3: 1C350 does not control «chemical mixtures» containing one or more of the 
chemicals specified in entries 1C350 .2, .6, .7, .8, .9, .10, .14, .15, .16, .19, .20, .24, 
.25, .30, .37, .38, .39, .40, .41, .42, .43, .44, .45, .46, .47, .48, .49, .50, .51, .52, .53, 
.58, .59, .60, .61 and .62 in which no individually specified chemical constitutes more 
than 30 % by the weight of the mixture. 

Note 4: 1C350 does not control products identified as consumer goods packaged for 
retail sale for personal use or packaged for individual use. 

1C351Human 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; 

4. Eastern equine encephalitis virus; 

5. Ebola virus; 

EN 

104 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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. Rift Valley fever virus; 

14. Tick-borne encephalitis virus (Russian Spring-Summer encephalitis virus); 

15. Variola virus; 

16. Venezuelan equine encephalitis virus; 

17. Western equine encephalitis virus; 

18. White pox; 

19. Yellow fever virus; 

20. Japanese encephalitis virus; 

21. Kyasanur Forest virus; 

22. Louping ill virus; 

23. Murray Valley encephalitis virus; 

24. Omsk haemorrhagic fever virus; 

25. Oropouche virus; 

26. Powassan virus; 

27. Rocio virus; 

28. St Louis encephalitis virus; 

29. Hendra virus (Equine morbillivirus); 

30. South American haemorrhagic fever (Sabia, Flexal, Guanarito); 

31. Pulmonary & renal syndrome-haemorrhagic fever viruses (Seoul, Dobrava, 
Puumala, Sin Nombre); 

32. Nipah virus. 

EN 

105 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
b. 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; 

c.  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. Salmonella typhi; 

11. Shigella dysenteriae; 

12. Vibrio cholerae; 

13. Yersinia pestis; 

14. Clostridium perfringens epsilon toxin producing types; 

15.  Enterohaemorrhagic  Escherichia  coli,  serotype  O157  and  other  verotoxin 
producing serotypes. 

d.«Toxins», as follows, and «sub-unit of toxins» thereof: 

1. Botulinum toxins; 

2. Clostridium perfringens toxins; 

EN 

106 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3. Conotoxin; 

4. Ricin; 

5. Saxitoxin; 

6. Shiga toxin; 

7. Staphylococcus aureus toxins; 

8. Tetrodotoxin; 

9. Verotoxin; 

10. Microcystin (Cyanginosin); 

11. Aflatoxins; 

12. Abrin; 

13. Cholera toxin; 

14. Diacetoxyscirpenol toxin; 

15. T-2 toxin; 

16. HT-2 toxin; 

17. Modeccin; 

18. Volkensin; 

19. Viscum album Lectin 1 (Viscumin). 

Note:  1C351.d.  does  not  control  botulinum  toxins  or  conotoxins  in  product  form 
meeting all of the following criteria: 

1.Are  pharmaceutical  formulations  designed  for  human  administration  in  the 
treatment of medical conditions; 

2.Are pre-packaged for distribution as medical products; 

3.Are authorised by a state authority to be marketed as medical products. 

Note: 1C351 does not control «vaccines» or «immunotoxins». 

1C352Animal pathogens, 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. African swine fever virus; 

EN 

107 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
2. Avian influenza virus, which are: 

a. Uncharacterised; or 

b.  Defined  in  EC  Directive  92/40/EC  (OJ  L  16,  23.1.1992,  p.  19)  as 
having high pathogenicity, as follows: 

1. Type A viruses with an IVPI  (intravenous pathogenicity index) 
in 6-week-old chickens of greater than 1,2; or 

2.  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. Peste des petits ruminants virus; 

11. Porcine enterovirus type 9 (swine vesicular disease virus); 

12. Rinderpest virus; 

13. Sheep pox virus; 

14. Teschen disease virus; 

15. Vesicular stomatitis virus; 

16. Lumpy skin disease virus; 

17. African horse sickness 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. 

Note: 1C352 does not control «vaccines». 

1C353Genetic elements and genetically modified organisms, as follows: 

EN 

108 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
a.  Genetically  modified  organisms  or  genetic  elements  that  contain  nucleic  acid 
sequences associated with pathogenicity of organisms specified in 1C351.a. to c. or 
1C352 or 1C354; 

b.  Genetically  modified  organisms  or  genetic  elements  that  contain  nucleic  acid 
sequences  coding  for  any  of  the  «toxins»  specified  in  1C351.d.  or  «sub-units  of 
toxins» thereof. 

Technical Notes: 

1.  Genetic  elements  include,  inter  alia,  chromosomes,  genomes,  plasmids, 
transposons and vectors whether genetically modified or unmodified. 

2.  Nucleic  acid  sequences  associated  with  the  pathogenicity  of  any  of  the 
micro-organisms  specified  in  1C351.a.  to  c.  or  1C352  or  1C354  means  any 
sequence specific to the specified micro-organism that: 

a.  In  itself  or  through  its  transcribed  or  translated  products  represents  a 
significant hazard to human, animal or plant health; or 

b. Is known to enhance the ability of a specified micro-organism, or any 
other organism into which it may be inserted or otherwise integrated, to 
cause serious harm to humans, animals or plant health. 

Note:  1C353  does  not  apply  to  nucleic  acid  sequences  associated  with  the 
pathogenicity  of  enterohaemorrhagic  Escherichia  coli,  serotype  O157  and  other 
verotoxin producing strains, other than those coding for the verotoxin, or for its sub-
units. 

1C354Plant pathogens, 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. Potato Andean latent tymovirus; 

2. Potato spindle tuber viroid; 

b.  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.  citri  including  strains  referred 
to  as 
Xanthomonas  campestris  pv.  citri  types  A,B,C,D,E  or  otherwise  classified  as 
Xanthomonas citri, Xanthomonas campestris pv. aurantifolia or Xanthomonas 
campestris pv. citrumelo; 

3. Xanthomonas oryzae pv. Oryzae (Pseudomonas campestris pv. Oryzae); 

EN 

109 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
4.  Clavibacter  michiganensis 
michiganensis subsp. Sepedonicum or Corynebacterium Sepedonicum); 

subsp.  Sepedonicus 

(Corynebacterium 

5. Ralstonia solanacearum Races 2 and 3 (Pseudomonas solanacearum Races 2 
and 3 or Burkholderia solanacearum Races 2 and 3); 

c. 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); 

4. Puccinia graminis (syn. Puccinia graminis f. sp. tritici); 

5. Puccinia striiformis (syn. Puccinia glumarum); 

6. Magnaporthe grisea (pyricularia grisea/pyricularia oryzae). 

1C450Toxic  chemicals  and  toxic  chemical  precursors,  as  follows,  and  «chemical  mixtures» 
containing one or more thereof: 

N.B.: SEE ALSO ENTRY 1C350, 1C351.d. AND MILITARY GOODS CONTROLS. 

a. Toxic chemicals, as follows: 

1.  Amiton:  O,O-Diethyl  S-[2-(diethylamino)  ethyl]  phosphorothiolate  (78-53-
5) and corresponding alkylated or protonated salts; 

2. PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-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); 

Note  1:  For  exports  to  «States  not  Party  to  the  Chemical  Weapons 
Convention»,  1C450  does  not  control  «chemical  mixtures»  containing  one  or 
more  of  the  chemicals  specified  in  entries  1C450.a.1.  and  .a.2.  in  which  no 
individually specified chemical constitutes more than 1 % by the weight of the 
mixture. 

Note  2:  For  exports  to  «States  Party  to  the  Chemical  Weapons  Convention», 
1C450  does  not  control  «chemical  mixtures»  containing  one  or  more  of  the 

EN 

110 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
chemicals  specified  in  entries  1C450.a.1.  and  .a.2.  in  which  no  individually 
specified chemical constitutes more than 30 % by the weight of the mixture. 

Note 3: 1C450 does not control «chemical mixtures» containing one or more of 
the chemicals specified in entries 1C450.a.4., .a.5., .a.6. and .a.7. in which no 
individually specified chemical constitutes more than 30 % by the weight of the 
mixture. 

b. Toxic chemical 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; 

Note: 
ethylphosphonothiolothionate (944-22-9); 

1C450.b.1. 

does 

not 

control  Fonofos:  O-Ethyl 

S-phenyl 

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 
than  N,N-Diisopropyl-(beta)-
aminoethanol  (96-80-0)  and  N,N-Diethylaminoethanol  (100-37-8)  which  are 
specified in 1C350; 

protonated 

other 

salts, 

Note: 1C450.b.5. does not control the following: 

a.N,N-Dimethylaminoethanol  (108-01-0)  and  corresponding  protonated 
salts; 

b.Protonated salts of N,N-Diethylaminoethanol (100-37-8); 

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.See 1C350 for ethyldiethanolamine (139-87-7); 

8. Methyldiethanolamine (105-59-9). 

Note  1:  For  exports  to  «States  not  Party  to  the  Chemical  Weapons 
Convention»,  1C450  does  not  control  «chemical  mixtures»  containing  one  or 
more  of  the  chemicals  specified  in  entries  1C450.b.1.,  .b.2.,  .b.3.,  .b.4.,  .b.5. 

EN 

111 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
and  .b.6.  in  which  no  individually  specified  chemical  constitutes  more  than 
10 % by the weight of the mixture. 

Note  2:  For  exports  to  «States  Party  to  the  Chemical  Weapons  Convention», 
1C450  does  not  control  «chemical  mixtures»  containing  one  or  more  of  the 
chemicals  specified  in  entries  1C450.b.1.,  .b.2.,  .b.3.,  .b.4.,  .b.5.  and  .b.6.  in 
which  no  individually  specified  chemical  constitutes  more  than  30 %  by  the 
weight of the mixture. 

Note 3: 1C450 does not control «chemical mixtures» containing one or more of 
the chemicals specified in entry 1C450.b.8. in which no individually specified 
chemical constitutes more than 30 % by the weight of the mixture. 

Note: 1C450 does not control products identified as consumer goods packaged for retail sale 
for personal use or packaged for individual use. 

1DSoftware 

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 or modified for the «use» of goods specified in 1B101, 
1B102, 1B115, 1B117, 1B118 or 1B119. 

1D103«Software»  specially  designed  for  analysis  of  reduced  observables  such  as  radar 
reflectivity, ultraviolet/infrared signatures and acoustic signatures. 

1D201«Software» specially designed for the «use» of goods specified in 1B201. 

1ETechnology 

1E001«Technology»  according  to  the  General  Technology  Note  for  the  «development»  or 
«production»  of  equipment  or  materials  specified  in  1A001.b.,  1A001.c.,  1A002  to  1A005, 
1B or 1C. 

1E002Other «technology», as follows: 

a.«Technology»  for  the  «development»  or  «production»  of  polybenzothiazoles  or 
polybenzoxazoles; 

b.«Technology»  for 
compounds containing at least one vinylether monomer; 

the  «development»  or  «production»  of  fluoroelastomer 

c.«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: 

EN 

112 

   EN 

 
 
 
 
 
 
 
 
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: 

1.1000 ppm for single oxides or carbides; or 

2.5000 ppm for complex compounds or single nitrides; and 

c. Being any of the following: 

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

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

3. Having all of the following: 

a. Platelets with a length to thickness ratio exceeding 5; 

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

c. Continuous or chopped fibres less than 10 μm 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.«Technology»  for  the  installation,  maintenance  or  repair  of  materials  specified  in 
1C001; 

f.«Technology»  for  the  repair  of  «composite»  structures,  laminates  or  materials 
specified in 1A002, 1C007.c. or 1C007.d. 

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

EN 

113 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1E101«Technology»  according  to  the  General  Technology  Note  for  the  «use»  of  goods 
specified in 1A102, 1B001, 1B101, 1B102, 1B115 to 1B119, 1C001, 1C101, 1C107, 1C111 
to 1C117, 1D101 or 1D103. 

1E102«Technology»  according  to  the  General  Technology  Note  for  the  «development»  of 
«software» specified in 1D001, 1D101 or 1D103. 

1E103«Technology» for the regulation of temperature, pressure or atmosphere in autoclaves 
or  hydroclaves,  when  used  for  the  «production»  of  «composites»  or  partially  processed 
«composites». 

1E104«Technology» relating to the «production» of pyrolytically derived materials formed on 
a  mould,  mandrel  or  other  substrate  from  precursor  gases  which  decompose  in  the  1573  K 
(1300 °C) to 3173 K (2900 °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, 1C002.b.3. or b. 4., 
1C010.b., 1C202, 1C210, 1C216, 1C225 to 1C240 or 1D201. 

1E202«Technology»  according  to  the  General  Technology  Note  for  the  «development»  or 
«production» of goods specified in 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 

2ASystems, Equipment and Components 

N.B.: For quiet running bearings, see the Military Goods Controls 

2A001Anti-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  all  tolerances  specified  by  the 
manufacturer  in  accordance  with  ISO  492  Tolerance  Class  4  (or  ANSI/ABMA  Std 
20 Tolerance Class ABEC-7 or RBEC-7, or other national equivalents), or better, and 
having both rings and rolling elements (ISO 5593) made from monel or beryllium; 

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

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

EN 

114 

   EN 

 
 
 
 
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. All-electromagnetic 3D homopolar bias designs for actuators; or 

3. High temperature (450 K (117 °C) and above) position sensors. 

2A225Crucibles made of materials resistant to liquid actinide metals, as follows: 

a. Crucibles having both of the following characteristics: 

1. A volume of between 150 cm3 and 8000 cm3; and 

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

a. Calcium fluoride (CaF2); 

b. Calcium zirconate (metazirconate) (CaZrO3); 

c. Cerium sulphide (Ce2S3); 

d. Erbium oxide (erbia) (Er2O3); 

e. Hafnium oxide (hafnia) (HfO2); 

f. Magnesium oxide (MgO); 

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

h. Yttrium oxide (yttria) (Y2O3); or 

i. Zirconium oxide (zirconia) (ZrO2); 

b. Crucibles having both of the following characteristics: 

1. A volume of between 50 cm3 and 2000 cm3; and 

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

c. Crucibles having all of the following characteristics: 

1. A volume of between 50 cm3 and 2000 cm3; 

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

EN 

115 

   EN 

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

2A226Valves having all of the following characteristics: 

a. A «nominal size» of 5 mm or greater; 

b. Having a bellows seal; and 

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

Technical Note: 

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

2BTest, 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. 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). 

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

a.Wheel-dressing systems in grinding machines; 

b.Parallel rotary axes designed for mounting of separate workpieces; 

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

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

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

5.Stated positioning accuracy levels derived from measurements made according to 
ISO 230/2 (1988)10 or national equivalents may be used for each machine tool model 
instead of individual machine tests. Stated positioning accuracy means the accuracy 

10 

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

EN 

116 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
value  provided  to  the  competent  authorities  of  the  Member  State  in  which  the 
exporter is established as representative of the accuracy of a machine model. 

Determination of Stated Values 

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

b.Measure the linear axis accuracies according to ISO 230/2 (1988)11; 

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

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

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

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

2B001Machine tools and any combination thereof, for removing (or cutting) metals, ceramics 
or  «composites»,  which,  according  to  the  manufacturer’s  technical  specification,  can  be 
equipped with electronic devices for «numerical control», and specially designed components 
as follows: 

N.B.: SEE ALSO 2B201. 

Note  1:  2B001  does  not  control  special  purpose  machine  tools  limited  to  the 
manufacture of gears. For such machines see 2B003. 

Note  2:  2B001  does  not  control  special  purpose  machine  tools  limited  to  the 
manufacture of any of the following parts: 

a.Crankshafts or camshafts; 

b.Tools or cutters; 

c.Extruder worms; 

d.Engraved or facetted jewellery parts. 

Note 3: A machine tool having at least two of the three turning, milling or grinding 
capabilities  (e.g.,  a  turning  machine  with  milling  capability),  must  be  evaluated 
against each applicable entry 2B001.a., b. or c. 

a. Machine tools for turning, having all of the following characteristics: 

11 

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

EN 

117 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
1.  Positioning  accuracy  with  «all  compensations  available»  equal  to  or  less 
(better)  than  6  μm  according  to  ISO  230/2  (1988)12  or  national  equivalents 
along any linear axis; and 

2. Two or more axes which can be coordinated simultaneously for «contouring 
control»; 

Note:  2B001.a.  does  not  control  turning  machines  specially  designed  for  the 
production of contact lenses. 

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

1. Having all of the following: 

a.  Positioning  accuracy  with  «all  compensations  available»  equal  to  or 
less  (better)  than  6  μm  according  to  ISO  230/2  (1988)13  or  national 
equivalents along any linear axis; and 

b.  Three  linear  axes  plus  one  rotary  axis  which  can  be  coordinated 
simultaneously for «contouring control»; 

2. Five or more axes which can be coordinated simultaneously for «contouring 
control»; 

3.  A  positioning  accuracy  for  jig  boring  machines,  with  all  «compensations 
available», equal to or less (better) than 4 μm according to ISO 230/2 (1988)14 
or national equivalents along any linear axis; or 

4. Fly cutting machines, having all of the following characteristics: 

a.  Spindle«run-out»  and  «camming»  less  (better)  than  0,0004  mm  TIR; 
and 

b. Angular deviation of slide movement (yaw, pitch and roll) less (better) 
than 2 seconds of arc, TIR over 300 mm of travel. 

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

1. Having all of the following: 

a.  Positioning  accuracy  with  «all  compensations  available»  equal  to  or 
less  (better)  than  4  μm  according  to  ISO  230/2  (1988)15  or  national 
equivalents along any linear axis; and 

12 

13 

14 

15 

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

EN 

118 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
b.  Three  or  more  axes  which  can  be  coordinated  simultaneously  for 
«contouring control»; or 

2. Five or more axes which can be coordinated simultaneously for «contouring 
control»; 

Note: 2B001.c. does not control grinding machines, as follows: 

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

a.Limited to cylindrical grinding; and 

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

2.Machines designed specifically as jig grinders that do not have a z-axis or a 
w-axis,  with  a  positioning  accuracy  with  «all  compensations  available»  less 
(better) than 4 μm according to ISO 230/2 (1988)16 or national equivalents. 

3.Surface grinders. 

d.  Electrical  discharge  machines  (EDM)  of  the  non-wire  type  which  have  two  or 
more rotary axes which can be coordinated simultaneously for «contouring control»; 

e.  Machine  tools  for  removing  metals,  ceramics  or  «composites»  having  all  of  the 
following characteristics: 

1. Removing material by means of any of the following: 

a.  Water  or  other  liquid  jets,  including  those  employing  abrasive 
additives; 

b. Electron beam; or 

c.«Laser» beam; and 

2. Having two or more rotary axes which: 

a. Can be coordinated simultaneously for «contouring control»; and 

b. 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  5000 mm  and  specially 
designed components therefor. 

16 

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

EN 

119 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
2B002Numerically  controlled  machine  tools  using  a  magnetorheological  finishing  (MRF) 
process  equipped  to  produce  non-spherical  surfaces  and  having  any  of  the  following 
characteristics: 

a. Finishing the form to less (better) than 1.0 μm; or 

b. Finishing to a roughness less (better) than 100 nm rms. 

Technical Note: 

For the purposes of 2B002, MRF is a material removal process using an abrasive magnetic 
fluid whose viscosity is controlled by a magnetic field. 

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 (Rc = 40 or more) spur, helical and double-helical gears with a 
pitch  diameter  exceeding  1250 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 class 3). 

2B004Hot«isostatic presses», having all of the following, and specially designed components 
and accessories therefor: 

N.B.: SEE ALSO 2B104 and 2B204. 

a. A controlled thermal environment within the closed cavity and a chamber cavity 
with an inside diameter of 406 mm or more; and 

b. Any of the following: 

1. A maximum working pressure exceeding 207 MPa; 

2. A controlled thermal environment exceeding 1773 K (1500 °C); or 

3.  A  facility  for  hydrocarbon  impregnation  and  removal  of  resultant  gaseous 
degradation products. 

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. 

N.B.:  For  specially  designed  dies,  moulds  and  tooling  see  1B003,  9B009  and  the 
Military Goods Controls. 

2B005Equipment 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: 

EN 

120 

   EN 

 
 
 
 
 
 
 
 
 
 
a.  Chemical  vapour  deposition  (CVD)  production  equipment  having  all  of  the 
following: 

N.B.: SEE ALSO 2B105. 

1. Process modified for one of the following: 

a. Pulsating CVD; 

b. Controlled nucleation thermal deposition (CNTD); or 

c. Plasma enhanced or plasma assisted CVD; and 

2. Any of the following: 

a.  Incorporating  high  vacuum  (equal  to  or  less  than  0.01 Pa)  rotating 
seals; or 

b. Incorporating in situ coating thickness control; 

b. Ion implantation production equipment having beam currents of 5 mA or more; 

c.  Electron  beam  physical  vapour  deposition  (EB-PVD)  production  equipment 
incorporating power systems rated for over 80 kW, having any of the following: 

1.  A  liquid  pool  level  «laser»  control  system  which  regulates  precisely  the 
ingots feed rate; or 

2.  A  computer  controlled  rate  monitor  operating  on  the  principle  of  photo-
luminescence  of  the  ionised  atoms  in  the  evaporant  stream  to  control  the 
deposition rate of a coating containing two or more elements; 

d. Plasma spraying production equipment having any of the following characteristics: 

1.  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 

2. Incorporating in situ coating thickness control; 

e.  Sputter  deposition  production  equipment  capable  of  current  densities  of 
0,1 mA/mm2 or higher at a deposition rate of 15 μm/h or more; 

f.  Cathodic  arc  deposition  production  equipment 
electromagnets for steering control of the arc spot on the cathode; 

incorporating  a  grid  of 

g. Ion plating production equipment allowing for the in situ measurement of any of 
the following: 

1. Coating thickness on the substrate and rate control; or 

2. Optical characteristics. 

EN 

121 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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. 

2B006Dimensional inspection or measuring systems, equipment, and «electronic assemblies», 
as follows: 

a. Computer controlled or «numerically controlled» co-ordinate measuring machines 
(CMM),  having  a  three  dimensional  (volumetric)  maximum  permissible  error  of 
indication (MPEE) at any point within the operating range of the machine (i.e., within 
the length of axes) equal to or less (better) than (1,7 + L/1000) μm (L is the measured 
length in mm), tested according to ISO 10360-2 (2001); 

N.B.: SEE ALSO 2B206. 

b. Linear and angular displacement measuring instruments, as follows: 

1. Linear displacement measuring instruments having any of the following: 

Technical Note: 

For  the  purpose  of  2B006.b.1.  «linear  displacement»  means  the  change  of 
distance between the measuring probe and the measured object. 

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

b.  Linear  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. A «resolution» over their full scale of 0,1 μm or less (better); and 

b.  A  «measurement  uncertainty»  equal  to  or  less  (better)  than 
(0,2 + L/2000) μm (L is the measured length in mm); 

d.«Electronic  assemblies»  specially  designed  to  provide  feedback 
capability in systems specified in 2B006.b.1.c.; 

Note:  2B006.b.1.  does  not  control  measuring  interferometer  systems,  with  an 
automatic  control  system  that  is  designed  to  use  no  feedback  techniques, 

EN 

122 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
containing  a  «laser»  to  measure  slide  movement  errors  of  machine-tools, 
dimensional inspection machines or similar equipment. 

2.  Angular  displacement  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  (e.g.  laser  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). 

Note: 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. 

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; 

Technical 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.  Specially  designed  to  comply  with  national  safety  standards  applicable  to 
explosive munitions environments; 

c.  Specially  designed  or  rated  as  radiation-hardened  to  withstand  a  total  radiation 
dose greater than 5 × 103 Gy (silicon) without operational degradation; or 

Technical Note: 

The  term  Gy(silicon)  refers  to  the  energy  in  Joules  per  kilogram  absorbed  by  an 
unshielded silicon sample when exposed to ionising radiation. 

d. Specially designed to operate at altitudes exceeding 30000 m. 

2B008Assemblies or units, specially designed for machine tools, or dimensional inspection or 
measuring systems and equipment, 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 × L × 10 –3)) nm (L equals the effective length in mm); 

N.B.: For «laser» systems see also Note to 2B006.b.1. 

EN 

123 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
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°; 

N.B.: For «laser» systems see also Note to 2B006.b.1. 

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. 

2B009Spin-forming  machines  and  flow-forming  machines,  which,  according 
the 
manufacturer's  technical  specification,  can  be  equipped  with  «numerical  control»  units  or  a 
computer control and having all of the following: 

to 

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 

b. A roller force more than 60 kN. 

Technical Note: 

Machines  combining  the  function  of  spin-forming  and  flow-forming  are  for  the 
purpose of 2B009 regarded as flow-forming machines. 

2B104«Isostatic presses», other than those specified in 2B004, having all of the following: 

N.B.: SEE ALSO 2B204. 

a. Maximum working pressure of 69 MPa or greater;; 

b.  Designed  to  achieve  and  maintain  a  controlled  thermal  environment  of  873 K 
(600 °C) or greater; and 

c. Possessing a chamber cavity with an inside diameter of 254 mm or greater. 

2B105Chemical  vapour  deposition  (CVD)  furnaces,  other  than  those  specified  in  2B005.a., 
designed or modified for the densification of carbon-carbon composites. 

2B109Flow-forming  machines,  other  than  those  specified  in  2B009,  and  specially  designed 
components as follows: 

N.B.: SEE ALSO 2B209. 

a. Flow-forming machines having all of the following: 

1.  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 

2.  With  more  than  two  axes  which  can  be  coordinated  simultaneously  for 
«contouring control». 

EN 

124 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
b. Specially designed components for flow-forming machines specified in 2B009 or 
2B109.a. 

Note:  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. 

Technical Note: 

Machines  combining  the  function  of  spin-forming  and  flow-forming  are  for  the 
purpose of 2B109 regarded as flow-forming machines. 

2B116Vibration test systems, equipment and components therefor, as follows: 

a.  Vibration  test  systems  employing  feedback  or  closed  loop  techniques  and 
incorporating  a  digital  controller,  capable  of  vibrating  a  system  at  an  acceleration 
equal  to  or  greater  than  10 g  rms  between  20 Hz  and  2  kHz  and  imparting  forces 
equal to or greater than 50 kN, measured «bare table»; 

b. Digital controllers, combined with specially designed vibration test software, with 
a  «real  time  bandwidth»  greater  than  5 kHz  designed  for  use  with  vibration  test 
systems specified in 2B116.a.; 

c. Vibration thrusters (shaker units), with or without associated amplifiers, capable of 
imparting a force equal to or greater than 50 kN, measured «bare table», and usable 
in vibration test systems specified in 2B116.a.; 

d.  Test  piece  support  structures  and  electronic  units  designed  to  combine  multiple 
shaker units in a system capable of providing an effective combined force equal to or 
greater than 50 kN, measured «bare table», and usable in vibration systems specified 
in 2B116.a. 

Technical Note: 

In 2B116, «bare table» means a flat table, or surface, with no fixture or fittings. 

2B117Equipment and process controls, other than those specified in 2B004, 2B005.a., 2B104 
or 2B105, designed or modified for densification and pyrolysis of structural composite rocket 
nozzles and re-entry vehicle nose tips. 

2B119Balancing machines and related equipment, as follows: 

N.B.: SEE ALSO 2B219. 

a. Balancing machines having all the following characteristics: 

1. Not capable of balancing rotors/assemblies having a mass greater than 3 kg; 

2. Capable of balancing rotors/assemblies at speeds greater than 12500 rpm; 

3. Capable of correcting unbalance in two planes or more; and 

EN 

125 

   EN 

 
 
 
 
 
 
 
 
 
 
 
4. Capable of balancing to a residual specific unbalance of 0,2 g mm per kg of 
rotor mass; 

Note: 2B119.a. does not control balancing machines designed or modified for dental 
or other medical equipment. 

b. Indicator heads designed or modified for use with machines specified in 2B119.a. 

Technical Note: 

Indicator heads are sometimes known as balancing instrumentation. 

2B120Motion simulators or rate tables having all of the following characteristics: 

a. Two axes or more; 

b. Slip rings capable of transmitting electrical power and/or signal information; and 

c. Having any of the following characteristics: 

1. For any single axis having all of the following: 

a. Capable of rates of 400 degrees/s or more, or 30 degrees/s or less; and 

b.  A  rate  resolution  equal  to  or  less  than  6  degrees/s  and  an  accuracy 
equal to or less than 0,6 degrees/s; 

2. Having a worst-case rate stability equal to or better (less) than plus or minus 
0,05 % averaged over 10 degrees or more; or 

3. A positioning accuracy equal to or better than 5 arc second. 

Note:  2B120  does  not  control  rotary  tables  designed  or  modified  for  machine  tools  or  for 
medical equipment. For controls on machine tool rotary tables see 2B008. 

2B121Positioning tables (equipment capable of precise rotary positioning in any axes), other 
than those specified in 2B120, having all the following characteristics: 

a. Two axes or more; and 

b. A positioning accuracy equal to or better than 5 arc second. 

Note:  2B121  does  not  control  rotary  tables  designed  or  modified  for  machine  tools  or  for 
medical equipment. For controls on machine tool rotary tables see 2B008. 

2B122Centrifuges  capable  of  imparting  accelerations  above  100 g  and  having  slip  rings 
capable of transmitting electrical power and signal information. 

2B201Machine  tools  and  any  combination  thereof,  other  than  those  specified  in  2B001,  as 
follows,  for  removing  or  cutting  metals,  ceramics  or  «composites»,  which,  according  to  the 
manufacturer’s  technical  specification,  can  be  equipped  with  electronic  devices  for 
simultaneous «contouring control» in two or more axes: 

EN 

126 

   EN 

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

1.  Positioning  accuracies  with  «all  compensations  available»  equal  to  or  less 
(better)  than  6  μm  according  to  ISO  230/2  (1988)17  or  national  equivalents 
along any linear axis; or 

2. Two or more contouring rotary axes; 

Note:  2B201.a.  does  not  control  milling  machines  having  the  following 
characteristics: 

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

b.Overall positioning accuracy on the x-axis more (worse) than 30 μm. 

b.  Machine 
characteristics: 

tools 

for  grinding,  having  any  of 

the 

following 

1.  Positioning  accuracies  with  «all  compensations  available»  equal  to  or  less 
(better)  than  4  μm  according  to  ISO  230/2  (1988)18  or  national  equivalents 
along any linear axis; or 

2. Two or more contouring rotary axes. 

Note: 2B201.b. does not control the following grinding machines: 

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

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

2.Axes limited to x, z and c; 

b.Jig grinders that do not have a z-axis or a w-axis with an overall positioning 
accuracy less (better) than 4 μm according to ISO 230/2 (1988)19 or national 
equivalents. 

Note  1:  2B201  does  not  control  special  purpose  machine  tools  limited  to  the 
manufacture of any of the following parts: 

a.Gears; 

b.Crankshafts or camshafts; 

c.Tools or cutters; 

17 

18 

19 

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

EN 

127 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
d.Extruder worms. 

Note 2: A machine tool having at least two of the three turning, milling or grinding 
capabilities  (e.g.,  a  turning  machine  with  milling  capability),  must  be  evaluated 
against each applicable entry 2B001.a. or 2B201.a. or b. 

2B204«Isostatic  presses»,  other  than  those  specified  in  2B004  or  2B104,  and  related 

equipment, as follows: 

a.«Isostatic presses» having both of the following characteristics: 

1.  Capable  of  achieving  a  maximum  working  pressure  of  69 MPa  or  greater; 
and 

2. A chamber cavity with an inside diameter in excess of 152 mm; 

b. Dies, moulds and controls, specially designed for «isostatic presses» specified in 
2B204.a. 

Technical Note: 

In  2B204  the  inside  chamber  dimension  is  that  of  the  chamber  in  which  both  the  working 
temperature  and  the  working  pressure  are  achieved  and  does  not  include  fixtures.  That 
dimension  will  be  the  smaller  of  either  the  inside  diameter  of  the  pressure  chamber  or  the 
inside diameter of the insulated furnace chamber, depending on which of the two chambers is 
located inside the other. 

2B206Dimensional inspection machines, instruments or systems, other than those specified in 
2B006, as follows: 

a.  Computer  controlled  or  numerically  controlled  dimensional  inspection  machines 
having both of the following characteristics: 

1. Two or more axes; and 

2.  A  one-dimensional  length  «measurement  uncertainty»  equal  to  or  less 
(better) than (1,25 + L/1000) μm tested with a probe of an «accuracy» of less 
(better) than 0,2 μm (L is the measured length in millimetres) (Ref.: VDI/VDE 
2617 Parts 1 and 2); 

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

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

2.«Angular position deviation» equal to or less than 0,02°. 

Note 1: Machine tools that can be used as measuring machines are controlled if they 
meet or exceed the criteria specified for the machine tool function or the measuring 
machine function. 

EN 

128 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
Note 2: A machine specified in 2B206 is controlled if it exceeds the control threshold 
anywhere within its operating range. 

Technical Notes: 

1.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. 

2.All parameters of measurement values in 2B206 represent plus/minus i.e., not 
total band. 

2B207«Robots»,  «end-effectors»  and  control  units,  other  than  those  specified  in  2B007,  as 
follows: 

a.«Robots»  or  «end-effectors»  specially  designed  to  comply  with  national  safety 
standards  applicable  to  handling  high  explosives  (for  example,  meeting  electrical 
code ratings for high explosives); 

b.  Control  units  specially  designed  for  any  of  the  «robots»  or  «end-effectors» 
specified in 2B207.a. 

2B209Flow  forming  machines,  spin  forming  machines  capable  of  flow  forming  functions, 
other than those specified in 2B009 or 2B109, and mandrels, as follows: 

a. Machines having both of the following characteristics: 

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

2.  Which,  according  to  the  manufacturer's  technical  specification,  can  be 
equipped with «numerical control» units or a computer control; 

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

Note: 2B209.a. includes machines which have only a single roller designed to deform metal 
plus  two  auxiliary  rollers  which  support  the  mandrel,  but  do  not  participate  directly  in  the 
deformation process. 

2B219Centrifugal multiplane balancing machines, fixed or portable, horizontal or vertical, as 
follows: 

a.  Centrifugal  balancing  machines  designed  for  balancing  flexible  rotors  having  a 
length of 600 mm or more and having all of the following characteristics: 

1. Swing or journal diameter greater than 75 mm; 

2. Mass capability of from 0,9 to 23 kg; and 

3. Capable of balancing speed of revolution greater than 5000 r.p.m.; 

b.  Centrifugal  balancing  machines  designed  for  balancing  hollow  cylindrical  rotor 
components and having all of the following characteristics: 

EN 

129 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1. Journal diameter greater than 75 mm; 

2. Mass capability of from 0,9 to 23 kg; 

3. Capable of balancing to a residual imbalance equal to or less than 0,01 kg × 
mm/kg per plane; and 

4. Belt drive type. 

2B225Remote  manipulators  that  can  be  used  to  provide  remote  actions  in  radiochemical 
separation operations or hot cells, having either of the following characteristics: 

a.  A  capability  of  penetrating  0,6 m  or  more  of  hot  cell  wall  (through-the-wall 
operation); or 

b. A capability of bridging over the top of a hot cell wall with a thickness of 0,6 m or 
more (over-the-wall operation). 

Technical Note: 

Remote  manipulators  provide  translation  of  human  operator  actions  to  a  remote 
operating arm and terminal fixture. They may be of «master/slave» type or operated 
by joystick or keypad. 

2B226Controlled  atmosphere  (vacuum  or  inert  gas)  induction  furnaces,  and  power  supplies 
therefor, as follows: 

N.B.: SEE ALSO 3B. 

a. Furnaces having all of the following characteristics: 

1. Capable of operation above 1123 K (850 °C); 

2. Induction coils 600 mm or less in diameter; and 

3. Designed for power inputs of 5 kW or more; 

b. Power supplies, with a specified power output of 5 kW or more, specially designed 
for furnaces specified in 2B226.a. 

Note:  2B226.a.  does  not  control  furnaces  designed  for  the  processing  of  semiconductor 
wafers. 

2B227Vacuum or other controlled atmosphere metallurgical melting and casting furnaces and 
related equipment as follows: 

a. Arc remelt and casting furnaces having both of the following characteristics: 

1. Consumable electrode capacities between 1000 cm3 and 20000 cm3, and 

2. Capable of operating with melting temperatures above 1973 K (1700 °C); 

EN 

130 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
b.  Electron  beam  melting  furnaces  and  plasma  atomization  and  melting  furnaces, 
having both of the following characteristics: 

1. A power of 50 kW or greater; and 

2. Capable of operating with melting temperatures above 1473 K (1200 °C). 

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

2B228Rotor  fabrication  or  assembly  equipment,  rotor  straightening  equipment,  bellows-
forming mandrels and dies, as follows: 

a.  Rotor  assembly  equipment  for  assembly  of  gas  centrifuge  rotor  tube  sections, 
baffles, and end caps; 

Note: 2B228.a. includes precision mandrels, clamps, and shrink fit machines. 

b. Rotor straightening equipment for alignment of gas centrifuge rotor tube sections 
to a common axis; 

Technical Note: 

In 2B228.b. such equipment normally consists of precision measuring probes linked 
to a computer that subsequently controls the action of, for example, pneumatic rams 
used for aligning the rotor tube sections. 

c. Bellows-forming mandrels and dies for producing single-convolution bellows. 

Technical Note: 

In 2B228.c. the bellows have all of the following characteristics: 

1.Inside diameter between 75 mm and 400 mm; 

2.Length equal to or greater than 12,7 mm; 

3.Single convolution depth greater than 2 mm; and 

4.Made  of  high-strength  aluminium  alloys,  maraging  steel  or  high-strength 
«fibrous or filamentary materials». 

2B230«Pressure transducers» capable of measuring absolute pressures at any point in 

the range 0 to 13 kPa and having both of the following characteristics: 

a.  Pressure  sensing  elements  made  of  or  protected  by  aluminium,  aluminium  alloy, 
nickel or nickel alloy with more than 60 % nickel by weight; and 

b. Having either of the following characteristics: 

1. A full scale of less than 13 kPa and an«accuracy» of better than ± 1 % of full 
scale; or 

EN 

131 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
2. A full scale of 13 kPa or greater and an «accuracy» of better than ± 130 Pa. 

Technical Note: 

For  the  purposes  of  2B230,  «accuracy»  includes  non-linearity,  hysteresis  and 
repeatability at ambient temperature. 

2B231Vacuum pumps having all of the following characteristics: 

a. Input throat size equal to or greater than 380 mm; 

b. Pumping speed equal to or greater than 15 m3/s; and 

c. Capable of producing an ultimate vacuum better than 13 mPa. 

Technical Notes: 

1.The  pumping  speed  is  determined  at  the  measurement  point  with  nitrogen  gas  or 
air. 

2.The ultimate vacuum is determined at the input of the pump with the input of the 
pump blocked off. 

2B232Multistage  light  gas  guns  or  other  high-velocity  gun  systems  (coil,  electromagnetic, 
and electrothermal types, and other advanced systems) capable of accelerating projectiles to 
2 km/s or greater. 

2B350Chemical manufacturing facilities, equipment and components, 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  (20000 
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. Alloys with more than 25 % nickel and 20 % chromium by weight; 

2. Fluoropolymers; 

3. Glass (including vitrified or enamelled coating or glass lining); 

4. Nickel or alloys with more than 40 % nickel by weight; 

5. Tantalum or tantalum alloys; 

6. Titanium or titanium alloys; or 

7. Zirconium or zirconium alloys; 

b.  Agitators  for  use  in  reaction  vessels  or  reactors  specified  in  2B350.a.;  and 
impellers,  blades  or  shafts  designed  for  such  agitators,  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: 

EN 

132 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1. Alloys with more than 25 % nickel and 20 % chromium by weight; 

2. Fluoropolymers; 

3. Glass (including vitrified or enamelled coatings or glass lining); 

4. Nickel or alloys with more than 40 % nickel by weight; 

5. Tantalum or tantalum alloys; 

6. Titanium or titanium alloys; or 

7. Zirconium or zirconium alloys; 

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. Alloys with more than 25 % nickel and 20 % chromium by weight; 

2. Fluoropolymers; 

3. Glass (including vitrified or enamelled coatings or glass lining); 

4. Nickel or alloys with more than 40 % nickel by weight; 

5. Tantalum or tantalum alloys; 

6. Titanium or titanium alloys; or 

7. Zirconium or zirconium alloys; 

d.  Heat  exchangers  or  condensers  with  a  heat  transfer  surface  area  greater  than 
0,15 m2, and less than 20 m2; and tubes, plates, coils or blocks (cores) designed for 
such  heat  exchangers  or  condensers,  where  all  surfaces  that  come  in  direct  contact 
with the chemical(s) being processed are made from any of the following materials: 

1. Alloys with more than 25 % nickel and 20 % chromium by weight; 

2. Fluoropolymers; 

3. Glass (including vitrified or enamelled coatings or glass lining); 

4. Graphite or «carbon graphite»; 

5. Nickel or alloys with more than 40 % nickel by weight; 

6. Tantalum or tantalum alloys; 

7. Titanium or titanium alloys; 

8. Zirconium or zirconium alloys; 

EN 

133 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
9. Silicon carbide; or 

10. Titanium carbide; 

e.  Distillation  or  absorption  columns  of  internal  diameter  greater  than  0,1 m;  and 
liquid  distributers,  vapour  distributers  or  liquid  collectors  designed  for  such 
distillation or absorbtion columns, where all surfaces that come in direct contact with 
the chemical(s) being processed are made from any of the following materials: 

1. Alloys with more than 25 % nickel and 20 % chromium by weight; 

2. Fluoropolymers; 

3. Glass (including vitrified or enamelled coatings or glass lining); 

4. Graphite or «carbon graphite»; 

5. Nickel or alloys with more than 40 % nickel by weight; 

6. Tantalum or tantalum alloys; 

7. Titanium or titanium alloys; or 

8. Zirconium or zirconium alloys; 

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: 

1. Alloys with more than 25 % nickel and 20 % chromium by weight; or 

2. Nickel or alloys with more than 40 % nickel by weight; 

g.  Valves  with  nominal  sizes  greater  than  10 mm  and  casings  (valve  bodies)  or 
preformed casing liners designed for such 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. Alloys with more than 25 % nickel and 20 % chromium by weight; 

2. Fluoropolymers; 

3. Glass (including vitrified or enamelled coatings or glass lining); 

4. Nickel or alloys with more than 40 % nickel by weight; 

5. Tantalum or tantalum alloys; 

6. Titanium or titanium alloys; or 

7. Zirconium or zirconium alloys; 

EN 

134 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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. Alloys with more than 25 % nickel and 20 % chromium by weight; 

2. Fluoropolymers; 

3. Glass (including vitrified or enamelled coatings or glass lining); 

4. Graphite or «carbon graphite»; 

5. Nickel or alloys with more than 40 % nickel by weight; 

6. Tantalum or tantalum alloys; 

7. Titanium or titanium alloys; or 

8. Zirconium or zirconium alloys; 

i. Multiple-seal, and seal-less 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); and casings (pump bodies), preformed 
casing  liners,  impellers,  rotors  or  jet  pump  nozzles  designed  for  such  pumps,  in 
which all surfaces that come in direct contact with the chemical(s) being processed 
are made from any of the following materials: 

1. Alloys with more than 25 % nickel and 20 % chromium by weight; 

2. Ceramics; 

3. Ferrosilicon; 

4. Fluoropolymers; 

5. Glass (including vitrified or enamelled coatings or glass lining); 

6. Graphite or «carbon graphite»; 

7. Nickel or alloys with more than 40 % nickel by weight; 

8. Tantalum or tantalum alloys; 

9. Titanium or titanium alloys; 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: 

EN 

135 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1. Alloys with more than 25 % nickel and 20 % chromium by weight; 

2. Ceramics; or 

3. Nickel or alloys with more than 40% nickel by weight. 

Technical Note: 

«Carbon graphite» is a composition consisting of amorphous carbon and graphite, 
in which the graphite content is eight percent or more by weight. 

2B351Toxic gas monitoring systems, as follows; and dedicated detectors therefor: 

a.  Designed  for  continuous  operation  and  usable  for  the  detection  of  chemical 
warfare  agents  or  chemicals  specified  in  1C350,  at  concentrations  of  less  than 
0,3 mg/m3; or 

b. Designed for the detection of cholinesterase-inhibiting activity. 

2B352Equipment capable of use in handling biological materials, as follows: 

a. 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 (2nd edition, Geneva 1993). 

b.  Fermenters  capable  of  cultivation  of  pathogenic  «micro-organisms»,  viruses  or 
capable of toxin production, without the propagation of aerosols, and having a total 
capacity of 20 litres or more; 

Technical Note: 

Fermenters include bioreactors, chemostats and continuous-flow systems. 

c.  Centrifugal  separators,  capable  of  continuous  separation  without  the  propagation 
of aerosols, having all the following characteristics: 

1. Flow rate exceeding 100 litres per hour; 

2. Components of polished stainless steel or titanium; 

3. One or more sealing joints within the steam containment area; and 

4. Capable of in-situ steam sterilisation in a closed state; 

Technical Note: 

Centrifugal separators include decanters. 

d. Cross (tangential) flow filtration equipment and components as follows: 

EN 

136 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1.  Cross  (tangential)  flow  filtration  equipment  capable  of  separation  of 
pathogenic  micro-organisms,  viruses,  toxins  or  cell  cultures,  without  the 
propagation of aerosols, having both of the following characteristics: 

a. A total filtration area equal to or greater than 1 m2; and 

b. Capable of being sterilised or disinfected in-situ; 

Technical Note: 

In  2B352.d.1.b.  sterlised  denotes  the  elimination  of  all  viable  microbes  from  the 
equipment  through  the  use  of  either  physical  (e.g.  steam)  or  chemical  agents. 
Disinfected denotes the destruction of potential microbial infectivity in the equipment 
through  the  use  of  chemical  agents  with  a  germicidal  effect.  Disinfection  and 
sterilisation are distinct from sanitisation, the latter referring to cleaning procedures 
designed to lower the microbial content of equipment without necessarily achieving 
elimination of all microbial infectivity or viability. 

2.  Cross  (tangential)  flow  filtration  components  (e.g.  modules,  elements, 
cassettes, cartridges, units or plates) with filtration area equal to or greater than 
0,2 m2  for  each  component  and  designed  for  use  in  cross  (tangential)  flow 
filtration equipment specified in 2B352.d.; 

Note:  2B352.d.  does  not  control  reverse  osmosis  equipment,  as  specified  by  the 
manufacturer. 

e. Steam sterilisable freeze drying equipment with a condenser capacity exceeding 10 
kg of ice in 24 hours and less than 1000 kg of ice in 24 hours; 

f. Protective and containment equipment, as follows: 

1. Protective full or half suits, or hoods dependent upon a tethered external air 
supply and operating under positive pressure; 

Note: 2B352.f.1. does not control suits designed to be worn with self-contained 
breathing apparatus. 

2.  Class  III  biological  safety  cabinets  or  isolators  with  similar  performance 
standards; 

Note:  In  2B352.f.2.,  isolators  include  flexible  isolators,  dry  boxes,  anaerobic 
chambers, glove boxes and laminar flow hoods (closed with vertical flow). 

g.  Chambers  designed  for  aerosol  challenge  testing  with  «micro-organisms», 
viruses or «toxins», and having a capacity of 1 m3 or greater. 

2CMaterials 

None. 

EN 

137 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
2DSoftware 

2D001«Software», other than that specified in 2D002, specially designed or modified for the 
«development», «production» or «use» of equipment specified in 2A001 or 2B001 to 2B009. 

2D002«Software»  for  electronic  devices,  even  when  residing  in  an  electronic  device  or 
system, enabling such devices or systems to function as a «numerical control» unit, capable of 
co-ordinating simultaneously more than four axes for «contouring control». 

Note  1:  2D002  does  not  control  «software»  specially  designed  or  modified  for  the 
operation of machine tools not specified in Category 2. 

Note 2: 2D002 does not control «software» for items specified in 2B002. See 2D001 
for control of «software» for items specified in 2B002. 

2D101«Software»  specially  designed  or  modified  for  the  «use»  of  equipment  specified  in 
2B104, 2B105, 2B109, 2B116, 2B117 or 2B119 to 2B122. 

N.B.: SEE ALSO 9D004. 

2D201«Software» specially designed for the «use» of equipment specified in 2B204, 2B206, 
2B207, 2B209, 2B219 or 2B227. 

2D202«Software»  specially  designed  or  modified  for  the  «development»,  «production»  or 
«use» of equipment specified in 2B201. 

2ETechnology 

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. 

2E003Other «technology», as follows: 

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

b.«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.«Superplastic forming»; 

b.«Diffusion bonding»; or 

c.«Direct-acting hydraulic pressing»; 

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

EN 

138 

   EN 

 
 
 
 
 
 
 
 
 
 
a.«Superplastic  forming»  of  aluminium  alloys,  titanium  alloys  or 
«superalloys»: 

1. Surface preparation; 

2. Strain rate; 

3. Temperature; 

4. Pressure; 

b.«Diffusion bonding» of «superalloys» or titanium alloys: 

1. Surface preparation; 

2. Temperature; 

3. Pressure; 

c.«Direct-acting  hydraulic  pressing»  of  aluminium  alloys  or  titanium 
alloys: 

1. Pressure; 

2. Cycle time; 

d.«Hot  isostatic  densification»  of  titanium  alloys,  aluminium  alloys  or 
«superalloys»: 

1. Temperature; 

2. Pressure; 

3. Cycle time; 

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

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

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

f.«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. 

Note: The table and Technical Note appear after entry 2E301. 

EN 

139 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
2E101«Technology» according to the General Technology Note for the «use» of equipment 
or «software» specified in 2B004, 2B009, 2B104, 2B109, 2B116, 2B119 to 2B122 or 
2D101. 

2E201«Technology» according to the General Technology Note for the «use» of equipment 
or«software» specified in 2A225, 2A226, 2B001, 2B006, 2B007.b., 2B007.c., 2B008, 2B009, 
2B201, 2B204, 2B206, 2B207, 2B209, 2B225 to 2B232, 2D201 or 2D202. 

2E301«Technology»  according  to  the  General  Technology  Note  for  the  «use»  of  goods 
specified in 2B350 to 2B352. 

Table 

Deposition techniques 

1. Coating Process (1)20 

2. Substrate 

3. Resultant Coating 

A. Chemical Vapour 
Deposition (CVD) 

«Superalloys» 

Aluminides for internal passages 

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

Silicides 

Carbides 

Carbon-carbon, 
Ceramic and Metal 
«matrix»«composit
es» 

Dielectric layers (15) 

Diamond 

Diamond-like carbon (17) 

Silicides 

Carbides 

Refractory metals 

Mixtures thereof (4) 

Dielectric layers (15) 

Aluminides 

Alloyed aluminides (2) 

Boron nitride 

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

Carbides 

Tungsten 

Mixtures thereof (4) 

20 

The numbers in parenthesis refer to the Notes following this Table. 

EN 

140 

   EN 

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

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

Molybdenum and 
Molybdenum 
alloys 

Beryllium and 
Beryllium alloys 

Sensor window 
materials (9) 

Dielectric layers (15) 

Dielectric layers (15) 

Dielectric layers (15) 

Diamond 

Diamond-like carbon (17) 

Dielectric layers (15) 

Diamond 

Diamond-like carbon (17) 

«Superalloys» 

Alloyed silicides 

Alloyed aluminides (2) 

MCrAlX (5) 

Modified zirconia (12) 

Silicides 

Aluminides 

Mixtures thereof (4) 

Dielectric layers (15) 

MCrAlX (5) 

Modified zirconia (12) 

Mixtures thereof (4) 

Ceramics (19) and 
Low expansion 
glasses (14) 

Corrosion resistant 
steel (7) 

Carbon-carbon, 
Ceramic and Metal 
«matrix»«composit
es» 

Silicides 

Carbides 

Refractory metals 

EN 

141 

   EN 

 
 
 
Mixtures thereof (4) 

Dielectric layers (15) 

Boron nitride 

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

Carbides 

Tungsten 

Mixtures thereof (4) 

Dielectric layers (15) 

Dielectric layers (15) 

Dielectric layers (15) 

Borides 

Beryllium 

Dielectric layers (15) 

Borides 

Nitrides 

Dielectric layers (15) 

Diamond-like carbon (17) 

Dielectric layers (15) 

Dielectric layers (15) 

Dielectric layers (15) 

Dielectric layers (15) 

Molybdenum and 
Molybdenum 
alloys 

Beryllium and 
Beryllium alloys 

Sensor window 
materials (9) 

Titanium alloys 
(13) 

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

Carbon-carbon, 
Ceramic and Metal 
«matrix»«composit
es» 

Cemented tungsten 
carbide (16), 
Silicon carbide 

Molybdenum and 
Molybdenum 
alloys 

Beryllium and 
Beryllium alloys 

Sensor window 

Dielectric layers (15) 

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

EN 

142 

   EN 

 
materials (9) 

Diamond-like carbon (17) 

B.3. Physical Vapour 
Deposition (PVD): «Laser» 
Vaporisation 

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

Carbon-carbon, 
Ceramic and Metal 
«matrix»«composit
es» 

Cemented tungsten 
carbide (16), 
Silicon carbide 

Molybdenum and 
Molybdenum 
alloys 

Beryllium and 
Beryllium alloys 

Sensor window 
materials (9) 

Silicides 

Dielectric layers (15) 

Diamond-like carbon (17) 

Dielectric layers (15) 

Dielectric layers (15) 

Dielectric layers (15) 

Dielectric layers (15) 

Dielectric layers (15) 

Diamond-like carbon 

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

«Superalloys» 

Alloyed silicides 

Alloyed aluminides (2) 

Polymers (11) and 
Organic«matrix»«c
omposites» 

MCrAlX (5) 

Borides 

Carbides 

Nitrides 

Diamond-like carbon (17) 

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

Carbon-carbon, 
Ceramic and Metal 
«matrix»«composit
es» 

Silicides 

Carbides 

Mixtures thereof (4) 

Titanium alloys 
(13) 

Silicides 

Aluminides 

EN 

143 

   EN 

 
Alloyed aluminides (2) 

Refractory metals 
and alloys (8) 

Silicides 

Oxides 

D. Plasma spraying 

«Superalloys» 

MCrAlX (5) 

Modified zirconia (12) 

Mixtures thereof (4) 

Abradable Nickel-Graphite 

Abradable materials containing Ni-Cr-
Al 

Abradable Al-Si-Polyester Alloyed 
aluminides (2) 

Aluminium alloys 
(6) 

MCrAlX (5) 

Modified zirconia (12) 

Silicides 

Mixtures thereof (4) 

Refractory metals 
and alloys (8) 

Aluminides 

Silicides 

Carbides 

Corrosion resistant 
steel (7) 

MCrAlX (5) 

Modified zirconia (12) 

Mixtures thereof (4) 

Titanium alloys 
(13) 

Carbides 

Aluminides 

Silicides 

Alloyed aluminides (2) 

Abradable Nickel-Graphite 

Abradable materials 

EN 

144 

   EN 

 
containing Ni-Cr-Al 

Abradable Al-Si-Polyester 

E. Slurry Deposition 

Refractory metals 
and alloys (8) 

Fused silicides 

Fused aluminides except for resistance 
heating elements 

Carbon-carbon, 
Ceramic and Metal 
«matrix»«composit
es» 

Silicides 

Carbides 

Mixtures thereof (4) 

F. Sputter Deposition 

«Superalloys» 

Alloyed silicides 

Alloyed aluminides (2) 

Noble metal modified aluminides (3) 

MCrAlX (5) 

Modified zirconia (12) 

Platinum 

Mixtures thereof (4) 

Ceramics and Low-
expansion glasses 
(14) 

Silicides 

Platinum 

Titanium alloys 
(13) 

Mixtures thereof (4) 

Dielectic layers (15) 

Diamond-like carbon (17) 

Borides 

Nitrides 

Oxides 

Silicides 

Aluminides 

Alloyed aluminides (2) 

Carbides 

EN 

145 

   EN 

 
Carbon-carbon, 
Ceramic and Metal 
«matrix»«composit
es» 

Silicides 

Carbides 

Refractory metals 

Mixtures thereof (4) 

Dielectric layers (15) 

Boron nitride 

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

Carbides 

Tungsten 

Mixtures thereof (4) 

Dielectric layers (15) 

Boron nitride 

Dielectric layers (15) 

Molybdenum and 
Molybdenum 
alloys 

Beryllium and 
Beryllium alloys 

Borides 

Dielectric layers (15) 

Beryllium 

Sensor window 
materials (9) 

Dielectric layers (15) 

Diamond-like carbon (17) 

Refractory metals 
and alloys (8) 

Aluminides 

Silicides 

Oxides 

Carbides 

G. Ion Implantation 

High temperature 
bearing steels 

Additions of Chromium Tantalum or 
Niobium (Columbium) 

Titanium alloys 
(13) 

Borides 

Nitrides 

Beryllium and 

Borides 

EN 

146 

   EN 

 
Beryllium alloys 

Cemented tungsten 
carbide (16) 

Carbides 

Nitrides 

Table — Deposition techniques — Notes 

1. The term «coating process» includes coating repair and refurbishing as well 
as original coating. 

2.  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. 

3. 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. 

term  «mixtures 

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

includes 

thereof» 

5.«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  2 
weight percent of yttrium; 

b.  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 

c. 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. 

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

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

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

EN 

147 

   EN 

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

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

11.«Polymers», as follows: polyimide, polyester, polysulphide, polycarbonates 
and polyurethanes. 

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

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

14.«Low-expansion  glasses»  refers  to  glasses  which  have  a  coefficient  of 
thermal expansion of 1 × 10 –7 K–1 or less measured at 293 K (20 °C). 

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

16.«Cemented  tungsten  carbide»  does  not  include  cutting  and  forming  tool 
materials 
titanium 
carbide/(cobalt,  nickel),  chromium  carbide/nickel-chromium  and  chromium 
carbide/nickel. 

carbide/(cobalt,  nickel), 

consisting  of 

tungsten 

17.«Technology» specially designed to deposit diamond-like carbon on any of 
the following is not controlled: 

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

18.«Silicon carbide» does not include cutting and forming tool materials. 

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

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

EN 

148 

   EN 

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

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

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

3.«Laser»  Vaporization  uses  either  pulsed  or  continuous  wave  «laser» 
beams to vaporize the material which forms the coating; 

4.  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 

EN 

149 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
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. 

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

c.  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); 

2. An activator (normally a halide salt); and 

3. An inert powder, most frequently alumina. 

The substrate and powder mixture is contained within a retort which is heated 
to  between  1030 K  (757 °C)  and  1375 K  (1,102 °C)  for  sufficient  time  to 
deposit the coating. 

d. 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. 

N.B. 1 Low pressure means less than ambient atmospheric pressure. 

N.B. 2 High velocity refers to nozzle-exit gas velocity exceeding 750 m/s 
calculated at 293 K (20 °C) at 0,1 MPa. 

e.  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. 

f.  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. 

EN 

150 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
N.B.  1  The  Table  refers  only  to  triode,  magnetron  or  reactive  sputter 
deposition which is used to increase adhesion of the coating and rate of 
deposition  and  to  radio  frequency  (RF)  augmented  sputter  deposition 
used to permit vaporisation of non-metallic coating materials. 

N.B. 2 Low-energy ion beams (less than  5 keV) can  be  used to activate 
the deposition. 

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

CATEGORY 3 

ELECTRONICS 

3ASystems, Equipment and Components 

Note  1:  The  control  status  of  equipment  and  components  described  in  3A001  or 
3A002,  other  than  those  described  in  3A001.a.3.  to  3A001.a.10.  or  3A001.a.12., 
which are specially designed for or which have the same functional characteristics 
as other equipment is determined by the control status of the other equipment. 

Note  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 
3A001.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 3A001.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. 

3A001Electronic components, as follows: 

a. General purpose integrated circuits, as follows: 

Note  1:  The  control  status  of  wafers  (finished  or  unfinished),  in  which  the 
function  has  been  determined,  is  to  be  evaluated  against  the  parameters  of 
3A001.a. 

Note 2: Integrated circuits include the following types: 

«Monolithic integrated circuits»; 

«Hybrid integrated circuits»; 

EN 

151 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
«Multichip integrated circuits»; 

«Film  type  integrated  circuits»,  including  silicon-on-sapphire  integrated 
circuits; 

«Optical integrated circuits». 

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

a. A total dose of 5 × 103 Gy (silicon) or higher; 

b. A dose rate upset of 5 × 106 Gy (silicon)/s or higher; or 

c. A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 1013 
n/cm2 or higher on silicon, or its equivalent for other materials; 

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

2.«Microprocessor  microcircuits»,  «microcomputer  microcircuits», 
microcontroller  microcircuits,  storage  integrated  circuits  manufactured 
from a compound semiconductor, analogue-to-digital converters, digital-
to-analogue  converters,  electro-optical  or  «optical  integrated  circuits» 
designed  for  «signal  processing»,  field  programmable  logic  devices, 
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) et 398 K (125 °C); 

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

3.«Microprocessor  microcircuits»,  «microcomputer  microcircuits»  and 
microcontroller  microcircuits,  manufactured  from  a  compound  semiconductor 
and operating at a clock frequency exceeding 40 MHz; 

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

4. Storage integrated circuits manufactured from a compound semiconductor; 

EN 

152 

   EN 

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

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

N.B. SEE ALSO 3A101 

1. A resolution of 8 bit or more, but less than 10 bit, with an output rate 
greater than 500 million words per second; 

2.  A  resolution  of  10  bit  or  more,  but  less  than  12  bit,  with  an 
output rate greater than 200 million words per second; 

3. A resolution of 12 bit with an output rate greater than 50 million 
words per second; 

4. A resolution of more than 12 bit, but equal to or less than 14 bit, 
with an output rate greater than 5 million words per second; or; 

5. A resolution of more than 14 bit with an output rate greater than 
1 million words per second; 

b. Digital-to-analogue converters with a resolution of 12 bit or more, and 
a «settling time» of less than 10 ns; 

Technical Notes: 

1.A resolution of n bit corresponds to a quantisation of 2n levels. 

2.The number of bits in the output word is equal to the resolution of the 
analogue-to-digital converter. 

3.The output rate is the maximum output rate of the converter, regardless 
of the architecture or oversampling. Vendors may also refer to the output 
rate  as  sampling  rate,  conversion  rate  or  throughput  rate.  It  is  often 
specified in megaghertz (MHz) or mega samples per second (MSPS). 

4.For the purpose of measuring output rate, one output word per second 
is equivalent to one Hertz or one sample per second. 

6.  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; 

7. Field programmable logic devices having any of the following: 

a. An equivalent usable gate count of more than 30000 (2 input gates); 

EN 

153 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
b. A typical «basic gate propagation delay time» of less than 0,1 ns; or 

c. A toggle frequency exceeding 133 MHz; 

Note: 3A001.a.7. includes: 

– 

– 

– 

– 

– 

Simple Programmable Logic Devices (SPLDs) 

Complex Programmable Logic Devices (CPLDs) 

Field Programmable Gate Arrays (FPGAs) 

Field Programmable Logic Arrays (FPLAs) 

Field Programmable Interconnects (FPICs) 

N.B.:  Field  programmable  logic  devices  are  also  known  as  field 
programmable gate or field programmable logic arrays. 

8. Not used; 

9. Neural network integrated circuits; 

10.  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 1000 terminals; 

b. A typical «basic gate propagation delay time» of less than 0,1 ns; or 

c. An operating frequency exceeding 3 GHz; 

11.  Digital  integrated  circuits,  other  than  those  described  in  3A001.a.3.  to 
3A001.a.10.  and  3A001.a.12.,  based  upon  any  compound  semiconductor  and 
having any of the following: 

a. An equivalent gate count of more than 3000 (2 input gates); or 

b. A toggle frequency exceeding 1,2 GHz; 

12. Fast Fourier Transform (FFT) processors having a rated execution time for 
an  N-point  complex  FFT  of  less  than  (N  log2N)/20480 ms,  where  N  is  the 
number of points; 

Technical Note: 

When N is equal to 1024 points, the formula in 3A001.a.12. gives an execution 
time of 500 μs. 

b. Microwave or millimetre wave components, as follows: 

1. Electronic vacuum tubes and cathodes, as follows: 

EN 

154 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Note  1:  3A001.b.1.  does  not  control  tubes  designed  or  rated  for 
operation  in  any  frequency  band  which  meets  all  of  the  following 
characteristics: 

a.Does not exceed 31,8 GHz; and 

b.Is «allocated by the ITU» for radio-communications services, but 
not for radio-determination. 

Note 2: 3A001.b.1. does not control non- «space-qualified» tubes which 
meet all of the following characteristics: 

a.An average output power equal to or less than 50 W; and 

b.Designed  or  rated  for  operation  in  any  frequency  band  which 
meets all of the following characteristics: 

1.Exceeds 31,8 GHz but does not exceed 43,5 GHz; and 

2.Is «allocated by the ITU» for radio-communications services, but 
not for radio-determination. 

a. Travelling wave tubes, pulsed or continuous wave, as follows: 

1. Operating at frequencies exceeding 31,8 GHz; 

2. Having a cathode heater element with a turn on time to rated RF 
power of less than 3 seconds; 

3.  Coupled  cavity  tubes,  or  derivatives  thereof,  with  a  «fractional 
bandwidth» of more than 7 % or a peak power exceeding 2,5 kW; 

4.  Helix  tubes,  or  derivatives  thereof,  with  any  of  the  following 
characteristics: 

a.  An  «instantaneous  bandwidth»  of  more  than  one  octave,  and 
average  power  (expressed  in  kW)  times  frequency  (expressed  in 
GHz) of more than 0,5; 

b. An «instantaneous bandwidth» of one octave or less, and average 
power  (expressed  in  kW)  times  frequency  (expressed  in  GHz)  of 
more than 1; or 

c. Being «space qualified»; 

b. Crossed-field amplifier tubes with a gain of more than 17 dB; 

c.  Impregnated  cathodes  designed  for  electronic  tubes  producing  a 
continuous  emission  current  density  at  rated  operating  conditions 
exceeding 5 A/cm2; 

2. Microwave monolithic integrated circuits (MMIC) power amplifiers having 
any of the following: 

EN 

155 

   EN 

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

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

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

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

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

f. Rated for operation at frequencies exceeding 43,5 GHz. 

Note  1:  3A001.b.2.  does  not  control  broadcast  satellite  equipment 
designed  or  rated  to  operate  in  the  frequency  range  of  40,5 GHz  to 
42,5 GHz. 

Note 2: The control status of the MMIC whose rated operating frequency 
includes frequencies listed in more than one frequency range, as defined 
by  3A001.b.2.a.  to  3A001.b.2.f.,  is  determined  by  the  lowest  average 
output power control threshold. 

Note 3: Notes 1 and 2 in the chapeau to Category 3 mean that 3A001.b.2. 
does  not  control  MMICs  if  they  are  specially  designed  for  other 
applications, e.g., telecommunications, radar, automobiles. 

3. Discrete microwave transistors having any of the following: 

a.  Rated  for  operation  at  frequencies  exceeding  3,2 GHz  up  to  and 
including 6 GHz and having an average output power greater than 60W 
(47,8 dBm); 

b.  Rated  for  operation  at  frequencies  exceeding  6 GHz  up  to  and 
including  31,8 GHz  and  having  an  average  output  power  greater  than 
20W (43 dBm); 

c.  Rated  for  operation  at  frequencies  exceeding  31,8 GHz  up  to  and 
including  37,5 GHz  and  having  an  average  output  power  greater  than 
0,5W (27 dBm); 

d.  Rated  for  operation  at  frequencies  exceeding  37,5 GHz  up  to  and 
including 43,5 GHz and having an average output power greater than 1W 
(30 dBm); or 

EN 

156 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
e. Rated for operation at frequencies exceeding 43,5 GHz. 

Note:  The  control  status  of  a  transistor  whose  rated  operating  frequency 
includes  frequencies  listed  in  more  than  one  frequency  range,  as  defined  by 
3A001.b.3.a. to 3A001b.3.e., is determined by the lowest average output power 
control threshold. 

4.  Microwave  solid  state  amplifiers  and  microwave  assemblies/modules 
containing microwave amplifiers having any of the following: 

a.  Rated  for  operation  at  frequencies  exceeding  3,2 GHz  up  to  and 
including  6 GHz  and  with  an  average  output  power  greater  than  60W 
(47,8 dBm) with a «fractional bandwidth» greater than 15 %; 

b.  Rated  for  operation  at  frequencies  exceeding  6 GHz  up  to  and 
including 31,8 GHz and with an average output power greater than 15W 
(42 dBm) with a «fractional bandwidth» greater than 10 %; 

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

d.  Rated  for  operation  at  frequencies  exceeding  37,.5 GHz  up  to  and 
including  43,5 GHz  and  with  an  average  output  power  greater  than  1W 
(30 dBm) with a «fractional bandwidth» greater than 10 %; 

e. Rated for operation at frequencies exceeding 43,5 GHz; or 

f. Rated for operation at frequencies above 3.2 GHz and having all of the 
following: 

1. An average output power (in watts), P, greater than 150 divided 
by  the  maximum  operating  frequency  (in  GHz)  squared  [P>150 
W*GHz2/fGHz

2]; 

2. A fractional bandwidth of 5 % or greater; and 

3. Any two sides perpendicular to one another with length d (in cm) 
equal to or less than 15 divided by the lowest operating frequency 
in GHz [d=15cm*GHz/ fGHz]. 

Technical Note: 

3.2 GHz should be used as the lowest operating frequency (fGHz) in the formula in 
3A001.b.4.f.3., for amplifiers that have a rated operating range extending downward 
to 3.2 GHz and below [d≤ 15 cm*GHz/3.2 GHz]. 

N.B.: MMIC power amplifiers should be evaluated against the criteria in 
3A001.b.2. 

Note  1:  3A001.b.4.  does  not  control  broadcast  satellite  equipment 
designed or rated to operate in the frequency range of 40,5 to 42,5 GHz. 

EN 

157 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Note  2:  The  control  status  of  an  item  whose  rated  operating  frequency 
includes frequencies listed in more than one frequency range, as defined 
by  3A001.b.4.a.  to  3A001.b.4.e.,  is  determined  by  the  lowest  average 
output power control threshold. 

5. 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 
(fmax/fmin) in less than 10 μs 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; 

6. Not used; 

7. 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; 

8.  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 
any frequency band which is «allocated by the ITU» for radio-communications 
services, but not for radio-determination. 

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. A frequency side-lobe rejection exceeding 55 dB; 

2. A product of the maximum delay time and the bandwidth (time 
in μs and bandwidth in MHz) of more than 100; 

3. A bandwidth greater than 250 MHz; or 

4. A dispersive delay of more than 10 μs; or 

c. A carrier frequency of 1 GHz or less, having any of the following: 

EN 

158 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1. A product of the maximum delay time and the bandwidth (time 
in μs and bandwidth in MHz) of more than 100; 

2. A dispersive delay of more than 10 μs; or 

3.  A  frequency  side-lobe  rejection  exceeding  55 dB  and  a 
bandwidth greater than 50 MHz; 

2.  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; 

3.  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; 

d.  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.  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 

2. Frequency selection at all frequencies using resonant circuits with Q-values 
exceeding 10000; 

e. High energy devices, as follows: 

1. Batteries and photovoltaic arrays, as follows: 

Note: 3A001.e.1. does not control batteries with volumes equal to or less than 
27 cm3 (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 de 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. 

EN 

159 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 2800 K (2527 °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. A voltage rating equal to or more than 5 kV; 

2. An energy density equal to or more than 250 J/kg; and 

3. A total energy equal to or more than 25 kJ; 

b.  Capacitors  with  a  repetition  rate  of  10 Hz  or  more  (repetition  rated 
capacitors) having all of the following: 

1. A voltage rating equal to or more than 5 kV; 

2. An energy density equal to or more than 50 J/kg; 

3. A total energy equal to or more than 100 J; and 

4. A charge/discharge cycle life equal to or more than 10000; 

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. 

Note: 3A001.e.3. does not control «superconductive» electromagnets or 
solenoids  specially  designed  for  Magnetic  Resonance  Imaging  (MRI) 
medical equipment. 

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; 

f. Rotary input type shaft absolute position encoders having any of the following: 

1. A resolution of better than 1 part in 265000 (18 bit resolution) of full scale; 
or 

2. An accuracy better than ± 2,5 seconds of arc. 

EN 

160 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3A002General purpose electronic equipment, as follows: 

a. Recording equipment, as follows, and specially designed test tape therefor: 

instrumentation  magnetic 

1.  Analogue 
those 
permitting  the  recording  of  digital  signals  (e.g.  using  a  high  density  digital 
recording (HDDR) module), having any of the following: 

tape  recorders, 

including 

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 EIA documents, of less than ± 0,1 μs; 

Note: Analogue magnetic tape recorders specially designed for civilian video 
purposes are not considered to be instrumentation tape recorders. 

2.  Digital  video  magnetic  tape  recorders  having  a  maximum  digital  interface 
transfer rate exceeding 360 Mbits/s; 

Note:  3A002.a.2.  does  not  control  digital  video  magnetic  tape  recorders 
specially  designed  for  television  recording  using  a  signal  format,  which  may 
include a compressed signal format, standardised or recommended by the ITU, 
the  IEC,  the  SMPTE,  the  EBU,  the  ETSI  or  the  IEEE  for  civil  television 
applications. 

3. 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 Mbits/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. 

4.  Equipment,  having  a  maximum  digital  interface  transfer  rate  exceeding 
175 Mbits/s, designed to convert digital video magnetic tape recorders for use 
as digital instrumentation data recorders; 

5. Waveform digitisers and transient recorders having all of the following: 

a. Digitising rate equal to or more than 200 million samples per second 
and a resolution of 10 bit or more; and 

b. A continuous throughput of 2 Gbit/s or more; 

Technical Note: 

EN 

161 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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. 

6.  Digital  instrumentation  data  recorders,  using  magnetic  disk  storage 
technique, having all of the following: 

a. Digitising rate equal to or more than 100 million samples per second 
and a resolution of 8 bit or more; and 

b. A continuous throughput of 1 Gbit/s or more; 

b.«Frequency  synthesiser»«electronic  assemblies»  having  a  «frequency  switching 
time» from one selected frequency to another of less than 1 ms; 

c. Radio frequency «signal analysers», as follows: 

1.«Signal analysers»capable of analysing frequencies exceeding 31,8 GHz but 
not  exceeding  37.5  GHz  and  having  a  3  dB  resolution  bandwidth  (RBW) 
exceeding 10 MHz; 

2.«Signal analysers» capable of analysing frequencies exceeding 43.5 GHz; 

3.«Dynamic signal analysers»  having  a «real-time  bandwidth» exceeding  500 
kHz; 

Note: 3A002.c.3. does not control those «dynamic signal analysers» using only 
constant  percentage  bandwidth  filters  (also  known  as  octave  or  fractional 
octave filters). 

d.  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.  A  maximum  synthesised  frequency  exceeding  31,8 GHz  but  not  exceeding 
43,5 GHz and rated to generate a pulse duration of less than 100 ns; 

2. A maximum synthesised frequency exceeding 43,5 GHz; 

3. A «frequency switching time» from one selected frequency to another of less 
than 1 ms; or 

4.  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; 

Technical Note: 

EN 

162 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
For the purposes of 3A002.d.1., «pulse duration» is defined as the time interval 
between  the  leading  edge  of  the  pulse  achieving  90 %  of  the  peak  and  the 
trailing edge of the pulse achieving 10 % of the peak. 

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 43,5 GHz; 

f. Microwave test receivers having all of the following: 

1. A maximum operating frequency exceeding 43,5 GHz; and 

2. Being capable of measuring amplitude and phase simultaneously; 

g. Atomic frequency standards having any of the following: 

1. Long-term stability (aging) less (better) than 1 × 10– 11/month; or 

2. Being «space qualified». 

Note: 3A002.g.1. does not control non-«space qualified» rubidium standards. 

3A003Spray cooling thermal management systems employing closed loop fluid handling and 
reconditioning  equipment  in  a  sealed  enclosure  where  a  dielectric  fluid  is  sprayed 
onto electronic components using specially designed spray nozzles that are designed 
to  maintain  electronic  components  within  their  operating  temperature  range,  and 
specially designed components therefor. 

3A101Electronic equipment, devices and components, other than those specified in 3A001, as 
follows: 

a.  Analogue  to  digital  converters,  usable  in  «missiles»,  designed  to  meet  military 
specifications for ruggedised 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. 

3A201Electronic components, other than those specified in 3A001, as follows; 

a. Capacitors having either of the following sets of characteristics: 

1. 

a. Voltage rating greater than 1,4 kV; 

b. Energy storage greater than 10 J; 

EN 

163 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
c. Capacitance greater than 0,5 μF; and 

d. Series inductance less than 50 nH; or 

2. 

a. Voltage rating greater than 750 V; 

b. Capacitance greater than 0,25 μF; and 

c. Series inductance less than 10 nH; 

b.  Superconducting  solenoidal  electromagnets  having  all  of 
characteristics: 

the  following 

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

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

3. Inner diameter greater than 300 mm; and 

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

Note:  3A201.b.  does  not  control  magnets  specially  designed  for  and  exported  «as 
parts of» medical nuclear magnetic resonance (NMR) imaging systems. The phrase 
«as part of» does not necessarily mean physical part in the same shipment; separate 
shipments from different sources are allowed, provided the related export documents 
clearly specify that the shipments are dispatched «as part of» the imaging systems. 

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

1. 

2. 

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

b. With a «figure of merit» (K) of 0,25 or greater; or 

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

b. A «peak power» greater than 50 MW. 

Note:  3A201.c.  does  not  control  accelerators  that  are  component  parts  of 
devices  designed  for  purposes  other  than  electron  beam  or  X-ray  radiation 
(electron microscopy, for example) nor those designed for medical purposes. 

Technical Notes: 

1.The «figure of merit» K is defined as: 

EN 

164 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
(K = 1,7 ×10^{3}V^{2,65}Q) 

V is the peak electron energy in million electron volts. 

If the accelerator beam pulse duration is less than or equal to 1 μs, then 
Q  is  the  total  accelerated  charge  in  Coulombs.  If  the  accelerator  beam 
pulse duration is greater than 1 μs, then Q is the maximum accelerated 
charge in 1 μs. 

Q equals the integral of i with respect to t, over the lesser of 1 μs or the 
time  duration  of  the  beam  pulse  (Q = ∫ idt),  where  i  is  beam  current  in 
amperes and t is time in seconds. 

2.«Peak  power»  =  (peak  potential  in  volts)  ×  (peak  beam  current  in 
amperes). 

3.In  machines  based  on  microwave  accelerating  cavities,  the  time 
duration  of  the  beam  pulse  is  the  lesser  of  1 μs  or  the  duration  of  the 
bunched beam packet resulting from one microwave modulator pulse. 

4.In machines based on microwave accelerating cavities, the peak beam 
current  is  the  average  current  in  the  time  duration  of  a  bunched  beam 
packet. 

3A225Frequency changers or generators, other than those specified in 0B001.b.13., having all 
of the following characteristics: 

a. Multiphase output capable of providing a power of 40 W or greater; 

b. Capable of operating in the frequency range between 600 and 2000 Hz; 

c. Total harmonic distortion better (less) than 10 %; and 

d. Frequency control better (less) than 0,1 %. 

Technical Note: 

Frequency changers in 3A225 are also known as converters or inverters. 

3A226High  power  direct  current  power  supplies,  other  than  those  specified  in  0B001.j.6., 
having both of the following characteristics: 

a. Capable of continuously producing, over a time period of 8 hours, 100 V or greater 
with current output of 500 A or greater; and 

b. Current or voltage stability better than 0,1 % over a time period of 8 hours. 

3A227High  voltage  direct  current  power  supplies,  other  than  those  specified  in  0B001.j.5., 
having both of the following characteristics: 

a. Capable of continuously producing, over a time period of 8 hours, 20 kV or greater 
with current output of 1 A or greater; and 

EN 

165 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
b. Current or voltage stability better than 0,1 % over a time period of 8 hours. 

3A228Switching devices, as follows: 

a. Cold cathode tubes, whether gas filled or not, operating similarly to a spark gap, 
having all of the following characteristics: 

1. Containing three or more electrodes; 

2. Anode peak voltage rating of 2,5 kV or more; 

3. Anode peak current rating of 100 A or more 100 A; and 

4. Anode delay time of 10 μs or less; 

Note: 3A228 includes gas krytron tubes and vacuum sprytron tubes. 

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

1. An anode delay time of 15 μs or less; and 

2. Rated for a peak current of 500 A or more; 

c. Modules or assemblies with a fast switching function having all of the following 
characteristics: 

1. Anode peak voltage rating greater than 2 kV; 

2. Anode peak current rating of 500 A or more; and 

3. Turn on time of 1 μs or less. 

3A229Firing sets and equivalent high current pulse generators 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)  having  all  of  the  following 
characteristics: 

1. Designed for portable, mobile, or ruggedised-use; 

2. Enclosed in a dust tight enclosure; 

3. Capable of delivering their energy in less than 15 μs; 

4. Having an output greater than 100 A; 

5. Having a «rise time» of less than 10 μs into loads of less than 40 ohms; 

6. No dimension greater than 254 mm; 

EN 

166 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
7. Weight less than 25 kg; and 

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

Note: 3A229.b. includes xenon flash lamp drivers. 

Technical Note: 

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

3A230High-speed pulse generators having both of the following characteristics: 

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

b.«Pulse transition time» less than 500 ps. 

Technical Note: 

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

3A231Neutron  generator  systems, 
characteristics: 

including 

tubes,  having  both  of 

the  following 

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

b. Utilising electrostatic acceleration to induce a tritium-deuterium nuclear reaction. 

3A232Detonators and multipoint initiation systems, as follows: 

N.B.: SEE ALSO MILITARY GOODS CONTROLS 

a. Electrically driven explosive detonators, as follows: 

1. Exploding bridge (EB); 

2. Exploding bridge wire (EBW); 

3. Slapper; 

4. 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 μs. 

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

Technical Note: 

EN 

167 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
In 3A232 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. 

3A233Mass 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 having either of the following characteristics: 

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

2.  A  source  chamber  constructed  from,  lined  with  or  plated  with  materials 
resistant to UF6; 

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

3BTest, Inspection and Production Equipment 

3B001Equipment  for  the  manufacturing  of  semiconductor  devices  or  materials,  as  follows, 
and specially designed components and accessories therefor: 

a. Equipment designed for epitaxial growth, as follows: 

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

2.  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; 

3. Molecular beam epitaxial growth equipment using gas or solid sources; 

EN 

168 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
b. Equipment designed for ion implantation, having any of the following: 

1. A beam energy (accelerating voltage) exceeding 1 MeV; 

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

3. Direct write capability; or 

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

c. Anisotropic plasma dry etching equipment, as follows: 

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

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

b. Designed for generating less than 0,04 particles/cm2 with a measurable 
particle size greater than 0,1 μm in diameter; 

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

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

b. Designed for generating less than 0,04 particles/cm2 with a measurable 
particle size greater than 0,12 μm in diameter; 

d. Plasma enhanced CVD equipment, as follows: 

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

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

e. 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 

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

EN 

169 

   EN 

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

f. Lithography equipment, as follows: 

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

a. A light source wavelength shorter than 245 nm; or 

b.  Capable  of  producing  a  pattern  with  a«minimum  resolvable  feature» 
size of 180 nm or less; 

Technical Note: 

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

MRF  =  ((an  exposure 
factor))/(numerical aperture) 

light  source  wavelength 

in  nm)  ×  (K 

where the K factor = 0,45 

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 μm; 

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

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

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

h. Multi-layer masks with a phase shift layer. 

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

3B002Test  equipment,  specially  designed  for  testing  finished  or  unfinished  semiconductor 

devices, as follows, and specially designed components and accessories therefor: 

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

b. Not used; 

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

EN 

170 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3CMaterials 

3C001Hetero-epitaxial materials consisting of a «substrate» having stacked epitaxially grown 
multiple layers of any of the following: 

a. Silicon; 

b. Germanium; 

c. Silicon carbide; or 

d. III/V compounds of gallium or indium. 

Technical Note: 

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

3C002Resist materials, as follows, and «substrates» coated with controlled resists: 

a.  Positive  resists  designed  for  semiconductor  lithography  specially  adjusted 
(optimised) for use at wavelengths below 350 nm; 

b. All resists designed for use with electron beams or ion beams, with a sensitivity of 
0,01 μcoulomb/mm2 or better; 

c. All resists designed for use with X-rays, with a sensitivity of 2,5 mJ/mm2 or better; 

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. 

3C003Organo-inorganic compounds, as follows: 

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

b.  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. 

3C004Hydrides  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. 

EN 

171 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3DSoftware 

3D001«Software»  specially  designed  for  the  «development»  or  «production»  of  equipment 
specified in 3A001.b. to 3A002.g. or 3B. 

3D002«Software» specially designed for the «use» of any of the following: 

a. Equipment specified in 3B001.a. to f.; or 

b. Equipment specified in 3B002. 

3D003Physics-based  simulation  «software»  specially  designed  for  the  «development»  of 
lithographic,  etching  or  deposition  processes  for  translating  masking  patterns  into  specific 
topographical patterns in conductors, dielectrics or semiconductor materials. 

Technical Note: 

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

Note: Libraries, design attributes or associated data for the design of semiconductor 
devices or integrated circuits are considered as «technology». 

3D004«Software»  specially  designed  for  the  «development»  of  the  equipment  specified  in 
3A003. 

3D101«Software»  specially  designed  or  modified  for  the  «use»  of  equipment  specified  in 
3A101.b. 

3ETechnology 

3E001«Technology»  according  to  the  General  Technology  Note  for  the  «development»  or 
«production» of equipment or materials specified in 3A, 3B or 3C; 

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

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

1.Using «technology» of 0,5 μm or more, and 

2.Not incorporating «multi-layer structures». 

Technical Note: 

The term «multi-layer structures» does not include devices incorporating a maximum 
of three metal layers and three polysilicon layers. 

3E002«Technology»  according  to  the  General  Technology  Note  other  than  that  specified  in 
3E001  for  the  «development»  or  «production»  of  «microprocessor  microcircuits», 

EN 

172 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
«microcomputer  microcircuits»  and  microcontroller  microcircuits  having  a 
«composite theoretical performance» («CTP») of 530 million theoretical operations 
per second (Mtops) or more and an arithmetic logic unit with an access width of 32 
bits or more. 

Note: Decontrol note 2 to 3E001 also applies to 3E002. 

3E003Other «technology» for the «development» or «production» of: 

a. Vacuum microelectronic devices; 

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

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

c.«Superconductive» electronic devices; 

d. Substrates of films of diamond for electronic components; 

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

f. Substrates of silicon carbide for electronic components; 

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

3E101«Technology» according to the General Technology Note for the «use» of equipment 
or «software» specified in 3A001.a.1. or 2., 3A101 or 3D101. 

3E102«Technology»  according  to  the  General  Technology  Note  for  the  «development»  of 
«software» specified in 3D101. 

3E201«Technology» according to the General Technology Note for the «use» of equipment 
specified in 3A001.e.2., 3A001.e.3., 3A201, 3A225 to 3A233. 

CATEGORY 4 

COMPUTERS 

1:  Computers, 

Note 
performing 
telecommunications  or  «local  area  network»  functions  must  also  be  evaluated 
against the performance characteristics of Category 5, Part 1 (Telecommunications). 

«software» 

equipment 

related 

and 

Note  2:  Control  units  which  directly  interconnect  the  buses  or  channels  of  central 
processing  units,  «main  storage»  or  disk  controllers  are  not  regarded  as 
telecommunications 
1 
described 
(Telecommunications). 

in  Category 

equipment 

Part 

5, 

N.B.:  For  the  control  status  of  «software»  specially  designed  for  packet  switching, 
see 5D001. 

EN 

173 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
Note  3:  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»). 

4ASystems, Equipment and Components 

4A001Electronic  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. 

Total Dose 

5 × 103 Gy (silicon); 

b.  Dose Rate Upset 

5 × 106 Gy (silicon)/s; 
or 

c. 

Single Event Upset 

1 × 10–7 Error/bit/day; 

b. Having characteristics or performing functions exceeding the limits in Category 5, 
Part 2 («Information Security»). 

Note:  4A001.b.  does  not  control  electronic  computers  and  related  equipment  when 
accompanying their user for the user's personal use. 

4A003«Digital  computers»,  «electronic  assemblies»,  and  related  equipment  therefor,  as 

follows, and specially designed components therefor: 

Note 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». 

EN 

174 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Note  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. 

N.B.  2:  For  the  control  status  of  «digital  computers»  or  related 
equipment  for  telecommunications  equipment,  see  Category  5,  Part  1 
(Telecommunications). 

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 of 4A003.a., «digital computers» and related equipment are 
not considered to be designed or modified for «fault tolerance» if they utilise any of 
the following: 

1.Error detection or correction algorithms in «main storage»; 

2.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; 

3.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.«Digital  computers»  having  an  «Adjusted  Peak  Performance»  («APP») 
exceeding 0.75 Weighted TeraFLOPS (WT); 

c.«Electronic assemblies» specially designed or modified for enhancing performance 
by aggregation of processors so that the «APP» of the aggregation exceeds the limit 
in 4A003.b.; 

EN 

175 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Note  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.e. 

Note 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 of 4A003.b. 

d. Not used; 

e.  Equipment  performing  analogue-to-digital  conversions  exceeding  the  limits  in 
3A001.a.5.; 

f. Not used; 

g.  Equipment  specially  designed  to  provide  external  interconnection  of  «digital 
computers»  or  associated  equipment  which  allows  communications  at  data  rates 
exceeding 1.25 Gbyte/s. 

Note: 4A003.g. does not control internal interconnection equipment (e.g. backplanes, 
buses),  passive 
interconnection  equipment,  «network  access  controllers»  or 
«communications channel controllers». 

4A004Computers,  as  follows,  and  specially  designed  related  equipment,  «electronic 

assemblies» and components therefor: 

a.«Systolic array computers»; 

b.«Neural computers»; 

c.«Optical computers». 

4A101Analogue  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. 

4BTest, Inspection and Production Equipment 

None. 

4CMaterials 

None. 

EN 

176 

   EN 

 
 
 
 
 
 
 
 
 
 
 
4DSoftware 

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 

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

b.«Software», other than  that specified in 4D001.a., specially designed or modified 
for the «development» or «production» of: 

1.«Digital  computers»  having  an  «Adjusted  Peak  Performance»  («APP») 
exceeding 0.04 Weighted TeraFLOPS (WT ); or 

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

4D002«Software» specially designed or modified to support «technology» specified in 4E. 

4D003Specific «software», as follows: 

a.  Operating  system  «software»,  «software»  development  tools  and  compilers 
specially designed for «multi-data-stream processing» equipment, in «source code»; 

b. Not used; 

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

Note:  4D003.c.  does  not  control  «software»  when  accompanying  its  user  for  the 
user's personal use. 

4ETechnology 

4E001 

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

b.«Technology»,  other  than  that  specified  in  4E001.a.,  specially  designed  or 
modified for the «development» or «production» of: 

1.«Digital  computers»  having  an  «Adjusted  Peak  Performance»  («APP») 
exceeding 0.04 Weighted TeraFLOPS (WT); or 

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

EN 

177 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
Technical note on «Composite Theoretical Performance» («CTP») 

Abbreviations used in this Technical Note 

«CE» 

FP 

XP 

t 

XOR 

CPU 

TP 

«computing element» (typically an arithmetic logical 
unit) 

floating point 

fixed point 

execution time 

exclusive OR 

central processing unit 

theoretical performance (of a single «CE») 

«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: 

1. Calculate the effective calculating rate R for each «CE»; 

2.  Apply  the  word  length  adjustment  (L)  to  the  effective  calculating  rate  (R), 
resulting in a Theoretical Performance (TP) for each «CE»; 

3.  If  there  is  more  than  one  «CE»,  combine  the  TPs,  resulting  in  a  «CTP»  for  the 
aggregation. 

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 

EN 

178 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
«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. 

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: 

Effective calculating Rate, R 

Note:  Every 
independently. 

«CE»  must 

be 

evaluated 

XP only 

(Rxp) = (1)/(3 × (txp add)) 

if no add is implemented use: 

(Rxp) = (1)/(txp mult) 

If neither add nor multiply is 
implemented use the fastest available 
arithmetic operation as follows: 

(Rxp) = (1)/(3 × (txp)) 

See Notes X & Z 

FP only 

Rfp = max (1)/(tfp add), (1)/(tfp mult) 

Both FP and XP (R) 

For simple logic processors not implementing 
any of the specified arithmetic operations. 

For special logic processors not using any of the 
specified arithmetic or logic operations. 

See Notes X & Y 

Calculate both Rxp, Rfp 

R = (1)/(3 × tlog) 

Where tlog is the execute time of the 
XOR, or for logic hardware not 
implementing the XOR, the fastest simple 
logic operation. 

See Notes X & Z 

R = R' × WL/64 

Where R' is the number of results per 

EN 

179 

   EN 

 
 
 
second, WL is the number of bits upon 
which the logic operation occurs, and 64 
is a factor to normalise to a 64 bit 
operation. 

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) 

to  be 

«CEs»  which  perform  different  types  of  arithmetic  or  logic  operations  in  a  single 
treated  as  multiple  separate  «CEs»  performing 
machine  cycle  are 
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)/(tfp divide) 

If  the  «CE»  implements  FP  reciprocal  but  not  FP  add,  FP  multiply  or  FP  divide, 
then 

Rfp = (1)/(tfp reciprocal) 

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. 

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). 

EN 

180 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
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» (Rxp); 

Each FP-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. 

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. 

EN 

181 

   EN 

 
 
 
 
 
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». 

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.c. 

«CTP» = TP1 + C2 × TP2 + … + Cn × TPn, 

where  the  TPs  are  ordered  by  value,  with  TP1  being  the  highest,  TP2  being  the 
second  highest,  …,  and  TPn  being  the  lowest.  Ci  is  a  coefficient  determined  by  the 
strength of the interconnection between «CEs», as follows: 

For multiple «CEs» operating simultaneously and sharing memory: 

C2 = C3 = C4 = … = Cn = 0,75 

Note  1:  When  the  «CTP»  calculated  by  the  above  method  does  not  exceed  194 
Mtops, the following formula may be used to calculate Ci: 

Ci = (0,75)/(√m)(i = 2,…,n) 

where m = the number of «CEs» or groups of «CEs» sharing access. 

provided: 

1.The TPi of each «CE» or group of «CEs» does not exceed 30 Mtops; 

2.The  «CEs»  or  groups  of  «CEs»  share  access  to  main  memory  (excluding 
cache memory) over a single channel; and 

EN 

182 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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. 

For Multiple «CEs» or groups of «CEs» not sharing memory, interconnected by one or more 
data channels: 

Ci 

= 0,75 × ki (i = 2, …, 32) (see Note below) 

= 0,60 × ki (i = 33, …, 64) 

= 0,45 × ki (i = 65, …, 256) 

= 0,30 × ki (i > 256) 

The value of Ci is based on the number of «CE»s, not the number of nodes. 

where 

ki 

Kr 

Si 

=  min (Si/Kr, 1), and 

= 

= 

normalising factor of 20 MByte/s. 

sum of the maximum data rates (in units of MByte/s) for all data channels 
connected to the ith«CE» or group of «CEs» sharing memory. 

When  calculating  a  Ci  for  a  group  of  «CEs»,  the  number  of  the  first  «CE»  in  a  group 
determines the proper limit for Ci. For example, in an aggregation of groups consisting of 3 
«CEs» each, the 22nd group will contain «CE»64, «CE»65 and «CE»66. The proper limit for Ci 
for this group is 0,60. 

Aggregation (of «CEs» or groups of «CEs») should be from the fastest-to-slowest; i.e.: 

TP1 ≥ TP2 ≥ … ≥ TPn, and 

in the case of TPi = TPi + 1, from the largest to smallest; i.e.: 

Ci ≥ Ci + 1 

Note: The ki factor is not to be applied to «CEs» 2 to 12 if the TPi of the «CE» or group of 
«CEs» is more than 50 Mtops; i.e., Ci for «CEs» 2 to 12 is 0,75. 

EN 

183 

   EN 

 
 
 
 
 
 
 
TECHNICAL NOTE ON «ADJUSTED PEAK PERFORMANCE» («APP») 

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

«APP» is expressed in Weighted TeraFLOPS (WT), in units of 1012 adjusted floating point 
operations per second 

Abbreviations used in this Technical Note 

n 

i 

ti 

Fi 

Ri 

Wi 

number of processors in the «digital 
computer» 

processor number (i,...n) 

processor cycle time (ti = 1/Fi) 

processor frequency 

peak floating point calculating rate 

architecture adjustment factor 

Outline of «APP» calculation method 

1. For each processor i, determine the peak number of 64-bit or larger floating point 
operations, FPOi, performed per cycle for each processor in the «digital computer». 

Note 

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

2. Calculate the floating point rate R for each processor Ri = FPOi/ti. 

3. Calculate «APP» as «APP» = W1 x R1 + W2 x R2 + … + Wn x Rn. 

4. For «vector processors», Wi = 0.9. For non-«vector processors», Wi = 0.3. 

Note  1  For  processors  that  perform  compound  operations  in  a  cycle,  such  as 
addition and multiplication, each operation is counted. 

Note 2 For a pipelined processor the effective calculating rate R is the faster of the 
pipelined rate, once the pipeline is full, or the non-pipelined rate. 

Note 3 The calculating rate R of each contributing processor is to be calculated at its 
maximum  value  theoretically  possible  before  the  «APP»  of  the  combination  is 
derived.  Simultaneous  operations  are  assumed  to  exist  when  the  computer 

EN 

184 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
manufacturer claims concurrent, parallel, or simultaneous operation or execution in 
a manual or brochure for the computer. 

Note  4  Do  not  include  processors  that  are  limited  to  input/output  and  peripheral 
functions  (e.g.,  disk  drive,  communication  and  video  display)  when  calculating 
«APP». 

Note  5«APP»  values  are  not  to  be  calculated  for  processor  combinations 
(inter)connected  by  «Local  Area  Networks»,  Wide  Area  Networks,  I/O  shared 
connections/devices,  I/O  controllers  and  any  communication 
interconnection 
implemented by «software». 

TECHNICAL NOTE ON «ADJUSTED PEAK PERFORMANCE» («APP») 

Note 6«APP» values must be calculated for: 

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

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

Note 7 A «vector processor» is defined as a processor with built-in instructions that 
perform  multiple  calculations  on  floating-point  vectors  (one-dimensional  arrays  of 
64-bit  or  larger  numbers)  simultaneously,  having  at  least  2  vector  functional  units 
and at least 8 vector registers of at least 64 elements each. 

CATEGORY 5 

TELECOMMUNICATIONS AND «INFORMATION SECURITY» 

PART 1 

TELECOMMUNICATIONS 

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

Note 2:«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. 

5A1Systems, Equipment and Components 

5A001 

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

EN 

185 

   EN 

 
 
 
 
 
 
 
 
 
 
1.  Specially  designed 
to  withstand 
electromagnetic pulse effects, both arising from a nuclear explosion; 

transitory  electronic  effects  or 

2. Specially hardened to withstand gamma, neutron or ion radiation; or 

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

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

Note:  5A001.a.2.  and  5A001.a.3.  do  not  control  equipment  designed  or 
modified for use 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: 

1.  Being  underwater  communications  systems  having  any  of  the  following 
characteristics: 

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

b. Using an electromagnetic carrier frequency below 30 kHz; or 

c. Using electronic beam steering techniques; 

2.  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 
suppression of an interfering signal; or 

than  15 dB 

b. Having all of the following: 

1.  Automatically  predicting  and  selecting  frequencies  and  «total 
digital transfer rates» per channel to optimise the transmission; and 

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 frequency range of 1,5 MHz or more 
but less than 30 MHz, or 250 W or more in the frequency range of 
30 MHz  or  more  but  not  exceeding  87,5 MHz,  over  an 
«instantaneous  bandwidth»  of  one  octave  or  more  and  with  an 
output harmonic and distortion content of better than – 80 dB; 

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

a. User programmable spreading codes; or 

EN 

186 

   EN 

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

Note:  5A001.b.3.  does  not  control  equipment  designed  to  operate  at  an 
output power of 1,0 Watt or less. 

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

a. A bandwidth exceeding 500 MHz; or 

b. A «fractional bandwidth» of 20 % or more; 

5. Being digitally controlled radio receivers having all of the following: 

a. More than 1000 channels; 

b. A «frequency switching time» of less than 1 ms; 

c.  Automatic  searching  or  scanning  of  a  part  of  the  electromagnetic 
spectrum; and 

d. Identification of the received signals or the type of transmitter; or 

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

6. Employing functions of digital «signal processing» to provide «voice 
coding» output at rates of less than 2400 bit/s. 

Technical Notes: 

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

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

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

1.  Optical  fibres  of  more  than  500 m  in  length,  and  specified  by  the 
manufacturer  as  being  capable  of  withstanding  a  proof  test  tensile  stress  of 
2 × 109 N/m2 or more; 

Technical Note: 

EN 

187 

   EN 

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

2. Optical fibre cables and accessories designed for underwater use. 

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

N.B.  1:  For  underwater  umbilical  cables,  and  connectors  therefor,  see 
8A002.a.3. 

N.B. 2: For fibre-optic hull penetrators or connectors, see 8A002.c. 

d.«Electronically steerable phased array antennae» operating above 31.8 GHz. 

Note:  5A001.d.  does  not  control  «electronically  steerable  phased  array  antennae» 
for  landing  systems  with  instruments  meeting  ICAO  standards  covering  microwave 
landing systems (MLS). 

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

1.«Instantaneous bandwidth» of 10 MHz or more; and 

2.  Capable  of  finding  a  line  of  bearing  (LOB)  to  non-cooperating  radio 
transmitters with a signal duration of less than 1 ms. 

Note:  5A001.d.  does  not  control  «electronically  steerable  phased  array  antennae» 
for  landing  systems  with  instruments  meeting  ICAO  standards  covering  microwave 
landing systems (MLS). 

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

1. Simulating the functions of Radio Access Network (RAN) equipment; or 

2.  Detecting  and  exploiting  specific  characteristics  of 
telecommunications protocol employed (e.g., GSM). 

the  mobile 

N.B.: For GNSS jamming equipment see Military Goods Controls. 

5A101  Telemetering  and  telecontrol  equipment,  including  ground  equipment,  designed  or 

modified for «missiles». 

Technical Note: 

EN 

188 

   EN 

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

Note: 5A101 does not control: 

a.Equipment designed or modified for manned aircraft or satellites; 

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

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

5B1Test, Inspection and Production Equipment 

5B001 

a.  Equipment  and  specially  designed  components  or  accessories  therefor,  specially 
designed  for  the  «development»,  «production»  or  «use»  of  equipment,  functions  or 
features specified in 5A001, 5B001, 5D001 or 5E001. 

Note: 5B001.a. does not control optical fibre characterisation equipment. 

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

1.  Equipment  employing  digital  techniques  designed  to  operate  at  a  «total 
digital transfer rate» exceeding 15 Gbit/s; 

Technical Note: 

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

2. Equipment employing a «laser» and having any of the following: 

a. A transmission wavelength exceeding 1750 nm; 

b. Performing «optical amplification»; 

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

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

Note: 5B001.b.2.d. does not control equipment specially designed for the 
«development» of commercial TV systems. 

3. Equipment employing «optical switching»; 

EN 

189 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
4.  Radio  equipment  employing  quadrature-amplitude-modulation  (QAM) 
techniques above level 256; or 

5.  Equipment  employing  «common  channel  signalling»  operating  in  non-
associated mode of operation. 

5C1Materials 

None 

5D1Software 

5D001 

a.«Software» specially designed or modified for the «development», «production» or 
«use» of equipment, functions or features specified by 5A001 or 5B001. 

b.«Software»  specially  designed  or  modified  to  support  «technology»  specified  in 
5E001. 

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

d.«Software»  specially  designed  or  modified  for  the  «development»  of  any  of  the 
following telecommunication transmission or switching equipment: 

1.  Equipment  employing  digital  techniques  designed  to  operate  at  a  «total 
digital transfer rate» exceeding 15 Gbit/s; 

Technical Note: 

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

2. Equipment employing a «laser» and having any of the following: 

a. A transmission wavelength exceeding 1750 nm; or 

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

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

3. Equipment employing «optical switching»; or 

4.  Radio  equipment  employing  quadrature-amplitude-modulation  (QAM) 
techniques above level 256. 

5D101«Software»  specially  designed  or  modified  for  the  «use»  of  equipment  specified  in 
5A101. 

EN 

190 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
5E1Technology 

5E001 

a.«Technology» according to  the General Technology Note for the «development», 
«production» or «use» (excluding operation) of equipment, functions or  features or 
«software» specified in 5A001, 5B001 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  «development»  of  digital  cellular  radio  base  station 
receiving equipment whose reception capabilities that allow multi-band, multi-
channel,  multi-mode,  multi-coding  algorithm  or  multi-protocol  operation  can 
be modified by changes in «software»; 

4.«Technology»  for  the  «development»  of  «spread  spectrum»  techniques, 
including «frequency hopping» techniques. 

c.«Technology» according to the General Technology Note for the «development» or 
«production»  of  any  of  the  following  telecommunication  transmission  or  switching 
equipment, functions or features: 

1.  Equipment  employing  digital  techniques  designed  to  operate  at  a  «total 
digital transfer rate» exceeding 15 Gbit/s; 

Technical Note: 

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

2. Equipment employing a «laser» and having any of the following: 

a. A transmission wavelength exceeding 1750 nm; 

b.  Performing  «optical  amplification»  using  praseodymium-doped 
fluoride fibre amplifiers (PDFFA); 

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

d.  Employing  wavelength  division  multiplexing  techniques  exceeding  8 
optical carriers in a single optical window; or 

EN 

191 

   EN 

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

Note: 5E001.c.2.e. does not control «technology» for the «development» 
or «production» of commercial TV systems. 

3. Equipment employing «optical switching»; 

4. Radio equipment having any of the following: 

a. Quadrature-amplitude-modulation (QAM) techniques above level 256; 
or 

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

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

ITU» 

the 

5. Equipment employing «common channel signalling» operating in non-
associated mode of operation. 

5E101«Technology»  according  to  the  General  Technology  Note  for  the  «development», 
«production» or «use» of equipment specified in 5A101. 

PART 2 

«INFORMATION SECURITY» 

Note 1: The control status of «information security» equipment, «software», systems, 
integrated  circuits, 
application  specific  «electronic  assemblies»,  modules, 
components  or  functions  is  determined  in  Category  5,  Part  2  even  if  they  are 
components or «electronic assemblies» of other equipment. 

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

Note 3: 

Cryptography Note 

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

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

1.Over-the-counter transactions; 

2.Mail order transactions; 

3.Electronic transactions; or 

EN 

192 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
4.Telephone call transactions; 

b.The cryptographic functionality cannot easily be changed by the user; 

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

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

Technical Note: 

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

5A2Systems, Equipment and Components 

5A002a.  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 
performing  any  cryptographic  function  other  than  authentication  or  digital  signature  having 
any of the following: 

Technical Notes: 

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

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

3.«Cryptography» does not include «fixed» data compression or coding 
techniques. 

to  use 
Note:  5A002.a.1. 
«cryptography» employing analogue principles when implemented with digital 
techniques. 

includes  equipment  designed  or  modified 

a. A «symmetric algorithm» employing a key length in excess of 56 bits; or 

b. An «asymmetric algorithm» where the security of the algorithm is based on 
any of the following: 

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

EN 

193 

   EN 

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

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

2. Designed or modified to perform cryptanalytic functions; 

3. Not used; 

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

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

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

a. A bandwidth exceeding 500 MHz; or 

b. A «fractional bandwidth» of 20 % or more. 

7. Not used; 

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

9. Designed or modified to use «quantum cryptography». 

Technical Note: 

«Quantum cryptography» is also known as quantum key distribution (QKD). 

Note: 5A002 does not control: 

a.«Personalised smart cards»: 

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

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

N.B.: If a «personalised smart card» has multiple functions, the control status 
of each function is assessed individually; 

b.Receiving equipment for radio broadcast, pay television or similar restricted 
audience  broadcast  of  the  consumer  type,  without  digital  encryption  except 

EN 

194 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
that exclusively used for sending the billing or programme-related information 
back to the broadcast providers; 

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

1.Execution of copy-protected «software»; 

2.Access to any of the following: 

a.Copy-protected contents stored on read-only media; or 

in 
b.Information  stored 
connection with the protection of intellectual property rights) when 
the media is offered for sale in identical sets to the public; 

form  on  media  (e.g. 

in  encrypted 

3.Copying control of copyright protected audio/video data; or 

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

d.Cryptographic equipment specially designed and limited for banking use or 
«money transactions»; 

Technical Note: 

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

e.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; 

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

5B2Test, 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. 

EN 

195 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
5C2Materials 

None. 

5D2Software 

5D002 

a.«Software» specially designed or modified for the «development», «production» or 
«use» of equipment or «software» specified in 5A002, 5B002 or 5D002; 

b.«Software»  specially  designed  or  modified  to  support  «technology»  specified  in 
5E002; 

c. 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. 

5E2Technology 

5E002«Technology»  according  to  the  General  Technology  Note  for  the  «development», 
«production» or «use» of equipment or «software» specified in 5A002, 5B002 or 5D002. 

CATEGORY 6 

SENSORS AND LASERS 

6ASystems, Equipment and Components 

6A001Acoustics: 

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.1. 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; 

EN 

196 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
b.Acoustic beacons, as follows: 

1.Acoustic emergency beacons; 

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

a.  Wide-swath  bathymetric  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: 

a. Incorporation of multiple beams any of which is less than 1,9°; 
or 

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 μPa 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 μPa 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 5120 m; or 

6.  Designed  to  withstand  pressure  during  normal  operation  at 
depths  exceeding  1000  m  and  having  transducers  with  any  of  the 
following: 

a. Dynamic compensation for pressure; or 

b.  Incorporating  other 
transduction element; 

than 

lead  zirconate 

titanate  as 

the 

c. Acoustic projectors, including transducers, incorporating piezoelectric, 
magnetostrictive,  electrostrictive,  electrodynamic  or  hydraulic  elements 

EN 

197 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
operating  individually  or  in  a  designed  combination,  having  any  of  the 
following: 

Note  1:  The  control  status  of  acoustic  projectors,  including 
transducers,  specially  designed  for other  equipment  is  determined 
by the control status of the other equipment. 

Note  2:  6A001.a.1.c.  does  not  control  electronic  sources  which 
direct  the  sound  vertically  only,  or  mechanical  (e.g.,  air  gun  or 
vapour-shock gun) or chemical (e.g., explosive) sources. 

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; or 

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. 

3. Side-lobe suppression exceeding 22 dB; 

d.  Acoustic  systems,  equipment  and  specially  designed  components  for 
determining  the  position  of  surface  vessels  or  underwater  vehicles 
designed  to  operate  at  a  range  exceeding  1000  m  with  a  positioning 
accuracy of less than 10 m rms (root mean square) when measured at a 
range of 1000 m; 

Note: 6A001.a.1.d. includes: 

a.Equipment  using  coherent  «signal  processing»  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. 

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

a. Hydrophones having any of the following characteristics: 

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

1. Incorporating continuous flexible sensing elements; 

EN 

198 

   EN 

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

3. Having any of the following sensing elements: 

a. Optical fibres; 

b.«Piezoelectric polymer films» other than polyvinylidene-fluoride 
(PVDF) and its copolymers {}{P(VDF-TrFE) and P(VDF-TFE)}}; 
or 

c.«Flexible piezoelectric composites»; 

4.  A  «hydrophone  sensitivity»  better  than  – 180  dB  at  any  depth 
with no acceleration compensation; 

5.  When  designed  to  operate  at  depths  exceeding  35  m  with 
acceleration compensation; or 

6. Designed for operation at depths exceeding 1000 m; 

Technical Notes: 

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

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

3.«Hydrophone sensitivity» is defined as twenty times the logarithm 
to  the  base  10  of  the  ratio  of  rms  output  voltage  to  a  1  V  rms 
reference, when the hydrophone sensor, without a pre-amplifier, is 
placed  in  a  plane  wave  acoustic  field  with  an  rms  pressure  of  1 
μPa.  For  example,  a  hydrophone  of  – 160  dB  (reference  1  V  per 
μPa) would yield an output voltage of 10-8 V in such a field, while 
one of – 180 dB sensitivity would yield only 10-9 V output. Thus, –
 160 dB is better than – 180 dB. 

b. Towed acoustic hydrophone arrays having any of the following: 

1.  Hydrophone  group  spacing  of  less  than  12,5  m  or  «able  to  be 
modified» to have hydrophone group spacing of less than 12,5 m; 

2.  Designed  or  «able  to  be  modified»  to  operate  at  depths 
exceeding 35 m; 

Technical Note: 

EN 

199 

   EN 

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

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

4. Longitudinally reinforced array hoses; 

5. An assembled array of less than 40 mm in diameter; 

6.  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 

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

towed  acoustic 
c.  Processing  equipment,  specially  designed  for 
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.  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; 

e. Bottom or bay cable systems having any of the following: 

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

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

a.  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; and 

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

f.  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, 

EN 

200 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
digital filtering and beamforming using Fast Fourier or other transforms 
or processes; 

b. 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. 

6A002Optical sensors 

N.B.: SEE ALSO 6A102. 

a. Optical detectors, as follows: 

Note: 6A002.a. does not control germanium or silicon photodevices. 

N.B.: Silicon and other material based microbolometer non «space-qualified»«focal 
plane arrays» are only specified in 6A002.a.3.f. 

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 1200 nm; and 

2. A response «time constant» of 95 ns or less; 

c.«Space-qualified»  solid-state  detectors  having  a  peak  response  in  the 
wavelength range exceeding 1200 nm but not exceeding 30000 nm; 

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 1050 nm; 

2.  A  microchannel  plate  for  electron  image  amplification  with  a 
hole pitch (centre-to-centre spacing) of 12 μm or less; and 

3. Any of the following photocathodes: 

a.  S-20,  S-25  or  multialkali  photocathodes  with  a  luminous 
sensitivity exceeding 350 μA/lm; 

EN 

201 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
b. GaAs or GaInAs photocathodes; or 

c. Other III-V compound semiconductor photocathodes; 

Note: 6A002.a.2.a.3.c. does not apply to 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 12 μm or less; 

2. GaAs or GaInAs photocathodes; 

3. Other III-V compound semiconductor photocathodes; 

Note:  6A002.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: 

N.B.:  Silicon  and  other  material  based  microbolometer  non  «space-
qualified»«focal plane arrays» are only specified in 6A002.a.3.f. 

Technical Notes: 

1.Linear  or  two-dimensional  multi-element  detector  arrays  are 
referred to as «focal plane arrays»; 

2.For the purposes of 6A002.a.3. «cross scan direction» is defined 
as the axis parallel to the linear array of detector elements and the 
«scan direction» is defined as the axis perpendicular to the linear 
array of detector elements. 

Note  1:  6A002.a.3.  includes  photoconductive  arrays  and  photovoltaic 
arrays. 

Note 2: 6A002.a.3. does not control: 

a.Multi-element 
photoconductive cells using either lead sulphide or lead selenide; 

to  exceed  16  elements)  encapsulated 

(not 

b. Pyroelectric detectors using any of the following: 

1. Triglycine sulphate and variants; 

2. Lead-lanthanum-zirconium titanate and variants; 

3. Lithium tantalate; 

4. Polyvinylidene fluoride and variants; or 

EN 

202 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
5. Strontium barium niobate and variants. 

a.  Non-«space-qualified»«focal  plane  arrays»,  having  all  of 
following: 

the 

1. Individual elements with a peak response within the wavelength 
range exceeding 900 nm but not exceeding 1050 nm; and 

2. A response «time constant» of less than 0,5 ns; 

b.  Non-«space-qualified»«focal  plane  arrays»,  having  all  of 
following: 

the 

1.  Individual  elements  with  a  peak  response  in  the  wavelength 
range exceeding 1050 nm but not exceeding 1200 nm; and 

2. A response «time constant» of 95 ns or less; 

c.  Non-«space-qualified»  non-linear  (2-dimensional)  «focal  plane 
arrays»,  having  individual  elements  with  a  peak  response  in  the 
wavelength range exceeding 1200 nm but not exceeding 30000 nm; 

N.B.:  Silicon  and  other  material  based  microbolometer  non  «space-
qualified»«focal plane arrays» are only specified in 6A.002.a.3.f. 

d.  Non-«space-qualified»  linear  (1-dimensional)  «focal  plane  arrays», 
having all of the following: 

1.  Individual  elements  with  a  peak  response  in  the  wavelength 
range exceeding 1200 nm but not exceeding 2500 nm; and 

2. Any of the following: 

a. A ratio of scan direction dimension of the detector element to the 
cross-scan direction dimension of the detector element of less than 
3,8; or 

b. Signal processing in the element (SPRITE); 

e.  Non-«space-qualified»  linear  (1-dimensional)  «focal  plane  arrays», 
having individual elements with a peak response in the wavelength range 
exceeding 2500 nm but not exceeding 30000 nm. 

f.  Non-«space-qualified»  non-linear  (2-dimensional)  infrared  «focal 
plane  arrays»  based  on  «micro-bolometer»  material  having  individual 
elements with an unfiltered response in the wavelength range equal to or 
exceeding 8000 nm but not exceeding 14000 nm. 

Technical Note: 

For  the  purposes  of  6A002.a.3.f.  «micro-bolometer»  is  defined  as  a 
thermal imaging detector that, as a result of a temperature change in the 

EN 

203 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
detector  caused  by  the  absorption  of  infrared  radiation,  is  used  to 
generate any usable signal. 

b.«Monospectral imaging sensors» and «multispectral imaging sensors» designed for 
remote sensing applications, having any of the following: 

1.  An 
(microradians); or 

Instantaneous-Field-Of-View 

(IFOV)  of 

less 

than  200  μrad 

2. Being specified for operation in the wavelength range exceeding 400 nm but 
not exceeding 30000 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). 

c.«Direct  view»  imaging  equipment  operating  in  the  visible  or  infrared  spectrum, 
incorporating any of the following: 

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

2.«Focal plane arrays» specified in 6A002.a.3. 

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 GaInAs 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: 

EN 

204 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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-Between-Failures (MTBF), exceeding 2500 hours; 

b. 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  2048  elements  per  array 
and  having  a  peak  response  in  the  wavelength  range  exceeding  300  nm  but  not 
exceeding 900 nm. 

6A003Cameras 

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 and specially designed components therefor, as follows: 

Note: Instrumentation cameras, specified in 6A003.a.3. to 6A003.a.5., with modular 
structures should be evaluated by their maximum capability, using plug-ins available 
according to the camera manufacturer's specifications. 

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 13150 frames/s; 

Note: 6A003.a.1. does not control cinema recording cameras designed for civil 
purposes. 

2. Mechanical high-speed cameras, in which the film does not move, capable 
of recording at rates exceeding 1000000 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/s; 

4. Electronic framing cameras having a speed exceeding 1000000 frames/s; 

5. Electronic cameras, having all of the following: 

EN 

205 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
a. An electronic shutter speed (gating capability) of less than 1 μs per full 
frame; and 

b. A read out time allowing a framing rate of more than 125 full frames 
per second. 

6. Plug-ins, having all of the following characteristics: 

a.  Specially  designed  for  instrumentation  cameras  which  have  modular 
structures and which are specified in 6A003.a.; and 

b.  Enabling  these  cameras  to  meet  the  characteristics  specified  in 
6A003.a.3.,  6A003.a.4.,  or  6A003.a.5.,  according  to  the  manufacturer's 
specifications. 

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 a peak response in 
the  wavelength  range  exceeding  10  nm,  but  not  exceeding  30000  nm  and 
having all of the following: 

a. Having any of the following: 

1.  More  than  4  ×  106«active  pixels»  per  solid  state  array  for 
monochrome (black and white) cameras; 

2. More than 4 × 106«active pixels» per solid state array for colour 
cameras incorporating three solid state arrays; or 

3.  More  than  12  ×  106«active  pixels»  for  solid  state  array  colour 
cameras incorporating one solid state array; and 

b. Having any of the following: 

1. Optical mirrors controlled by 6A004.a.; 

2. Optical control equipment controlled by 6A004.d.; or 

3.  The  capability  for  annotating  internally  generated  camera 
tracking data. 

Technical Note: 

1.For  the  purpose  of  this  entry,  digital  video  cameras  should  be 
evaluated by the maximum number of «active pixels» used for capturing 
moving images. 

2.For the purpose of this entry, camera tracking data is the information 
necessary  to  define  camera  line  of  sight  orientation  with  respect  to  the 
earth.  This  includes:  1)  the  horizontal  angle  the  camera  line  of  sight 

EN 

206 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
makes  with  respect  to  the  earth's  magnetic  field  direction  and;  2)  the 
vertical angle between the camera line of sight and the earth's horizon. 

2. Scanning cameras and scanning camera systems, having all of the following: 

a.  A  peak  response  in  the  wavelength  range  exceeding  10  nm,  but  not 
exceeding 30000 nm; 

b. Linear detector arrays with more than 8192 elements per array; and 

c. Mechanical scanning in one direction; 

3.  Imaging  cameras  incorporating  image  intensifier  tubes  specified  in 
6A002.a.2.a.; 

4.«Imaging  cameras»  incorporating  «focal  plane  arrays»  having  any  of  the 
following: 

a.  Incorporating  «focal  plane  arrays»  controlled  by  6A002.a.3.a.  to 
6A002.a.3.e.; or 

b. Incorporating «focal plane arrays» controlled by 6A002.a.3.f. 

Note 1:«Imaging cameras» described in 6A003.b.4 include «focal plane 
arrays»  combined  with  sufficient  signal  processing  electronics,  beyond 
the read out integrated circuit, to enable as a minimum the output of an 
analogue or digital signal once power is supplied. 

Note  2:  6A003.b.4.a.  does  not  control  imaging  cameras  incorporating 
linear «focal plane arrays» with twelve elements or fewer, not employing 
time-delay-and-integration  within  the  element,  designed  for  any  of  the 
following: 

a.Industrial  or  civilian  intrusion  alarm,  traffic  or  industrial 
movement control or counting systems; 

b.Industrial  equipment  used  for  inspection  or  monitoring  of  heat 
flows in buildings, equipment or industrial processes; 

c.Industrial  equipment  used  for  inspection,  sorting  or  analysis  of 
the properties of materials; 

d.Equipment specially designed for laboratory use; or 

e.Medical equipment. 

Note 3: 6A003.b.4.b. does not control imaging cameras having any of the 
following characteristics: 

a.A maximum frame rate equal to or less than 9 Hz; 

b.Having all of the following: 

EN 

207 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1.Having a minimum horizontal or vertical Instantaneous-Field-of-
View (IFOV) of at least 10 mrad/pixel (milliradians/pixel); 

2.Incorporating a fixed focal-length lens that is not designed to be 
removed; 

3.Not incorporating a «direct view» display, and 

4.Having any of the following: 

a.No  facility  to  obtain  a  viewable  image  of  the  detected  field-of-
view, or 

b.The  camera  is  designed  for  a  single  kind  of  application  and 
designed not to be user modified; or 

c.Where  the  camera  is  specially  designed  for  installation  into  a 
civilian  passenger  land  vehicle  of  less  than  three  tonnes  (gross 
vehicle weight) and having all of the following: 

1.Is only operable when installed in any of the following: 

a.The civilian passenger land vehicle for which it was intended; or 

b.A specially designed, authorized maintenance test facility; and 

2.Incorporates an active mechanism that forces the camera not to 
function  when  it  is  removed  from  the  vehicle  for  which  it  was 
intended. 

Technical Notes: 

1.Instantaneous Field of View (IFOV) specified in 6A003.b.4. Note 
3.b.  is  the  lesser  figure  of  the  Horizontal  IFOV  or  the  Vertical 
IFOV. 

Horizontal  IFOV  =  horizontal  Field  of  View  (FOV)/number  of 
horizontal detector elements 

Vertical  IFOV  =  vertical  Field  of  View  (FOV)/number  of  vertical 
detector elements. 

2.«Direct  view»  in  6A003.b.4.  Note  3.b.  refers  to  an  imaging 
camera  operating  in  the  infrared  spectrum  that  presents  a  visual 
image  to  a  human  observer  using  a  near-to-eye  micro  display 
incorporating any light-security mechanism. 

6A004Optics 

a. Optical mirrors (reflectors), as follows: 

EN 

208 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1.«Deformable  mirrors»  having  either  continuous  or  multi-element  surfaces, 
therefor,  capable  of  dynamically 
and  specially  designed  components 
repositioning portions 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/m2 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  3000  nm  but  not  exceeding  25000 
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. Raw substrates, processed 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 × 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  μrad  (microradians)  or 
less; 

3. Gimbals having all of the following: 

a. A maximum slew exceeding 5°; 

EN 

209 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
b. A bandwidth of 100 Hz or more; 

c. Angular pointing errors of 200 μrad (microradians) or less; and 

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. 

e.«Aspheric optical elements» having all of the following characteristics: 

1. The largest dimension of the optical-aperture is greater than 400 mm; 

2. The surface roughness is less than 1 nm (rms) for sampling lengths equal to 
or greater than 1 mm; and 

3. The coefficient of linear thermal expansion's absolute magnitude is less than 
3 × 10-6/K at 25 °C. 

Technical Notes: 

1.An «aspheric optical element» is any element used in an optical system 
whose imaging surface or surfaces are designed to depart from the shape 
of an ideal sphere. 

2.Manufacturers  are  not  required  to  measure  the  surface  roughness 
listed  in  6A004.e.2.  unless  the  optical  element  was  designed  or 
manufactured with the intent to meet, or exceed, the control parameter. 

Note:  6A004.e.  does  not  control  aspheric  optical  elements  having  any  of  the 
following: 

a.A largest optical-aperture dimension less than 1 m and a focal length 
to aperture ratio equal to or greater than 4,5:1; 

b.A largest optical-aperture dimension equal to or greater than 1 m and 
a focal length to aperture ratio equal to or greater than 7:1; 

c.Being  designed  as  Fresnel,  flyeye,  stripe,  prism  or  diffractive  optical 
elements; 

d.Being fabricated from borosilicate glass having a coefficient of linear 
thermal expansion greater than 2,5 × 10-6/K at 25 °C; or 

EN 

210 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
e.Being  an  x-ray  optical  element  having  inner  mirror  capabilities  (e.g. 
tube-type mirrors). 

N.B.:  For  aspheric  optical  elements  specially  designed  for  lithography 
equipment, see 3B001. 

6A005«Lasers»,  other  than  those  specified  in  0B001.g.5.  or  0B001.h.6.,  components  and 
optical equipment, as follows: 

N.B.: SEE ALSO 6A205. 

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

Note 2: Pulse-excited «lasers» include those that run in a continuously excited mode 
with pulse excitation superimposed. 

Note 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 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 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 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 output power exceeding 30 W; 

EN 

211 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
N.B.: For excimer «lasers» specially designed for lithography equipment, see 
3B001 

2. Metal vapour «lasers», as follows: 

a.  Copper  (Cu)  «lasers»  having  an  average  output  power  exceeding  20 
W; 

b. Gold (Au) «lasers» having an average output power exceeding 5 W; 

c. Sodium (Na) «lasers» having an output power exceeding 5 W; 

d. Barium (Ba) «lasers» having an average output power exceeding 2 W; 

3. Carbon monoxide (CO) «lasers» having any of the following: 

a. An output energy exceeding 2 J per pulse and a pulsed «peak power» 
exceeding 5 kW; or 

b. An average or CW output power exceeding 5 kW; 

4. Carbon dioxide (CO2) «lasers» having any of the following: 

a. A CW output power exceeding 15 kW; 

b. A pulsed output having a «pulse duration» exceeding 10 μs 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 μs; 
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; 

5.«Chemical lasers», as follows: 

a. Hydrogen Fluoride (HF) «lasers»; 

b. Deuterium Fluoride (DF) «lasers»; 

c.«Transfer lasers», as follows: 

1. Oxygen Iodine (O2-I) «lasers»; 

2. Deuterium Fluoride-Carbon dioxide (DF-CO2) «lasers»; 

6. Krypton ion or argon ion «lasers» having any of the following: 

EN 

212 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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: 6A005.a.7. does not control nitrogen «lasers». 

a.  An  output  wavelength  not  exceeding  150  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  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 30 W; or 

2. An average or CW output power exceeding 30 W; 

c. An output wavelength exceeding 800 nm but not exceeding 1400 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  1400  nm  and  an  average  or  CW 
output power exceeding 1 W. 

b. Semiconductor «lasers», as follows: 

1. Individual single-transverse mode semiconductor «lasers», having any of the 
following: 

a. A wavelength equal to or less than 1510 nm, and having an average or 
CW output power exceeding 1,5 W; or 

b.  A  wavelength  greater  than  1510  nm,  and  having  an  average  or  CW 
output power exceeding 500 mW; 

2. Individual, multiple-transverse mode semiconductor «lasers», having any of 
the following: 

a.  A  wavelength  of  less  than  1400  nm,  and  having  an  average  or  CW 
output power exceeding 10 W; 

EN 

213 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
b. A wavelength equal to or greater than 1400 nm and less than 1900 nm, 
and having an average or CW output power exceeding 2,5 W; or 

c. A wavelength equal to or greater than 1900 nm and having an average 
or CW output power exceeding 1 W. 

3. Individual semiconductor «laser» arrays, having any of the following: 

a.  A  wavelength  of  less  than  1400  nm,  and  having  an  average  or  CW 
output power exceeding 80 W; 

b. A wavelength equal to or greater than 1400 nm and less than 1900 nm, 
and having an average or CW output power exceeding 25 W; or 

c. A wavelength equal to or greater than 1900 nm, and having an average 
or CW output power exceeding 10 W. 

4. Array stacks of semiconductor «lasers» containing at least one array that is 
controlled under 6A005.b.3. 

Technical Notes: 

1.Semiconductor «lasers» are commonly called «laser» diodes. 

2.An  «array»  consists  of  multiple  semiconductor  «laser»  emitters 
fabricated as a single chip so that the centres of the emitted light beams 
are on parallel paths. 

3.An  «array  stack»  is  fabricated  by  stacking,  or  otherwise  assembling, 
«arrays»  so  that  the  centres  of  the  emitted  light  beams  are  on  parallel 
paths. 

Note  1:  6A005.b.  includes  semiconductor  «lasers»  having  optical  output 
connectors (e.g. fibre optic pigtails). 

Note  2:  The  control  status  of  semiconductor  «lasers»  specially  designed  for 
other equipment is determined by the control status of the other equipment. 

c. Solid state «lasers», as follows: 

1.«Tunable»«lasers» having any of the following: 

Note:  6A005.c.1.  includes  titanium  —  sapphire  (Ti:  Al2O3),  thulium  —  YAG 
(Tm:  YAG),  thulium  —  YSGG  (Tm:  YSGG),  alexandrite  (Cr:  BeAl2O4)  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; 

EN 

214 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
b. An output wavelength of 600 nm or more but not exceeding 1400 nm 
and having any of the following: 

1.  An  output  energy  exceeding  1  J  per  pulse  and  a  pulsed  «peak 
power» exceeding 20 W; or 

2. An average or CW output power exceeding 20 W; or 

c.  An  output  wavelength  exceeding  1400  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; 

2. Non-«tunable»«lasers», as follows: 

Note: 6A005.c.2. includes atomic transition solid state «lasers». 

a. Neodymium glass «lasers», as follows: 

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 1000 nm but not exceeding 1100 nm, as follows: 

N.B.: For neodymium-doped (other than glass) «lasers» having an output 
wavelength  not  exceeding  1000  nm  or  exceeding  1100  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; 

EN 

215 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 

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 

EN 

216 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 1400 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: 

a. 10 W for single-transverse mode «lasers»; 

b. 30 W for multiple-transverse mode «lasers»; 

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  1400  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; 

EN 

217 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 1400 nm and having any 
of the following: 

a. An output energy exceeding 0,5 J per pulse and a pulsed «peak power» 
exceeding 10 W; or 

b. An average or CW output power exceeding 10 W; or 

4. A wavelength exceeding 1400 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»; 

f. Optical equipment, as follows: 

N.B.:  For  shared  aperture  optical  elements,  capable  of  operating  in  «Super-High 
Power Laser» («SHPL») applications, see the Military Goods 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 1000 Hz and phase discrimination of 
at least 20 % of the beam's wavelength; 

2.«Laser» diagnostic equipment capable of measuring «SHPL» system angular 
beam steering errors of equal to or less than 10 μrad; 

EN 

218 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 μm, whichever is the smaller; 

4. Projection telescopes specially designed for use with «SHPL» systems. 

6A006«Magnetometers»,  «magnetic  gradiometers»,  «intrinsic  magnetic  gradiometers» 
underwater  electric  field  sensors  and  compensation  systems,  and  specially  designed 
components therefor, as follows: 

Note:  6A006  does  not  control  instruments  specially  designed  for  fishery  applications  or 
biomagnetic measurements for medical diagnostics. 

a.«Magnetometers» and subsystems as follows: 

1.  Using  «superconductive»  (SQUID)  «technology»  and  having  any  of  the 
following characteristics: 

a.  SQUID  systems  designed  for  stationary  operation,  without  specially 
designed  subsystems  designed  to  reduce  in-motion  noise,  and  having  a 
«noise level» (sensitivity) equal to or lower (better) than 50 fT (rms) per 
square root Hz at a frequency of 1 Hz; or 

b.  SQUID  systems  having  an  in-motion-magntometer  «noise  level» 
(sensitivity)  lower  (better)  than  20  pT  (rms)  per  square  root  Hz  at  a 
frequency of 1 Hz and specially designed to reduce in-motion noise; 

2.  Using  optically  pumped  or  nuclear  precession  (proton/Overhauser) 
«technology»  having  a  «noise  level»  (sensitivity)  lower  (better)  than  20  pT 
(rms) per square root Hz; 

3. Using fluxgate «technology» having a «noise level» (sensitivity) equal to or 
lower (better) than 10 pT (rms) per square root Hz at a frequency of 1 Hz; 

4.  Induction  coil  «magnetometers»  having  a  «noise  level»  (sensitivity)  lower 
(better) than any of the following: 

a. 0.05 nT (rms) per square root Hz at frequencies of less than 1 Hz; 

b. 1 × 10-3 nT (rms) per square root Hz at frequencies of 1 Hz or more 
but not exceeding 10 Hz; or 

c. 1 × 10-4 nT (rms) per square root Hz at frequencies exceeding 10 Hz; 

5.  Fibre  optic  «magnetometers»  having  a  «noise  level»  (sensitivity)  lower 
(better) than 1 nT (rms) per square root Hz; 

b. Underwater electric field sensors having a «noise level» (sensitivity) lower (better) 
than 8 nanovolt per metre per square root Hz when measured at 1 Hz; 

c.«Magnetic gradiometers», as follows: 

EN 

219 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1.«Magnetic  gradiometers»  using  multiple  «magnetometers»  specified  in 
6A006.a.; 

2.  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; 

3.«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; 

d. Compensation systems for magnetic or underwater electric field sensors resulting 
in a performance equal to or better than the control parameters of 6A006.a., 6A006.b. 
or 6A006.c. 

6A007Gravity meters (gravimeters) and gravity gradiometers, as follows: 

N.B.: SEE ALSO 6A107. 

a.  Gravity  meters  designed  or  modified  for  ground  use  having  a  static  accuracy  of 
less (better) than 10 μgal; 

Note:  6A007.a.  does  not  control  ground  gravity  meters  of  the  quartz  element 
(Worden) type. 

b. Gravity meters designed for mobile platforms, 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. 

6A008Radar 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: 

a.Secondary surveillance radar (SSR); 

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; 

EN 

220 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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.  Capable  of  operating  in  synthetic  aperture  (SAR),  inverse  synthetic  aperture 
(ISAR) radar mode, or sidelooking airborne (SLAR) radar mode; 

e. Incorporating «electronically steerable phased array antennae»; 

f. Capable of heightfinding non-cooperative targets; 

Note:  6A008.f.  does  not  control  precision  approach  radar  (PAR)  equipment 
conforming to ICAO standards. 

g.  Specially  designed  for  airborne  (balloon  or  airframe  mounted)  operation  and 
having Doppler «signal processing» for the detection of moving targets; 

h. Employing processing of radar signals using any of the following: 

1.«Radar spread spectrum» techniques; or 

2.«Radar frequency agility» techniques; 

i.  Providing  ground-based  operation  with  a  maximum  «instrumented  range» 
exceeding 185 km; 

Note: 6A008.i. 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.It has a maximum «instrumented range» of 500 km or less; 

2.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; 

3.It contains no provisions for remote control of the radar scan rate from 
the enroute ATC centre; and 

4.It is to be permanently installed; 

c.Weather balloon tracking radars. 

j. Being «laser» radar or Light Detection and Ranging (LIDAR) equipment, having 
any of the following: 

EN 

221 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1.«Space-qualified»; or 

2.  Employing  coherent  heterodyne  or  homodyne  detection  techniques  and 
having an angular resolution of less (better) than 20 μrad (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 

l. 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.l.1.  does not  control conflict alert capability in ATC  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.l.4. does not control systems, equipment and assemblies used for 
marine traffic control. 

6A102Radiation  hardened  «detectors»,  other  than  those  specified  in  6A002,  specially 
designed or modified for 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  of  5  ×  105  rads 
(silicon). 

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. This includes devices that sense by one time operation or failure. 

6A107Gravity  meters  (gravimeters)  and  components  for  gravity  meters  and  gravity 
gradiometers, as follows: 

EN 

222 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 7 × 10-6 m/s2 
(0,7  milligal)  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. 

6A108Radar  systems  and  tracking  systems,  other  than  those  specified  in  entry  6A008,  as 
follows: 

a.  Radar  and  laser  radar  systems  designed  or  modified  for  use  in  space  launch 
vehicles specified in 9A004 or sounding rockets specified in 9A104; 

Note: 6A108.a. includes the following: 

a.Terrain contour mapping equipment; 

b.Imaging sensor equipment; 

c.Scene mapping and correlation (both digital and analogue) equipment; 

d.Doppler navigation radar equipment. 

b. 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. 

Technical Note: 

In  6A108.b.  «missile»  means  complete  rocket  systems  and  unmanned  aerial 
vehicle systems capable of a range exceeding 300 km. 

6A202Photomultiplier tubes having both of the following characteristics: 

a. Photocathode area of greater than 20 cm2; and 

b. Anode pulse rise time of less than 1 ns. 

6A203Cameras and components, other than those specified in 6A003, as follows: 

EN 

223 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
a.  Mechanical  rotating  mirror  cameras,  as  follows,  and  specially  designed 
components therefor: 

1.  Framing  cameras  with  recording  rates  greater  than  225000  frames  per 
second; 

2. Streak cameras with writing speeds greater than 0,5 mm per microsecond; 

Note:  In  6A203.a.  components  of  such  cameras  include  their  synchronizing 
electronics units and rotor assemblies consisting of turbines, mirrors and bearings. 

b.  Electronic  streak  cameras,  electronic  framing  cameras,  tubes  and  devices,  as 
follows: 

1. Electronic streak cameras capable of 50 ns or less time resolution; 

2. Streak tubes for cameras specified in 6A203.b.1.; 

3. Electronic (or electronically shuttered) framing cameras capable of 50 ns or 
less frame exposure time; 

4.  Framing  tubes  and  solid-state  imaging  devices  for  use  with  cameras 
specified in 6A203.b.3., 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 Pockels cell electro-optical shuttering; 

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.3.; 

c. Radiation-hardened TV cameras, or lenses therefor, specially designed or rated as 
radiation  hardened  to  withstand  a  total  radiation  dose  greater  than  50  ×  103 
Gy(silicon) (5 × 106 rad (silicon)) without operational degradation. 

Technical Note: 

The  term  Gy(silicon)  refers  to  the  energy  in  Joules  per  kilogram  absorbed  by  an 
unshielded silicon sample when exposed to ionising radiation. 

6A205«Lasers», «laser»  amplifiers  and oscillators, other  than  those specified in 0B001.g.5., 
0B001.h.6. and 6A005; as follows: 

a. Argon ion «lasers» having both of the following characteristics: 

1. Operating at wavelengths between 400 nm and 515 nm; and 

EN 

224 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
2. An average output power greater than 40 W; 

b.  Tunable  pulsed  single-mode  dye  laser  oscillators  having  all  of  the  following 
characteristics: 

1. Operating at wavelengths between 300 nm and 800 nm; 

2. An average output power greater than 1 W; 

3. A repetition rate greater than 1 kHz; and 

4. Pulse width less than 100 ns; 

c.  Tunable  pulsed  dye  laser  amplifiers  and  oscillators,  having  all  of  the  following 
characteristics: 

1. Operating at wavelengths between 300 nm and 800 nm; 

2. An average output power greater than 30 W; 

3. A repetition rate greater than 1 kHz; and 

4. Pulse width less than 100 ns; 

Note: 6A205.c. does not control single mode oscillators; 

d. Pulsed carbon dioxide «lasers» having all of the following characteristics: 

1. Operating at wavelengths between 9000 nm and 11000 nm; 

2. A repetition rate greater than 250 Hz; 

3. An average output power greater than 500 W; and 

4. Pulse width of less than 200 ns; 

e.  Para-hydrogen  Raman  shifters  designed  to  operate  at  16  micrometre  output 
wavelength and at a repetition rate greater than 250 Hz; 

f.  Pulse-excited,  Q-switched  neodymium-doped  (other  than  glass)  «lasers»,  having 
all of the following characteristics: 

1. An output wavelength exceeding 1000 nm but not exceeding 1100 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. 

6A225Velocity  interferometers  for  measuring  velocities  exceeding  1  km/s  during  time 
intervals of less than 10 microseconds. 

EN 

225 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Note:  6A225  includes  velocity  interferometers  such  as  VISARs  (Velocity  interferometer 
systems for any reflector) and DLIs (Doppler laser interferometers). 

6A226Pressure sensors, as follows: 

a. Manganin gauges for pressures greater than 10 GPa; 

b. Quartz pressure transducers for pressures greater than 10 GPa. 

6BTest, Inspection and Production Equipment 

6B004Optical equipment, as follows: 

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

b.  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. 

6B007Equipment  to  produce,  align  and  calibrate  land-based  gravity  meters  with  a  static 
accuracy of better than 0,1 mgal. 

6B008Pulse radar cross-section measurement systems having transmit pulse widths of 100 ns 
or less and specially designed components therefor. 

N.B.: SEE ALSO 6B108. 

6B108Systems, other than those specified in 6B008, specially designed for radar cross section 
measurement usable for «missiles» and their subsystems. 

6CMaterials 

6C002Optical sensor materials, as follows: 

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

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

1.  Cadmium  zinc  telluride  (CdZnTe),  with  zinc  content  of  less  than  6 %  by 
«mole fraction»; 

2. Cadmium telluride (CdTe) of any purity level; or 

3. Mercury cadmium telluride (HgCdTe) of any purity level. 

Technical Note: 

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

EN 

226 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
6C004Optical materials, as follows: 

a. 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; 

b. 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 m2/V2 or more; and 

2. A response time of less than 1 ms; 

d.«Substrate  blanks»  of  silicon  carbide  or  beryllium  beryllium  (Be/Be)  deposited 
materials exceeding 300 mm in diameter or major axis length; 

e.  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; 

2. Integrated metallic purity levels of less than 1 ppm; and 

3. High homogeneity (index of refraction variance) less than 5 × 10-6; 

f. Synthetically produced diamond material with an absorption of less than 10-5 cm-1 
for wavelengths exceeding 200 nm but not exceeding 14000 nm. 

6C005Synthetic crystalline «laser» host material in unfinished form, as follows: 

a. Titanium doped sapphire; 

b. Alexandrite. 

6DSoftware 

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. 

6D003Other «software», as follows: 

EN 

227 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
a. 

b. 

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  acoustic  beam  forming  for  «real  time 
processing»  of  acoustic  data  for  passive  reception  using  bottom  or  bay  cable 
systems; 

4.«Source  code»  for  «real  time  processing»  of  acoustic  data  for  passive 
reception using bottom or bay cable systems; 

1.«Software»  specially  designed  for  magnetic and electric field  compensation 
systems for magnetic sensors designed to operate on mobile platforms; 

2.«Software»  specially  designed  for  magnetic  and  electric  field  anomaly 
detection on mobile platforms; 

c.«Software» specially designed to correct motional influences of gravity meters or 
gravity gradiometers; 

d. 

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 

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 or modified for the «use» of goods specified in 6A108. 

EN 

228 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
6D103«Software»  which  processes  post-flight,  recorded  data,  enabling  determination  of 
vehicle position throughout its flight path, specially designed or modified for «missiles». 

Technical Note: 

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

6ETechnology 

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. 

6E003Other «technology», as follows: 

a. 

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 
× 10-3; 

N.B.: See also 2E003.f. 

2.  Optical  fabrication  «technology»  using  single  point  diamond  turning 
techniques  to  produce  surface  finish  accuracies  of  better  than  10  nm  rms  on 
non-planar surfaces exceeding 0,5 m2; 

b.«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; 

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 
6A005.c.2.c.2., 
6A005.a.2.a., 
6A005.c.2.d.2.b., 6A202, 6A203, 6A205, 6A225 or 6A226. 

6A005.c.1.b., 

6A005.a.1.c., 

6A003, 

in 

CATEGORY 7 

NAVIGATION AND AVIONICS 

7ASystems, Equipment and Components 

N.B.: For automatic pilots for underwater vehicles, see Category 8. 

EN 

229 

   EN 

 
 
 
 
 
 
For radar, see Category 6. 

7A001Linear accelerometers designed for use in inertial navigation or guidance systems and 
having any of the following characteristics, and specially designed components therefor: 

N.B.: SEE ALSO 7A101. For angular or rotational accelerometers, see 7A002. 

a.  A  «bias»«stability»  of  less  (better)  than  130  micro  g  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 

c. Specified to function at linear acceleration levels exceeding 100 g. 

7A002Gyros,  and  angular  or  rotational  accelerometers,  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 1 g environment over a period of one 
month 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 12 g; or 

2.  Less  (better)  than  0,5°  per  hour  when  specified  to  function  at  linear 
acceleration levels from 12 g to 100 g inclusive; or 

b.  An  angle  random  walk  of  less  (better)  than  or  equal  to  0.0035°  per  square  root 
hour; or 

Note: 7A002.b. does not control spinning mass gyros (spinning mass gyros are 
gyros which use a continually rotating mass to sense angular motion). 

Technical Note: 

For  the  purposes  of  7A002.b.,  «angle  random  walk»  is  the  angular  error 
buildup with time that is due to white noise in angular rate. (IEEE STD 528-
2001) 

c. Specified to function at linear acceleration levels exceeding 100 g. 

7A003Inertial Systems and specially designed components, as follows: 

N.B.: SEE ALSO 7A103. 

a. Inertial navigation systems (INS) (gimballed or strapdown) and inertial equipment 
designed for «aircraft», land vehicle, vessels (surface or underwater) or «spacecraft» 
for  attitude,  guidance  or  control,  having  any  of  the  following  characteristics,  and 
specially designed components therefor: 

EN 

230 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
1.  Navigation  error  (free  inertial)  subsequent  to  normal  alignment  of  0,8 
nautical mile per hour (nm/hr) «Circular Error Probable» (CEP) or less (better); 
or 

2. Specified to function at linear acceleration levels exceeding 10 g; 

b.  Hybrid  Inertial  Navigation  Systems  embedded  with  Global  Navigation  Satellite 
Systems(s)  (GNSS)  or  with  «Data-Based  Referenced  Navigation»  («DBRN») 
System(s) for attitude, guidance or control, subsequent to normal alignment, having 
an INS navigation position accuracy, after loss of GNSS or «DBRN» for a period of 
up to four minutes, of less (better) than 10 metres «Circular Error Probable» (CEP). 

c.  Inertial  Equipment  for  Azimuth,  Heading,  or  North  Pointing  having  any  of  the 
following characteristics, and specially designed components therefor: 

1. Designed to have an Azimuth, Heading, or North Pointing accuracy equal to, 
or less (better) than 6 arc minutes RMS at 45 degrees latitude; or 

2.  Designed  to  have  a  non-operating  shock  level  of  900 g  or  greater  at  a 
duration of 1 msec, or greater. 

Note  1:  The  parameters  of  7A003.a.  and  7A003.b.  are  applicable  with  any  of  the 
following environmental conditions: 

1.Input  random  vibration  with  an  overall  magnitude  of  7,7 g  rms  in  the  first 
half hour and a total test duration of one and 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  of  0,04 g2/Hz  over  a 
frequency interval of 15 to 1000 Hz; and 

b.The PSD attenuates with frequency from 0,04 g2/Hz to 0,01 g2/Hz over 
a frequency interval from 1000 to 2000 Hz; 

2.A roll and yaw rate of equal to or more than +2,62 radian/s (150 deg/s); or 

3.According to national standards equivalent to 1. or 2. above. 

Note  2:  7A003  does  not  control  inertial  navigation  systems  which  are  certified  for 
use on «civil aircraft» by civil authorities of a «participating state». 

Note  3:  7A003.c.1.  does  not  control  theodolite  systems  incorporating  inertial 
equipment specially designed for civil surveying purposes. 

Technical Notes: 

1.7A003.b. refers to systems in which an INS and other independent navigation 
aids  are  built  into  a  single  unit  (embedded)  in  order  to  achieve  improved 
performance. 

2.«Circular  Error  Probable»  (CEP)  —  In  a  circular  normal  distribution,  the 
radius of the circle containing 50 percent of the individual measurements being 

EN 

231 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
made, or the radius of the circle within which there is a 50 percent probability 
of being located. 

7A004Gyro-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. 

7A005Global  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. 

a. Employing decryption; or 

b. A null-steerable antenna. 

7A006Airborne  altimeters  operating  at  frequencies  other  than  4,2  to  4,4 GHz  inclusive, 
having any of the following characteristics: 

N.B.: SEE ALSO 7A106. 

a.«Power management»; or 

b. Using phase shift key modulation. 

7A101Accelerometers,  other  than  those  specified  in  7A001,  as  follows,  and  specially 
designed components therefor: 

a.  Linear  accelerometers,  designed  for  use  in  inertial  navigation  systems  or  in 
guidance  systems  of  all  types,  usable  in  «missiles»,  having  all  the  following 
characteristics, and specially designed components therefor; 

1. A «bias»«repeatability» of less (better) than 1250 micro g; and 

2. A «scale factor»«repeatability» of less (better) than 1250 ppm; 

Note:  7A101.a.  does  not  specify  accelerometers  which  are  specially  designed 
and  developed  as  MWD  (Measurement  While  Drilling)  Sensors  for  use  in 
downhole well service operations. 

Technical Notes: 

1.In  7A101.a.  «missile»  means  complete  rocket  systems  and  unmanned 
aerial vehicle systems capable of a range exceeding 300 km; 

2.In 7A101.a. the measurement of «bias» and «scale factor» refers to a 
one sigma standard deviation with  respect to a fixed calibration over a 
period of one year; 

3.In  7A101.a.  «repeatability»  is  defined  according  to  IEEE  standard 
528-2001  as  the  closeness  of  agreement  among  repeated  measurements 

EN 

232 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
of the same variable under the same operating conditions when changes 
in conditions or non-operating periods occur between measurements. 

b.  Continuous  output  accelerometers  specified  to  function  at  acceleration  levels 
exceeding 100 g. 

7A102All  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. 

Technical Note: 

In  7A102  «missile»  means  complete  rocket  systems  and  unmanned  aerial  vehicle  systems 
capable of a range exceeding 300 km. 

7A103Instrumentation,  navigation  equipment  and  systems,  other  than  those  specified  in 
7A003, as follows; and specially designed components therefor: 

a. Inertial or other equipment using accelerometers specified in 7A001 or 7A101 or 
gyros specified in 7A002 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 downhole 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, 
unmanned  aerial  vehicles  specified  in  9A012  or  sounding  rockets  specified  in 
9A104; 

c.«Integrated  navigation  systems»,  designed  or  modified  «missiles»  and  capable  of 
providing  a  navigational  accuracy  of  200 m  Circle  of  Equal  Probability  (CEP)  or 
less. 

Technical Notes: 

1.  An  «integrated  navigation  system»  typically  incorporates  the  following 
components: 

a. An inertial measurement device (e.g., an attitude and heading reference 
system, inertial reference unit, or inertial navigation system); 

b.  One  or  more  external  sensors  used  to  update  the  position  and/or 
velocity,  either  periodically  or  continuously  throughout  the  flight  (e.g., 
satellite navigation receiver, radar altimeter, and/or Doppler radar); and 

c. Integration hardware and software; 

2. In 7A103.c. «missile» means complete rocket systems and unmanned aerial 
vehicle systems capable of a range exceeding 300 km. 

EN 

233 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
7A104Gyro-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. 

7A105Receiving  equipment  for  Global  Navigation  Satellite  Systems  (GNSS;  e.g.  GPS, 
GLONASS,  or  Galileo),  having  any  of  the  following  characteristics,  and  specially  designed 
components therefor: 

a.  Designed  or  modified  for  use  in  space  launch  vehicles  specified  in  9A004, 
unmanned  aerial  vehicles  specified  in  9A012  or  sounding  rockets  specified  in 
9A104; or 

b. Designed or modified for airborne applications and having any of the following: 

1. Capable of providing navigation information at speeds in excess of 600 m/s; 

2.  Employing  decryption,  designed  or  modified  for  military  or  governmental 
services, to gain access to GNSS secured signal/data; or 

3.  Being  specially  designed  to  employ  anti-jam  features  (e.g.  null  steering 
antenna  or  electronically  steerable  antenna)  to  function  in  an  environment  of 
active or passive countermeasures. 

Note: 7A105.b.2. and 7A105.b.3. do not control equipment designed for commercial, 
civil or «Safety of Life» (e.g., data integrity, flight safety) GNSS services. 

7A106Altimeters, 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. 

7A115Passive  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: 7A115 includes sensors for the following equipment: 

a.Terrain contour mapping equipment; 

b.Imaging sensor equipment (both active and passive); 

c.Passive interferometer equipment. 

7A116Flight  control  systems  and  servo  valves,  as  follows;  designed  or  modified  for  use  in 
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; 

EN 

234 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
c.  Flight  control  servo  valves  designed  or  modified  for  the  systems  specified  in 
7A116.a.  or  7A116.b.,  and  designed  or  modified  to  operate  in  a  vibration 
environment greater than 10 g rms between 20 Hz and 2 kHz. 

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). 

7BTest, Inspection and Production Equipment 

7B001Test, 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 (or possibly 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. 

7B002Equipment,  as  follows,  specially  designed  to  characterize  mirrors  for  ring  «laser» 
gyros: 

N.B.: SEE ALSO 7B102. 

a. Scatterometers having a measurement accuracy of 10 ppm or less (better); 

b.  Profilometers  having  a  measurement  accuracy  of  0,5 nm  (5  angstrom)  or  less 
(better). 

7B003Equipment specially designed for the «production» of equipment specified in 7A. 

Note: 7B003 includes: 

EN 

235 

   EN 

 
 
 
 
 
 
 
 
 
 
 
a.Gyro tuning test stations; 

b.Gyro dynamic balance stations; 

c.Gyro run-in/motor test stations; 

d.Gyro evacuation and fill stations; 

e.Centrifuge fixtures for gyro bearings; 

f.Accelerometer axis align stations. 

7B102Reflectometers  specially  designed  to  characterise  mirrors,  for  «laser»  gyros,  having  a 
measurement accuracy of 50 ppm or less (better). 

7B103«Production facilities» and «production equipment» as follows: 

a.«Production facilities» specially designed for equipment specified in 7A117; 

b. Production equipment, and other test, calibration and alignment equipment, other 
than  that  specified  in  7B001  to  7B003,  designed  or  modified  to  be  used  with 
equipment specified in 7A. 

7CMaterials 

None. 

7DSoftware 

7D001«Software» specially designed or modified for the «development» or «production» of 
equipment specified in 7A. or 7B. 

7D002«Source  code»  for  the  «use»  of  any  inertial  navigation  equipment,  including  inertial 
equipment  not  controlled  by  7A003  or  7A004,  or  Attitude  and  Heading  Reference  Systems 
(AHRS). 

Note: 7D002 does not control «source code» for the «use» of gimballed AHRS. 

Technical Note: 

AHRS  generally  differ  from  inertial  navigation  systems  (INS)  in  that  an  AHRS 
provides  attitude  and  heading  information  and  normally  does  not  provide  the 
acceleration, velocity and position information associated with an INS. 

7D003Other «Software», as follows: 

a.«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; 

b.«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: 

EN 

236 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
1. Doppler radar velocity data; 

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

3. Data from «Data-Based Referenced Navigation» («DBRN») systems; 

c.«Source  code»  for  integrated  avionics  or  mission  systems  which  combine  sensor 
data and employ «expert systems»; 

d.«Source code» for the «development» of any of the following: 

1. Digital flight management systems for «total control of flight»; 

2. Integrated propulsion and flight control systems; 

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; 

(CAD)  «software» 

e.  Computer-aided-design 
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. 

specially  designed 

for 

7D101«Software»  specially  designed  or  modified  for  the  «use»  of  equipment  specified  in 
7A001  to  7A006,  7A101  to  7A106,  7A115,  7A116.a.,  7A116.b.,  7B001,  7B002,  7B003, 
7B102 or 7B103. 

7D102Integration«software» as follows: 

a. Integration «software» for the equipment specified in 7A103.b.; 

b. Integration «software» specially designed for the equipment specified in 7A003 or 
7A103.a.; 

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

Note: A common form of integration «Software» employs Kalman filtering. 

7D103«Software»  specially  designed  for  modelling  or  simulation  of  the  «guidance  sets» 
specified in 7A117 or for their design integration with the space launch vehicles specified in 
9A004 or sounding rockets specified in 9A104. 

EN 

237 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Note:«Software»  specified  in  7D103  remains  controlled  when  combined  with  specially 
designed hardware specified in 4A102. 

7ETechnology 

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 7B001. 

7E004Other «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»; 

Inertial  navigation 

4. 
accelerometers or gyros specified in 7A001 or 7A002; 

systems  or  gyro-astro  compasses  containing 

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

for 

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; 

EN 

238 

   EN 

 
 
 
 
 
 
 
 
 
 
 
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 time autonomous air vehicle control; 

5.  Integration  of  digital  flight  control,  navigation  and  propulsion  control  data 
into a digital flight management system for «total control of flight»; 

Note: 7E004.b.5. does not control: 

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

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

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,  7B001,  7B002,  7B003, 
7B102, 7B103, 7D101 to 7D103. 

7E102«Technology» 
for  protection  of  avionics  and  electrical  subsystems  against 
electromagnetic pulse (EMP) and electromagnetic interference (EMI) hazards, from external 
sources, as follows: 

a. Design «technology» for shielding systems; 

EN 

239 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
b.  Design  «technology»  for  the  configuration  of  hardened  electrical  circuits  and 
subsystems; 

c. Design «technology» for the determination of hardening criteria of 7E102.a. and 
7E102.b. 

7E104«Technology»  for  the  integration  of  the  flight  control,  guidance,  and  propulsion  data 
into a flight management system for optimisation of rocket system trajectory. 

CATEGORY 8 

MARINE 

8ASystems, Equipment and Components 

8A001Submersible 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 
1000 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 

b. 15 kN or more; 

2. Designed to operate at depths exceeding 1000 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: 

EN 

240 

   EN 

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

2.For  the  purposes  of  8A001.b.,«range»  means  half  the  maximum  distance  a 
submersible vehicle can cover. 

c. Unmanned, tethered submersible vehicles designed to operate at depths exceeding 
1000 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; 

d. 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 1000 m; 

e.  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 
1000 m with positioning accuracies to within 10 m of a predetermined point; 

f.  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 3830 Pa; and 

3. A light-ship-to-full-load displacement ratio of less than 0,70; 

g.  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; 

EN 

241 

   EN 

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

i.«'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  1500  tonnes  with  a  maximum  design 
speed,  fully  loaded,  exceeding  25  knots  in  a  significant  wave  height  of  4 m 
(Sea State 6) or more. 

Technical Note: 

A  «small  waterplane  area  vessel»  is  defined  by  the  following  formula:  waterplane 
area  at  an  operational  design  draught  less  than  2  ×  (displaced  volume  at  the 
operational design draught) 2/3. 

8A002Systems and equipment, as follows: 

Note:  For  underwater  communications 
Telecommunications. 

systems, 

see  Category  5,  Part  1  — 

a. Systems and equipment, specially designed or modified for submersible vehicles, 
designed to operate at depths exceeding 1000 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 
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: 

EN 

242 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 1100 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 150000«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 1000 m; 

f.  Electronic  imaging  systems,  specially  designed  or  modified  for  underwater  use, 
capable of storing digitally more than 50 exposed images; 

Note:  8A002.f.  does  not  control  digital  cameras  specially  designed  for  consumer 
purposes, other than those employing electronic image multiplication techniques. 

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 1000 m; 

EN 

243 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
h.«Robots»  specially  designed  for  underwater  use,  controlled  by  using  a  dedicated 
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 
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  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: 

EN 

244 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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; 

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

1.  Designed  for  cushion  pressures  of  3830 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  6224  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.; 

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

EN 

245 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
m.  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 8A001.f., 8A001.g., 8A001.h. or 
8A001.i.; 

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.i.: 

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; 

c.«Superconductive»  propulsion  engines,  or  permanent  magnet  electric 
propulsion engines, with a power output exceeding 0,1 MW; 

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  1000 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 

EN 

246 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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; 

p.  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; 

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

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

8BTest, Inspection and Production Equipment 

8B001Water tunnels, having a background noise of less than 100 dB (reference 1 μPa, 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. 

8CMaterials 

8C001«Syntactic foam» designed for underwater use, having all of the following: 

a. Designed for marine depths exceeding 1000 m; and 

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. 

8DSoftware 

8D001«Software»  specially  designed  or  modified  for  the  «development»,  «production»  or 
«use» of equipment or materials specified in 8A, 8B or 8C. 

8D002Specific  «software»  specially  designed  or  modified  for 
the  «development», 
«production», repair, overhaul or refurbishing (re-machining) of propellers specially designed 
for underwater noise reduction. 

8ETechnology 

8E001«Technology»  according  to  the  General  Technology  Note  for  the  «development»  or 
«production» of equipment or materials specified in 8A, 8B or 8C. 

EN 

247 

   EN 

 
 
 
 
 
 
 
8E002Other «technology», as follows: 

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

for 

b.«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 

9ASystems, Equipment and Components 

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

9A001Aero gas turbine engines having any of the following: 

N.B.: SEE ALSO 9A101. 

a. Incorporating any of the «technologies» specified in 9E003.a.; or 

Note:  9A001.a.  does  not  control  aero  gas  turbine  engines  which  meet  all  of  the 
following: 

a.Certified by the civil aviation authority in a «participating state»; and 

b.Intended  to  power  non-military  manned  aircraft  for  which  one  of  the 
following has been issued by a «participating state» for the aircraft with this 
specific engine type: 

1.A civil Type Certificate; or 

2.An equivalent document recognized by the International Civil Aviation 
Organisation (ICAO). 

b. Designed to power an aircraft to cruise at Mach 1 or higher for more than thirty 
minutes. 

9A002«Marine  gas  turbine  engines»  with  an  ISO  standard  continuous  power  rating  of 
24245 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. 

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. 

9A003Specially  designed  assemblies  and  components, 
the 
«technologies»  specified  in  9E003.a.,  for  the  following  gas  turbine  engine  propulsion 
systems: 

incorporating  any  of 

a. Specified in 9A001; 

EN 

248 

   EN 

 
 
 
 
 
 
 
 
 
 
 
b.  Whose  design  or  production  origins  are  either  non-«participating  States»  or 
unknown to the manufacturer. 

9A004Space launch vehicles and «spacecraft». 

N.B.: SEE ALSO 9A104. 

Note: 9A004 does not control payloads. 

N.B.: For the control status of products contained in «spacecraft» payloads, see the 
appropriate Categories. 

9A005Liquid  rocket  propulsion  systems  containing  any  of  the  systems  or  components 
specified in 9A006. 

N.B.: SEE ALSO 9A105 and 9A119. 

9A006Systems  and  components  specially  designed  for  liquid  rocket  propulsion  systems,  as 
follows: 

N.B.: SEE ALSO 9A106, 9A108 and 9A.120. 

a.  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 % per year; 

b.  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»; 

c. Slush hydrogen storage or transfer systems; 

d.  High  pressure  (exceeding  17,5 MPa)  turbo  pumps,  pump  components  or  their 
associated gas generator or expander cycle turbine drive systems; 

e. High-pressure (exceeding 10,6 MPa) thrust chambers and nozzles therefor; 

f. Propellant storage systems using the principle of capillary containment or positive 
expulsion (i.e., with flexible bladders); 

g.  Liquid  propellant  injectors,  with  individual  orifices  of  0.381  mm  or  smaller  in 
diameter  (an  area  of  1,14  ×  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. 

9A007Solid rocket propulsion systems with any of the following: 

N.B.: SEE ALSO 9A119. 

a. Total impulse capacity exceeding 1,1 MNs; 

EN 

249 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
b.  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; 

c.  Stage  mass  fractions  exceeding  88 %  and  propellant  solid  loadings  exceeding 
86 %; 

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. 

Technical Note: 

For  the  purposes  of  9A007.e.,  a  «strong  mechanical  bond»  means  bond  strength 
equal to or more than propellant strength. 

9A008Components, 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  of  9A008.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. 

9A009Hybrid rocket propulsion systems with: 

N.B.: SEE ALSO 9A109 and 9A119. 

EN 

250 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
a. Total impulse capacity exceeding 1.1 MNs; or 

b. Thrust levels exceeding 220 kN in vacuum exit conditions. 

9A010Specially  designed  components,  systems  and  structures  for  launch  vehicles,  launch 
vehicle propulsion systems or «spacecraft», as follows: 

N.B.: SEE ALSO 1A002 AND 9A110. 

a.  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. 

b.  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; 

c. Structural components and isolation systems specially designed to control actively 
the dynamic response or distortion of «spacecraft» structures; 

d.  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. 

9A011Ramjet,  scramjet  or  combined  cycle  engines  and  specially  designed  components 
therefor. 

N.B.: SEE ALSO 9A111 and 9A118. 

9A012«Unmanned  aerial  vehicles» 
components as follows: 

(«UAVs»),  associated  systems,  equipment  and 

a.«UAVs» having any of the following: 

1.  An  autonomous  flight  control  and  navigation  capability  (e.g.,  an  autopilot 
with an Inertial Navigation System); or 

2.  Capability  of  controlled-flight  out  of  the  direct  vision  range  involving  a 
human operator (e.g., televisual remote control). 

b. Associated systems, equipment and components as follows: 

1.  Equipment  specially  designed  for  remotely  controlling  the  «UAVs» 
specified in 9A012.a.; 

2.  Guidance  or  control  systems,  other  than  those  specified  in  7A,  specially 
designed for integration into «UAVs» specified in 9A012.a.; 

3.  Equipment  and  components  specially  designed  to  convert  a  manned 
«aircraft» to a «UAV» specified in 9A012.a. 

EN 

251 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
9A101Lightweight  turbojet  and  turbofan  engines  (including  turbocompound  engines),  other 
than those specified in 9A001, as follows; 

a. Engines having both of the following characteristics: 

1. Maximum thrust value greater than 400 N (achieved un-installed) excluding 
civil  certified  engines  with  a  maximum  thrust  value  greater  than  8890  N 
(achieved un-installed), and 

2. Specific fuel consumption of 0,15 kg/N/hr or less (at maximum continuous 
power at sea level static and standard conditions); 

b. Engines designed or modified for use in «missiles». 

9A104Sounding rockets, capable of a range of at least 300 km. 

N.B.: SEE ALSO 9A004. 

9A105Liquid 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 equal to or greater than 1.1 MNs; 

b. Liquid propellant rocket engines, usable in complete rocket systems or unmanned 
aerial vehicles, capable of a range of 300 km, other than those specified in 9A005 or 
9A105.a., having a total impulse capacity equal to or greater than 0.841 MNs. 

9A106Systems 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; 

Technical Note: 

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

EN 

252 

   EN 

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

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

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

b.Pumps,  for  liquid  propellants,  with  shaft  speeds  equal  to  or  greater  than 
8000 r.p.m. or with discharge pressures equal to or greater than 7 MPa. 

9A107Solid propellant rocket engines, usable in complete rocket systems or unmanned aerial 
vehicles,  capable  of  a  range  of  300  km,  other  than  those  specified  in  9A007,  having  total 
impulse capacity equal to or greater than 0.841 MNs. 

N.B.: SEE ALSO 9A119. 

9A108Components,  other  than  those  specified  in  9A008,  usable  in  «missiles»,  as  follows, 
specially designed for solid rocket propulsion systems: 

a. Rocket motor cases and «insulation» components therefor; 

b. Rocket nozzles; 

c. Thrust vector control sub-systems. 

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. 

9A109Hybrid rocket motors, usable in «missiles», other  than those specified in 9A009, and 
specially designed components therefor. 

N.B.: SEE ALSO 9A119. 

Technical Note: 

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

EN 

253 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
9A110Composite structures, laminates and manufactures thereof, other than those specified in 
9A010,  specially  designed  for  use  in  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. 

N.B.: SEE ALSO 1A002. 

9A111Pulse jet engines, usable in «missiles», and specially designed components therefor. 

N.B.: SEE ALSO 9A011 and 9A118. 

9A115Launch support equipment as follows: 

a. Apparatus and devices for handling, control, activation or launching, designed or 
modified  for  space  launch  vehicles  specified  in  9A004,  unmanned  aerial  vehicles 
specified in 9A012 or sounding rockets specified in 9A104; 

b.  Vehicles  for  transport,  handling,  control,  activation  or  launching,  designed  or 
modified for space launch vehicles specified in 9A004 or sounding rockets specified 
in 9A104. 

9A116Re-entry vehicles, usable in «missiles», and equipment designed or modified therefor, 
as follows: 

a. Re-entry 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 re-entry vehicles. 

9A117Staging mechanisms, separation mechanisms, and interstages, usable in «missiles». 

9A118Devices  to  regulate  combustion  usable  in  engines,  which  are  usable  in  «missiles», 
specified in 9A011 or 9A111. 

9A119Individual  rocket  stages,  usable  in  complete  rocket  systems  or  unmanned  aerial 
vehicles, capable of a range of 300 km, other than those specified in 9A005, 9A007, 9A009, 
9A105, 9A107 and 9A109. 

9A120Liquid  propellant  tanks,  other  than  those  specified  in  9A006,  specially  designed  for 
propellants specified in 1C111 or «other liquid propellants», used in rocket systems capable 
of delivering at least a 500 kg payload to a range of at least 300 km. 

Note: In 9A120 «other liquid propellants» includes, but is not limited to, propellants specified 
in the Military Goods Controls. 

9A350Spraying  or  fogging  systems,  specially  designed  or  modified  for  fitting  to  aircraft, 
«lighter-than-air  vehicles»  or  unmanned  aerial  vehicles,  and  specially  designed  components 
therefor, as follows: 

EN 

254 

   EN 

 
 
 
 
 
 
 
a.  Complete  spraying  or  fogging  systems  capable  of  delivering,  from  a  liquid 
suspension,  an  initial  droplet  «VMD»  of  less  than  50 μm  at  a  flow  rate  of  greater 
than two litres per minute; 

b.  Spray  booms  or  arrays  of  aerosol  generating  units  capable  of  delivering,  from  a 
liquid  suspension,  an  initial  droplet  «VMD»  of  less  than  50 μm  at  a  flow  rate  of 
greater than two litres per minute; 

c.  Aerosol  generating  units  specially  designed  for  fitting  to  systems  specified  in 
9A350.a. and b. 

Note: Aerosol generating units are devices specially designed or modified for fitting 
to aircraft such as nozzles, rotary drum atomisers and similar devices. 

Note: 9A350 does not control spraying of fogging systems and components that are 
demonstrated  not  to  be  capable  of  delivering  biological  agents  in  the  form  of 
infectious aerosols. 

Technical Notes: 

1.Droplet  size  for  spray  equipment  or  nozzles  specially  designed  for  use  on 
aircraft,  «lighter-than-air  vehicles»  or  unmanned  aerial  vehicles  should  be 
measured using either of the following: 

a. Doppler laser method; 

b. Forward laser diffraction method. 

2.In  9A350  «VMD»  means  Volume  Median  Diameter  and  for  water-based 
systems this equates to Mass Median Diameter (MMD). 

9BTest, Inspection and Production Equipment 

9B001Specially designed equipment, tooling and fixtures, as follows, for manufacturing gas 
turbine blades, vanes or tip shroud castings: 

a. Directional solidification or single crystal casting equipment; 

b. Ceramic cores or shells; 

9B002On-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. 

9B003Equipment  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. 

9B004Tools,  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. 

EN 

255 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
9B005On-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. 

b. 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 

c.  Wind  tunnels  or  devices,  other  than  two-dimensional  sections,  capable  of 
simulating Reynolds number flows exceeding 25 × 106. 

9B006Acoustic  vibration  test  equipment  capable  of  producing  sound  pressure  levels  of 
160 dB  or  more  (referenced  to  20 μPa)  with  a  rated  output  of  4 kW  or  more  at  a  test  cell 
temperature exceeding 1273 K (1000 °C), and specially designed quartz heaters therefor. 

N.B.: SEE ALSO 9B106. 

9B007Equipment 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. 

9B008Transducers specially designed for the direct measurement of the wall skin friction of 
the test flow with a stagnation temperature exceeding 833 K (560 °C). 

9B009Tooling  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. 

9B010Equipment  specially  designed  for  the  production  of  «UAVs»  and  associated  systems, 
equipment and components specified in 9A012. 

9B105Wind  tunnels  for  speeds  of  Mach  0,9  or  more,  usable  for  «missiles»  and  their 
subsystems. 

N.B.: SEE ALSO 9B005. 

9B106Environmental chambers and anechoic chambers, as follows: 

a. Environmental chambers capable of simulating the following flight conditions: 

EN 

256 

   EN 

 
 
 
 
 
 
 
1.  Vibration  environments  equal  to  or  greater  than  10  g  rms,  measured  «bare 
table»,  between  20  Hz  and  2  kHz  imparting  forces  equal  to  or  greater  than  5 
kN; and 

2. Altitude equal to or greater than 15 km; or 

3. Temperature range of at least 223 K (– 50 °C) to 398 K (+125 °C); 

Technical Notes: 

1.9B106.a. describes systems that are capable of generating a vibration 
environment with a single wave (e.g., a sine wave) and systems capable 
of generating a broad band random vibration (i.e., power spectrum); 

2.In  9B106.a.1.  «bare  table»  means  a  flat  table,  or  surface  with  no 
fixture or fittings. 

b. Environmental 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 μPa)  or  with  a  total  rated  acoustic  power  output  of 
4 kW or greater; and 

2. Altitude equal to or greater than 15 km; or 

3. Temperature range of at least 223 K (– 50 °C) to 398 K (+ 125 °C). 

the  systems,  subsystems  and 
9B115Specially  designed  «production  equipment»for 
components specified in 9A005 to 9A009, 9A011, 9A101, 9A105 to 9A109, 9A111, 9A116 
to 9A119. 

9B116Specially  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 9A116 to 9A119. 

9B117Test  benches  and  test  stands  for  solid  or  liquid  propellant  rockets  or  rocket  motors, 
having either of the following characteristics: 

a. The capacity to handle more than 90 kN of thrust; or 

b. Capable of simultaneously measuring the three axial thrust components. 

9CMaterials 

9C108«Insulation» material in bulk form and «interior lining», other than those specified in 
9A008, for rocket motor cases usable in «missiles» or specially designed for «missiles». 

Technical Note: 

In  9C108  «missile»  means  complete  rocket  systems  and  unmanned  aerial  vehicle  systems 
capable of a range exceeding 300 km. 

EN 

257 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
9C110Resin  impregnated  fibre  prepregs  and  metal  coated  fibre  preforms  therefor,  for 
composite  structures,  laminates  and  manufactures  specified  in  9A110,  made  either  with 
organic  matrix  or  metal  matrix  utilising  fibrous  or  filamentary  reinforcements  having  a 
«specific  tensile  strength»  greater  than  7,62  ×  104 m  and  a  «specific  modulus»  greater  than 
3,18 × 106 m. 

N.B.: SEE ALSO 1C010 and 1C210. 

Note: The only resin impregnated fibre prepregs specified in entry 9C110 are those 
using  resins  with  a  glass  transition  temperature  (Tg),  after  cure,  exceeding  418 K 
(145 °C) as determined by ASTM D4065 or equivalent. 

9DSoftware 

9D001«Software»  specially  designed  or  modified  for  the  «development»  of  equipment  or 
«technology» specified in 9A001 to 9A119, 9B or 9E003. 

9D002«Software» specially designed or modified for the «production» of equipment specified 
in 9A001 to 9A119 or 9B. 

9D003«Software»  specially  designed  or  modified  for  the  «use»  of  «full  authority  digital 
electronic engine controls» («FADEC») for propulsion systems specified in 9A or equipment 
specified in 9B, as follows: 

a.«Software»  in  digital  electronic  controls  for  propulsion  systems,  aerospace  test 
facilities or air breathing aero-engine test facilities; 

b. Fault-tolerant «software»  used in «FADEC» systems for  propulsion systems and 
associated test facilities. 

9D004Other «software», as follows: 

a. 2D or 3D viscous «software» validated with wind tunnel or flight test data required 
for detailed engine flow modelling; 

b.«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; 

c.«Software» specially designed to control directional solidification or single crystal 
casting; 

d.«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. 

e.«Software»  specially  designed  or  modified  for  the  «use»  of  «UAVs»  and 
associated systems, equipment and components specified by 9A012. 

EN 

258 

   EN 

 
 
 
 
 
 
 
 
 
 
 
9D101«Software» specially designed or modified for the «use» of goods specified in 9B105, 
9B106, 9B116 or 9B117. 

9D103«Software»  specially  designed  for  modelling,  simulation  or  design  integration  of  the 
space  launch  vehicles  specified  in  9A004  or  sounding  rockets  specified  in  9A104,  or  the 
subsystems specified in 9A005, 9A007, 9A105.a., 9A106, 9A108, 9A116 or 9A119. 

Note:«Software»  specified  in  9D103  remains  controlled  when  combined  with  specially 
designed hardware specified in 4A102. 

9D104«Software» specially designed or modified for the «use» of goods specified in 9A001, 
9A005,  9A006.d.,  9A006.g.,  9A007.a.,  9A008.d.,  9A009.a.,  9A010.d.,  9A011,  9A101, 
9A105, 9A106.c., 9A106.d., 9A107, 9A108.c., 9A109, 9A111, 9A115.a., 9A116.d., 9A117 or 
9A118. 

9D105«Software»which  coordinates  the  function  of  more  than  one  subsystem,  specially 
designed  or  modified  for  «use»  in  space  launch  vehicles  specified  in  9A004  or  sounding 
rockets specified in 9A104. 

9ETechnology 

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 9A012, 9A350, 9B or 9D. 

9E002«Technology»  according  to  the  General  Technology  Note  for  the  «production»  of 
equipment specified in 9A001.c., 9A004 to 9A011, 9A350 or 9B. 

N.B.:  For  «technology»  for  the  repair  of  controlled  structures,  laminates  or  materials,  see 
1E002.f. 

9E003Other «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  1273 K  (1000 °C)  at  a  stress  of 
200 MPa, based on the average property values; 

2. Multiple domed combustors operating at average burner outlet temperatures 
exceeding 1813 K (1540 °C) or combustors incorporating thermally decoupled 
combustion liners, non-metallic liners or non-metallic shells; 

3. Components manufactured from any of the following: 

EN 

259 

   EN 

 
 
 
 
 
a.  Organic  «composite»  materials  designed  to  operate  above  588 K 
(315 °C); 

b.  Metal  «matrix»«composite»,  ceramic  «matrix»,  intermetallic  or 
intermetallic reinforced materials specified in 1C007; or 

c.«Composite» material specified in 1C010 and manufactured with resins 
specified in 1C008. 

4. Uncooled turbine blades, vanes, tip-shrouds or other components designed to 
operate at gas path temperatures of 1323 K (1050 °C) or more; 

5.  Cooled  turbine  blades,  vanes  or  tip-shrouds,  other  than  those  described  in 
9E003.a.1., exposed to gas path temperatures of 1643 K (1370 °C) or more; 

6. Airfoil-to-disk blade combinations using solid state joining; 

7.  Gas  turbine  engine  components  using  «diffusion  bonding»«technology» 
specified in 2E003.b.; 

8.  Damage  tolerant  gas  turbine  engine  rotating  components  using  powder 
metallurgy materials specified in 1C002.b.; 

9.«FADEC»  for  gas  turbine  and  combined  cycle  engines  and  their  related 
diagnostic components, sensors and specially designed components; 

10. Adjustable flow path geometry and associated control systems for: 

a. Gas generator turbines; 

b. Fan or power turbines; 

c. Propelling nozzles; 

Note 1: Adjustable flow path geometry and associated control systems in 
9E003.a.10.  do  not  include  inlet  guide  vanes,  variable  pitch  fans, 
variable stators or bleed valves for compressors. 

2: 

9E003.a.10. 

Note 
or 
not 
«production»«technology» for adjustable flow path geometry for reverse 
thrust. 

«development» 

control 

does 

11. Hollow fan blades 

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 from the sensors to the data acquisition system; or 

2.«Composite»  propeller  blades  or  propfans  capable  of  absorbing  more  than 
2000 kW at flight speeds exceeding Mach 0,55; 

EN 

260 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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: 

a. Depths more than five times their diameter; 

b. Diameters less than 0,4 mm; and 

c. Incidence angles of more than 25°; 

Technical Note: 

For  the  purposes  of  9E003.c.,  incidence  angle  is  measured  from  a  plane 
tangential  to  the  airfoil  surface  at  the  point  where  the  hole  axis  enters  the 
airfoil surface. 

d.«Technology»«required»  for  the  «development»  or  «production»  of  helicopter 
power transfer systems or tilt rotor or tilt wing «aircraft» power transfer systems; 

e.«Technology»  for  the  «development»  or  «production»  of  reciprocating  diesel 
engine ground vehicle propulsion systems having all of the following: 

1. A «box volume» of 1,2 m3 or less; 

2. An overall power output of more than 750 kW based on 80/1269/EEC, ISO 
2534 or national equivalents; and 

3. A power density of more than 700 kW/m3 of «box volume»; 

Technical Note: 

«Box  volume»  in  9E003.e.  is  the  product  of  three  perpendicular  dimensions 
measured in the following way: 

Length 

Width 

: 

: 

The length of the crankshaft from front flange to flywheel face; 

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; 

EN 

261 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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. 

f.«Technology»«required»  for  the  «production»  of  specially  designed  components, 
as follows, for high output diesel engines: 

1.«Technology»«required»  for  the  «production»  of  engine  systems  having  all 
of the following components employing ceramics materials specified in 1C007: 

a. Cylinder liners; 

b. Pistons; 

c. Cylinder heads; and 

(including  exhaust  ports, 
d.  One  or  more  other  components 
turbochargers, valve guides, valve assemblies or insulated fuel injectors); 

2.«Technology»«required» for the «production» of turbocharger systems, with 
single-stage compressors having all of the following: 

a. Operating at pressure ratios of 4:1 or higher; 

b. A mass flow in the range from 30 to 130 kg per minute; and 

c.  Variable  flow  area  capability  within  the  compressor  or  turbine 
sections; 

3.«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: 

a. Injection amount in excess of 230 mm3 per injection per cylinder; and 

b.  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; 

g.«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: 

EN 

262 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
High  output  diesel  engines:  diesel  engines  with  a  specified  brake  mean  effective 
pressure of 1,8 MPa or more at a speed of 2300 r.p.m., provided the rated speed is 
2300 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 or 9D103. 

EN 

263 

   EN 

 
 
(cid:208) 394/2006 Art. 1 and Annex  

ANNEX II 

COMMUNITY GENERAL EXPORT AUTHORISATION NO EU001 

(referred to in Article 6 of Regulation (EC) No 1334/2000) 

Issuing authority: European Community 

The  explicit  consent  of  the  competent  national  authorities  where  the  exporter  is 
established  must  be  given  for  any  re-export  under  conditions  that  would  not 
comply with those set by this authorisation. 

(cid:216) new 

(cid:208) 394/2006 Art. 1 and Annex  

Part 1 

This export authorisation covers the following items: 

All dual-use items specified in any entry in Annex I of  the present Regulation except those 
listed in Part 2 below. 

Part 2 

— 

— 

0C001 

  All items specified in Annex IV V. 

«Natural uranium» or «depleted uranium» or thorium in the form of 
metal, alloy, chemical compound or concentrate and any other material 
containing one or more of the foregoing. 

— 

0C002 

«Special fissile materials» other than those specified in Annex IV V. 

— 

0D001 

— 

0E001 

«Software» specially designed or modified for the «development», 
«production» or «use» of goods specified in Category 0, insofar as it 
relates to 0C001 or to those items of 0C002 that are excluded from 
Annex IV V. 

«Technology» according to the Nuclear Technology Note for the 
«development», «production» or «use» of goods specified in Category 
0, insofar as it relates to 0C001 or to those items of 0C002 that are 
excluded from Annex IV V. 

— 

1A102 

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

EN 

264 

   EN 

 
 
 
 
 
 
 
 
 
— 

1C351 

  Human pathogens, zoonoses and «toxins». 

— 

1C352 

  Animal pathogens. 

— 

1C353 

  Genetic elements and genetically modified organisms. 

— 

1C354 

Plant pathogens. 

— 

7E104 

«Technology» for the integration of the flight control, guidance, and 
propulsion data into a flight management system for optimisation of 
rocket system trajectory. 

— 

9A009.a. 

  Hybrid rocket propulsion systems with total impulse capacity exceeding 

1.1 MNs. 

— 

9A117 

Staging mechanisms, separation mechanisms, and interstages, usable in 
«missiles». 

Part 3 

This  export  authorisation  is  valid  throughout  the  Community  for  exports  to  the  following 
destinations: 

Australia 

Canada 

Japan 

New Zealand 

Norway 

Switzerland 

United States of America 

Note:  Parts  2  and  3  may  be  amended  only  in  conformity  with  the  relevant  obligations  and 
commitments  that  each  Member  State  has  accepted  as  a  member  of  the  international  non-
proliferation  regimes  and  export  control  arrangements,  and  in  conformity  with  the  public 
security  interests  of  each  Member  State  as  reflected  in  its  responsibility  for  deciding  on 
applications for authorisations to export dual-use items under Article 6(2) of this Regulation. 

Conditions and requirements for use of this authorisation 

1.  This  general  authorisation  may  not  be  used  if  the  exporter  has  been  informed  by  the 
competent  authorities  of  the  Member  State  in  which  he  is  established  that  the  items  in 
question  are  or  may  be  intended,  in  their  entirety  or  in  part,  for  use  in  connection  with  the 
development, production, handling, operation, maintenance, storage, detection, identification 
or  dissemination  of  chemical,  biological  or  nuclear  weapons  or  other  nuclear  explosive 

EN 

265 

   EN 

 
 
 
 
 
devices  or  the  development,  production,  maintenance  or  storage  of  missiles  capable  of 
delivering such weapons, or if the exporter is aware that the items in question are intended for 
such use. 

2.  This  general  authorisation  may  not  be  used  if  the  exporter  has  been  informed  by  the 
competent  authorities  of  the  Member  State  in  which  he  is  established  that  the  items  in 
question  are  or  may  be  intended  for  a  military  end-use  as  defined  in  Article  4(2)  of  the 
Regulation in a country subject to an EU, OSCE or UN arms embargo, or if the exporter is 
aware that the items in question are intended for such use. 

3.  This  general  authorisation  may  not  be  used  when  the  relevant  items  are  exported  to  a 
customs  free  zone  or  free  warehouse  which  is  located  in  a  destination  covered  by  this 
authorisation. 

4.  The  registration  and  reporting  requirements  attached  to  the  use  of  this  general 
authorisation, and the additional information that the Member State from which the export is 
made might require on items exported under this authorisation, are defined by Member States. 
These  requirements  must  be  based  on  those  defined  for  the  use  of  general  export 
authorisations granted by those Member States which provide for such authorisations. 

EN 

266 

   EN 

 
(cid:208) 394/2006 Art. 1 and Annex  
(cid:214) new 

ANNEX III a 

(model form (cid:214) for individual or global export authorisation forms including for intangible exports and for he 
provision of intermediation services  ) 

(referred to in Article 10(1)) 

(cid:216) new 

When delivering the export authorisations, Member States will strive to ensure the visibility of the nature of the 
authorisation (individual or global) on the form issued 

This  is  an  export  authorisation  valid  in  all  Member  States  of  the  European  Union 
until its expiry date 

(cid:208) 394/2006 Art. 1 and Annex  
(cid:214) new 

EUROPEAN COMMUNITY 

EXPORT  OF  DUAL-USE  ITEMS  (cid:214) INCLUDING  INTANGIBLE  EXPORTS  AND 
PROVISION OF INTERMEDIATION SERVICES  (Reg. (EC) No …) 

1 

1 Exporter 

No 

3. Expiry date  
(if applicable) 

4. Contact point details 

5 Consignee 

6. Issuing authority 

(cid:214) (if applicable for IT transfers)  

Agent/Representative 

7 
different from exporter) 

(if 

No 

8. Country of origin 

9 Country of consignment 

10.  End  user 
consignee) 

(if  different 

from 

11.  Member  State  of  current  or  future  location  of  the  items 
(cid:214) (if  applicable  for  intangible  transfers  of  technology  and 
for the provision of intermediation services )  

12.  Member  State  of  intended  entry  into  the  customs  export 
procedure  (cid:214) (if  applicable  for  intangible  transfers  of 
technology and provision of intermediation services )  

See Regulation (EC) N°1172/95 (OJ L 118,25.5.1995,p10), as subsequently amended 

E
C
N
E
C
I
L

21 

Code 21 

Code1 

Code1 

Code1 

EN 

267 

   EN 

 
 
 
 
 
 
 
 
                                                 
1 

13. Country of final destination 

Code1 

14. Description of the items 22 

15.  (cid:214) Harmonised  System  or 
Nomenclature  
Combined 
Code  (if  applicable  (cid:214) with  8 
digit; 
if 
CAS 
available  ) 

number 

16.  Control 
list  no 
(cid:214) (for listed items)  

19. End use 

IT 

applicable 

applicable 

transfers 
for 

18. Quantity of the items  
(cid:214) (if 
for 
transfers)  

17.  Currency  and  Value 
(cid:214) (if 
for 
of 
intangible 
the 
technology  and 

21. Customs export procedure (cid:214) (if 
applicable for intangible transfers of 
technology 
of 
intermediation services)  

20.  Contract  date  (if 
applicable ) 

provision 

and 

22. Additional information required by national legislation (to be specified on the form) 

Available for pre-printed information 

At discretion of Member States 

For completion by issuing authority 

Signature 

Stamp 

Issuing Authority  

Date 

22 

If needed, this description may be given in one or more attachments to this form (1bis). In this case, indicate 
the exact number of attachments in this box). The description should be as precise as possible and integrate, 
where relevant, the CAS or other references for chemical items in particular. 

EN 

268 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
EUROPEAN COMMUNITY 

EXPORT OF DUAL-USE ITEMS (cid:214) INCLUDING INTANGIBLE EXPORTS 
AND PROVISION OF INTERMEDIATION SERVICES  (Reg. (EC) No …) 

1 

1. Exporter 

2 . Identification number 

Bis 

14. Description of the items 

15.  Commodity  code  (cid:214) (if 
applicable  with  8  digit;  CAS 
number if available )  

16.  Control  list  no  (cid:214) (for 
listed items)  

14. Description of the items 

E
C
N
E
C
I
L

17.  Currency  and  Value 
(cid:214) (if  applicable 
for 
intangible 
transfers  of 
technology and for the
15.  Commodity  code  (cid:214) (if 
applicable  with 8  digit;  CAS 
number if available )  

18. Quantity of the items  
(cid:214) (if 
transfers)  

applicable 

for 

IT 

16.  Control  list  no  (cid:214) (for 
listed items)  

18.  Quantity  of  the  items(cid:214) (if 
applicable for IT transfers)  

17. Currency and Value 
(cid:214) (if applicable for 
intangible transfers of 
technology and for the 
provision of 
intermediation 
services)  

14. Description of the items 

15. Commodity code 

16. Control list no 

17. Currency and value 

18. Quantity of the items 

14. Description of the items 

15. Commodity code 

16. Control list no 

14. Description of the items 

15. Commodity code 

16. Control list no 

17. Currency and value 

18. Quantity of the items 

14. Description of the items 

15. Commodity code 

16. Control list no 

17. Currency and value 

18. Quantity of the items 

17. Currency and value 

18. Quantity of the items 

EN 

269 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
14. Description of the items 

15. Commodity code 

16. Control list no 

17. Currency and value 

18. Quantity of the items 

14. Description of the items 

15. Commodity code 

16. Control list no 

17. Currency and value 

18. Quantity of the items 

14. Description of the items 

15. Commodity code 

16. Control list no 

14. Description of the items 

15. Commodity code  

16. Control list no 

17. Currency and value 

18. Quantity of the items 

17. Currency and value 

18. Quantity of the items 

EN 

270 

   EN 

 
 
 
 
 
Note: In  part 1  of column 24,  write the quantity still  available and in part  2  of column  24,  write  the quantity deducted  on this 
occasion. 

23. Net quantity/value (Net mass/other unit with indication 
of unit) 

26.  Customs  document 
(Type  and  number)  or 
extract  (Nr)  and  date  of 
deduction 

27. Member state, name and signature, 
stamp of deduction 

In  words 

25. 
quantity/value deducted 

for 

24. In numbers 

1 

2 

1 

2 

1 

2 

1 

2 

1 

2 

1 

2 

EN 

271 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1 

2 

1 

2 

EN 

272 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
(cid:208) 394/2006 Art. 1 and Annex 
(adapted) 

ANNEX III bIV 

COMMON  ELEMENTS  FOR  PUBLICATION  OF  ⌦ NATIONAL ⌫  GENERAL 
OFFICIAL 

AUTHORISATIONS  ⌦ IN 

NATIONAL 

EXPORT 
JOURNALS ⌫ 

(referred to in Article 10(3) and ⌦ in Article 6 (3) ⌫ 

The  explicit  consent  of  the  competent  national  authorities  where  the  exporter  is  established 
must be given for any re-export under conditions that would not comply with those set by this 
authorisation. 

(cid:216) new 

(cid:208) 394/2006 Art. 1 and Annex 
(adapted) 

1. Title of general export authorisation 

2. Authority issuing the authorisation 

3. EC validity. The following text shall be used: 

««This is a general export authorisation under the terms of Article 6(2) of Regulation (EC) No 
1334/2000 ⌦ […] ⌫ .  This  authorisation,  in  accordance  with  Article  6(2) ⌦ and  6(3) ⌫ 
of that Regulation, is valid in all Member States of the European ⌦ Union ⌫ Community»»  

National validity: the period of validity of the authorisation must be mentioned 

(cid:216) new 

(cid:208) 394/2006 Art. 1 and Annex  
(cid:214) new 

4. Items concerned: the following introductory text shall be used: 

««This export authorisation covers the following items »» 

5. Destinations concerned: The following introductory text shall be used: 

««This export authorisation is valid for exports to the following destinations»» 

6. Conditions and requirements (cid:214) : exporters have to register the use or their intention of use 
of  the  national  general  authorisation  to  national  competent  authorities  of  the  Member  State 
where they are established no later than 30 days after the first shipment.  

EN 

273 

   EN 

 
 
 
 
 
 
(cid:208) 394/2006 Art. 1 and Annex 
(adapted) 

ANNEX IVV 

(List referred to in Article 21(1) 25.1 of Regulation (EC) No 1334/2000 ⌦ […] ⌫ ) 

The entries do not always cover the complete description of the item and the related 
notes in Annex I23. Only Annex I provides the complete description of the items. 

The mention of an item in this Annex does not affect the application of the provisions 
concerning mass-market products in Annex I. 

PART I 

(possibility of National General Authorisation for intra-Community trade) 

Items of stealth technology 

1C001 

  Materials specially designed for use as absorbers of electromagnetic waves, or 

intrinsically conductive polymers. 

NB: SEE ALSO 1C101 

1C101 

1D103 

1E101 

1E102 

6B008 

  Materials or devices for reduced observables such as radar reflectivity, 
ultraviolet/infrared signatures and acoustic signatures; other than those 
specified in 1C001, usable in «missiles», «missile» subsystems or unmanned 
aerial vehicles specified in 9A012. 

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

«Technology» according to the GTN for the «use» of goods specified in 1C101 
or 1D103. 

«Technology» according to the GTN for the «development» of «software» 
specified in 1D103. 

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

NB: SEE ALSO 6B108 

23 

The differences in the wordings/scopes between Annex I and Annex IVVare indicated with bold italic 
text. 

EN 

274 

   EN 

 
 
 
 
 
 
 
 
 
 
                                                 
6B108 

Systems specially designed for radar cross-section measurement usable for 
«missiles» and their subsystems. 

Items of the Community strategic control 

1C239 

1E201 

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 8000 m/s. 

«Technology» according to the General Technology Note for the «use» 
of goods specified in 1C239. 

3A229 

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

NB: SEE ALSO MILITARY GOODS CONTROLS 

3A232 

Detonators and multipoint initiation systems, as follows … 

NB: SEE ALSO MILITARY GOODS CONTROLS 

3E201 

«Technology» according to the General Technology Note for the «use» 
of equipment specified in 3A229 or 3A232. 

6A001 

Acoustics, limited to the following: 

6A001.a.1.b. 

Object detection or location systems having any of the following: 

1. A transmitting frequency below 5 kHz; 

6. Designed to withstand …; 

Hydrophones … Incorporating … 

Hydrophones … Having any … 

Hydrophones … Designed for … 

6A001.a.2.a.2
. 

6A001.a.2.a.3
. 

6A001.a.2.a.6
. 

6A001.a.2.b. 

Towed acoustic hydrophone arrays … 

6A001.a.2.c. 

Processing equipment, specially designed for real time application with 
towed acoustic hydrophone arrays, having «user accessible 
programmability» and time or frequency domain processing and 

EN 

275 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
correlation, including spectral analysis, digital filtering and 
beamforming using Fast Fourier or other transforms or processes; 

6A001.a.2.e. 

Bottom or bay cable systems having any of the following: 

1. Incorporating hydrophones …, or 

2. Incorporating multiplexed hydrophone group signal modules 
…; 

6A001.a.2.f. 

Processing equipment, specially designed for real time application with 
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; 

6D003.a. 

«Software» for the «real time processing» of acoustic data; 

8A002.o.3. 

Noise reduction systems designed for use on vessels of 1000 tonnes 
displacement or more, as follows: 

(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; 

8E002.a. 

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

Items of the Community strategic control — Cryptography — category 5 Part 2 

5A002.a.2. 

equipment designed or modified to perform cryptanalytic functions. 

5D002.c.1 

only «software» having the characteristics, or performing or simulating the 
functions, of equipment specified in 5A002.a.2. 

5E002 

only «technology» for the «development», «production» or «use» of the 
goods specified in 5A002.a.2. or 5D002.c.1. above. 

Items of the MTCR technology 

7A117 

«Guidance sets», usable in «missiles», capable of achieving system accuracy 
of 3,33 % or less of the range (e.g., a «CEP» of 10 km or less at a range of 
300 km), except «guidance sets» designed for missiles with a range under 
300 km or manned aircraft. 

EN 

276 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
7B001 

Test, calibration or alignment equipment specially designed for equipment 
specified in 7A117 above. 

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

7B003 

7B103 

7D101 

7E001 

7E002 

7E101 

9A004 

9A005 

Equipment specially designed for the «production» of equipment specified 
in 7A117 above. 

«Production facilities» specially designed for equipment specified in 7A117 
above. 

«Software» specially designed for the «use» of equipment specified in 
7B003 or 7B103 above. 

«Technology» according to the General Technology Note for the 
«development» of equipment or «software» specified in 7A117, 7B003, 
7B103 or 7D101 above. 

«Technology» according to the General Technology Note for the 
«production» of equipment specified in 7A117, 7B003 and 7B103 above. 

«Technology» to the General Technology Note for the «use» of equipment 
specified in 7A117, 7B003, 7B103 and 7D101 above. 

Space launch vehicles capable of delivering at least a 500 kg payload to a 
range of at least 300 km. 

N.B.: SEE ALSO 9A104. 

Note 1: 9A004 does not control payloads. 

Liquid rocket propulsion systems containing any of the systems or 
components specified in 9A006 usable for space launch vehicles specified 
in 9A004 above or sounding rockets specified in 9A104 below. 

N.B.: SEE ALSO 9A105 and 9A119. 

9A007.a. 

Solid rocket propulsion systems, usable for space launch vehicles specified 
in 9A004 above or sounding rockets specified in 9A104 below, with any of 
the following: 

N.B.: SEE ALSO 9A119. 

a. Total impulse capacity exceeding 1,1 MNs; 

EN 

277 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
9A008.d. 

Components, as follows, specially designed for solid rocket propulsion 
systems: 

N.B.: SEE ALSO 9A108.c. 

d. Movable nozzle or secondary fluid injection thrust vector control 
systems,  usable  for  space  launch  vehicles  specified  in  9A004 
above  or  sounding  rockets  specified  in  9A104  below,  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. 

9A104 

Sounding rockets, capable of delivering at least a 500 kg payload to a range 
of at least 300 km. 

N.B.: SEE ALSO 9A004. 

9A105.a. 

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 equal to 
or greater than 1.1 MNs;  except liquid  propellant apogee engines 
designed  or  modified  for  satellite  applications  and  having  all  of 
the following: 

1.nozzle throat diameter of 20 mm or less; and 

2.combustion chamber pressure of 15 bar or less. 

9A106.c. 

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

c.  Thrust  vector  control  sub-systems,  except  those  designed  for 
rocket systems that are not capable of delivering at least a 500 kg 
payload to a range of at least 300 km. 

(COD) 

EN 

Technical Note: 

278 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
(COD) 

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

9A108.c. 

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

c.  Thrust  vector  control  sub-systems,  except  those  designed  for 
rocket systems that are not capable of delivering at least a 500 kg 
payload to a range of at least 300 km. 

Technical Note: 

(COD) 

(COD) 

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. 

9A116 

Re-entry vehicles, usable in «missiles», and equipment designed or modified 
therefor, as follows, except for re-entry vehicles designed for non-weapon 
payloads: 

a. Re-entry vehicles; 

EN 

279 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
b.  Heat  shields  and  components  therefor  fabricated  of  ceramic  or 
ablative materials; 

c.  Heat  sinks  and  components  therefor  fabricated  of  lightweight, 
high-heat capacity materials; 

d. Electronic equipment specially designed for re-entry vehicles. 

Individual rocket stages, usable in complete rocket systems or unmanned 
aerial vehicles, capable of delivering at least a 500 kg payload to a range of 
300 km, other than those specified in 9A005 or 9A007.a. above. 

Specially designed «production equipment» for the systems, sub-systems 
and components specified in 9A005, 9A007.a., 9A008.d., 9A105.a., 
9A106.c., 9A108.c., 9A116 or 9A119 above. 

Specially designed «production facilities» for the space launch vehicles 
specified in 9A004, or systems, sub-systems, and components specified in 
9A005, 9A007.a., 9A008.d., 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116 
or 9A119 above. 

«Software» specially designed for the «use» of goods specified in 9B116 
above. 

«Technology» according to the General Technology Note for the 
«development» of equipment or «software» specified in 9A004, 9A005, 
9A007.a., 9A008.d., 9B115, 9B116 or 9D101 above. 

«Technology» according to the General Technology Note for the 
«production» of equipment specified in: 9A004, 9A005, 9A007.a., 
9A008.d., 9B115 or 9B116 above. 

Note: For «technology» for the repair of controlled structures, laminates or 
materials, see 1E002.f. 

«Technology» according to the General Technology Note for the 
«development» or «production» of goods specified in 9A104, 9A105.a., 
9A106.c., 9A108.c., 9A116 or 9A119 above. 

«Technology» according to the General Technology Note for the «use» of 
space launch vehicles specified in 9A004, 9A005, 9A007.a., 9A008.d., 
9A104, 9A105.a., 9A106.c., 9A108.c., 9A116, 9A119, 9B115, 9B116 or 
9D101 above. 

9A119 

9B115 

9B116 

9D101 

9E001 

9E002 

9E101 

9E102 

Annex IV V does not control the following items of the MTCR technology: 

— Exemptions: 

EN 

280 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
1.  that  are  transferred  on  the  basis  of  orders  pursuant  to  a  contractual  relationship 
placed  by  the  European  Space  Agency  (ESA)  or  that  are  transferred  by  ESA  to 
accomplish its official tasks; 

2.  that  are  transferred  on  the  basis  of  orders  pursuant  to  a  contractual  relationship 
placed by a Member State's national space organisation or that are transferred by it to 
accomplish its official tasks; 

3.  that  are  transferred  on  the  basis  of  orders  pursuant  to  a  contractual  relationship 
placed  in  connection  with  a  Community  space  launch  development  and  production 
programme signed by two or more European governments; 

4. that are transferred to a State-controlled space launching site in the territory of a 
Member State, unless that Member State controls such transfers within the terms of 
this Regulation. 

PART II 

(no National General Authorisation for intra-Community trade)  

Items of the CWC (Chemical Weapons Convention) 

1C351.d.4
. 

1C351.d.5
. 

Ricin 

Saxitoxin 

Items of the NSG technology 

All Category 0 of Annex I is included in Annex IV V, subject to the following: 

– 

– 

– 

– 

0C001: this item is not included in Annex IV V. 

0C002: this item is not included in Annex IV V, with the exception of special fissile 
materials as follows: 

a. separated plutonium; 

b.«uranium enriched in the isotopes 233 or 235» to more than 20 %. 

0D001 (software) is included in Annex IV V except insofar as it relates to 0C001 or 
to those items of 0C002 that are excluded from Annex IV V. 

0E001  (technology)  is  included  in  Annex  IV  V  except  insofar  as  these  related  to 
0C001 or to those items of 0C002 that are excluded from Annex IV V. 

N.B.: For 0C003 and 0C004, only if for use in a «nuclear reactor» (within 0A001.a.). 

EN 

281 

   EN 

 
 
 
 
 
 
 
 
 
 
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. 

1C012 

  Materials as follows: 

Technical Note: 

(COD) 

(COD) 

These materials are typically used for nuclear heat sources. 

b.«Previously separated» neptunium-237 in any form. 

Note:  1C012.b.  does  not  control  shipments  with  a  neptunium-237 
content of 1 g or less. 

1B231 

Tritium facilities or plants, and equipment therefor, as follows: 

a.  Facilities  or  plants  for  the  production,  recovery,  extraction, 
concentration, or handling of tritium; 

b. Equipment for tritium facilities or plants, as follows: 

1. Hydrogen or helium refrigeration units capable of cooling to 
23 K (– 250 °C) or less, with heat removal capacity greater than 
150 W; 

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

1B233 

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

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

EN 

282 

   EN 

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

1.  Packed  liquid-liquid  exchange  columns  specially  designed 
for lithium amalgams; 

2. Mercury or lithium amalgam pumps; 

3. Lithium amalgam electrolysis cells; 

4. Evaporators for concentrated lithium hydroxide solution. 

1C233 

Lithium enriched in the lithium-6 (6Li) isotope to greater than its natural 
isotopic abundance, and products or devices containing enriched lithium, as 
follows: elemental lithium, alloys, compounds, mixtures containing lithium, 
manufactures thereof, waste or scrap of any of the foregoing. 

Note: 1C233 does not control thermoluminescent dosimeters. 

Technical Note: 

(COD) 

(COD) 

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

1C235 

Tritium, tritium compounds, mixtures containing tritium in which the ratio of 
tritium to hydrogen atoms exceeds 1 part in 1000, and products or devices 
containing any of the foregoing. 

Note:  1C235  does  not  control  a  product  or  device  containing  less  than 
1,48 × 103 GBq (40 Ci) of tritium. 

1E001 

1E201 

«Technology» according to the General Technology Note for the 
«development» or «production» of equipment or materials specified in 
1C012.b. 

«Technology» according to the General Technology Note for the «use» of 
goods specified in 1B226, 1B231, 1B233, 1C233 or 1C235. 

3A228 

Switching devices, as follows: 

a. Cold cathode tubes, whether gas filled or not, operating similarly to 
a spark gap, having all of the following characteristics: 

1. Containing three or more electrodes; 

2. Anode peak voltage rating of 2,5 kV or more; 

EN 

283 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3. Anode peak current rating of 100 A or more; and 

4. Anode delay time of 10 μs or less; 

Note: 3A228 includes gas krytron tubes and vacuum sprytron tubes. 

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

1. An anode delay time of 15 μs or less; and 

2. Rated for a peak current of 500 A or more; 

3A231 

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

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

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

3E201 

«Technology» according to the General Technology Note for the «use» of 
equipment specified in 3A228.a., 3A228.b. or 3A231. 

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  225000 
frames per second; 

2. Streak cameras with writing speeds greater than 0,5 mm per 
microsecond; 

Note:  In  6A203.a.  components  of  such  cameras  include  their 
synchronizing  electronics  units  and  rotor  assemblies  consisting  of 
turbines, mirrors and bearings. 

6A225 

Velocity interferometers for measuring velocities exceeding 1 km/s during 
time intervals of less than 10 microseconds. 

Note:  6A225  includes  velocity  interferometers  such  as  VISARs  (Velocity 
laser 
interferometer  systems 
interferometers). 

for  any  reflector)  and  DLIs  (Doppler 

6A226 

Pressure sensors, as follows: 

EN 

284 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
a. Manganin gauges for pressures greater than 10 GPa; 

b. Quartz pressure transducers for pressures greater than 10 GPa. 

(cid:216) new 

Part II 

Pre-notification form to be filled by the supplier intending to transfer tangible dual use items to another Member 
State in the EU. It must be addressed to the national competent authorities (defined in Article 6.5) of the country 
where the item is located.  

A- Supplier's dDetails: 

Name 

Address 

B-Contact point for export control and IAEA commitments (where appropriate): 

Name 

Tel 

Fax 

Email 

GSM (if available) 

C- Description of the items 

- Entry Number according to EC Regulation 

- Characteristics (technical) including where relevant volume, capacity 

-quantities 

- potential end uses of the item 

D- Description of the intended end use for the items by the end user 

E-Name of the recipient country 

F- End user details 

Name 

Address 

Tel 

Fax  

Email 

G-Location of the item used by the end user (if different from end user address) 

EN 

285 

   EN 

 
 
 
 
H-Date of shipment: 

Reminder: the supplier has to put in the invoice to the customer that: 

a) the item, if exported, requires an export authorisation under Regulation (EC)N°….  

b)  the  item,  cannot  be  re-transferred  to  a  different  end  user  in  a  different  Member  State  without  a  prior 
notification 8 days before the shipment takes place. 

I- Name of the declarant (if different from the supplier) 

Date of notification 

Signature 

(cid:215) 

(cid:207) 

ANNEX VI 

Repealed Regulation with its successive amendments 

Council Regulation (EC) No 1334/2000 

(OJ L 159, 30.6.2000, p. 1) 

Council Regulation (EC) No 2889/2000 

(OJ L 336, 30.12.2000, p.14) 

Council Regulation (EC) No 458/2001 

(OJ L 65 7.3.2001, p. 19) 

Council Regulation (EC) No 2432/2001 

(OJ L 338 20.12.2001, p. 1) 

Council Regulation (EC) No 880/2002 

(OJ L 139 29.5.2002, p. 7) 

Council Regulation (EC) No 149/2003 

(OJ L 30, 5.2.2003 p. 1) 

Council Regulation (EC) No 1504/2004 

(OJ L 281, 31.8.2004, p. 1) 

Council Regulation (EC) No 394/2006 

(OJ L 74, 13.3.2006, p. 1) 

_____________ 

EN 

286 

   EN 

 
 
 
ANNEX VII 

Correlation Table 

Regulation (EC) No 1334/2000 

This Regulation 

Article 1 

Article 1 

Article 2, introductory wording 

Article 2, introductory wording 

Article 2(a) 

Article 2(a) 

Article 2(b), introductory wording 

Article 2(b), introductory wording 

Article 2(b)(i) 

Article 2(b)(ii) 

Article 2(b)(iii) 

- 

Article 2(c)(i) 

Article 2(c)(ii) 

Article 2(d)  

- 

Article 3.1 

Article 3.2 

Article 3.3 

- 

Article 3.4 

- 

Article 4.1 

Article 4.2 

Article 4.3 

Article 4.4 

Article 4.5 

Article 4.6 

Article 2(b)(i) 

Article 2(b)(ii) 

Article 2(b)(iii) 

Article 2(b)(iv) 

Article 2(c)(i) 

Article 2(c)(ii) 

Article 2(d) 

Article 2(e) to (l) 

Article 3.1 

Article 3.2 

Article 3.5 

Article 3.3 

- 

Article 3.4 

Article 4.1 

Article 4.2 

Article 4.3 

Article 4.4 

Article 4.5 

Article 4.6 

EN 

287 

   EN 

 
Article 4.7 

- 

Article 4.8 

Article 5 

Article 6.1 

Article 6.2 

Article 6.3 

- 

Article 6.4 

Article 6.5 

Article 4.7 

Article 4.8 

Article 4.9 

Article 5 

Article 6.1, introductory wording 

Article 6.2 

Article 6.3(a) 

Article 6.3(b) 

Article 6.3(c) 

Article 6.4 

Article 6.6, first sub-paragraph 

Article 6.5, introductory wording and (a) 

- 

Article 6.5 (b) to (d) 

Article 6.6, second sub-paragraph 

Article 6.5, final wording 

Article 7 

Article 8 

- 

Article 9.1 

Article 9.2 

Article 9.3 

- 

Article 10.1 

Article 10.2 

Article 10.3 

- 

Article 11 

Article 12 

Article 13 

Article 7 

Article 8.1 

Article 8.2 

Article 9.1 

Article 9.2 

Article 9.3 

Article 9.4 

Article 10.1 

Article 10.2 

Article 10.3 

Article 10.4 

Article 11 

Article 12 

Article 13 

EN 

288 

   EN 

 
Article 14 

Article 15.1 

Article 15.2 

- 

Article 15.3 

- 

Article 16.1 

- 

Article 16.2 

Article 17 

Article 14 

Article 15.1 

Article 15.2, introductory wording 

Article 15.2(a) to (b) 

Article 15.3 

Article 15.4, Article 15.5 and Article 16.1 

Article 16.2 (i) 

Article 16.2(ii) to (iii) 

Article 16.3 

Article 17 

Article 18.1, introductory wording 

Article 18.1, introductory wording 

Article 18.1 (a) 

Article 18.1 (b) 

- 

Article 18.2 

- 

Article 19 

- 

Article 20 

Article 21.1 

Article 21.2(a) 

Article 21.2(b) 

- 

Article 21.2(c) 

Article 21.2(d) 

Article 21.3 

EN 

Article 18.1 (a) 

- 

Article 18.1 (b) to (d) and final wording 

Article 18.2 

Articles 19 to 20 

Article 21 

Articles 22 to 23 

Article 24 

- 

- 

- 

Articles  25.1  to  25.2  and  Article  25.3,  first 
and second sub-paragraph 

Article 25.3, third sub-paragraph 

- 

Article 25.4 

289 

   EN 

 
Article 21.4 

Article 21.5 

Article 21.6 

Article 21.7 

Article 22 

Article 23 

- 

Article 24 

Annex I 

Annex II Part 1 

Annex II Part 2 

Annex II Part 3 

Annex II note 

Article 25.5 

- 

Article 25.6 

Article 25.7 

Article 26 

Article 27, first and second sub-paragraph 

Article 27, third sub-paragraph 

Article 28 

Annex I 

Annex II Part 1 

Annex II Part 2 

Annex II Part 3 

- 

Annex  II,  “Conditions  and  requirements  for 
use of this authorisation” 

Article 6.1(a) to (b) 

Annex III a 

Annex III b 

Annex IV Part I 

Annex IV Part II 

- 

- 

Annex III 

Annex IV 

Annex  V  Part 

I: 

“Items  of 

stealth 
technology,”  “Items  of  the  Community 
the 
strategic 
of 
Community 
control  — 
strategic 
Cryptography  —  category  5  Part  2”  and 
“Items of the MTCR technology” 

control,” 

“Items 

Annex  V,  Part  I:  “Items  of 

the  CWC 
(Chemical  Weapons  Convention)”  and 
“Items of the NSG technology” 

Annex V Part II 

Annexes VI to VII 

EN 

_____________ 

290 

   EN