Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (recast) - Main contents

EN

Official Journal of the European Union

L 134/1

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

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

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

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.

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

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

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

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

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

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.

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

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

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

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

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

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

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

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

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

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

‘export’ shall mean:

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

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

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

‘brokering services’ shall mean:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

grant export authorisations for dual-use items;

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

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

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;

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

considerations about intended end use and the risk of diversion.

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

circumstances have materially changed since the grant of the authorisation.

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

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

the description of the dual-use items;

the quantity of the dual-use items;

the name and address of the exporter and of the consignee;

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

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

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

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

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

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

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

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

Nuclear materials, facilities and equipment

Special materials and related equipment

Materials Processing

Electronics

Computers

Telecommunications and "information security"

Sensors and lasers

Navigation and avionics

Marine

Aerospace and Propulsion

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

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

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

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

Generally available to the public by being:

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

"In the public domain".

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.

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

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

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

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

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

See Category 4, Technical Note.

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

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.

Additional and alternative allocations are not included.

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

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

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

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

A common use of "asymmetric algorithms" is key management.

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

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

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

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

‧Family‧ consists of all integrated circuits to which all of the following are applied as their manufacturing methodology and specifications except their respective functions:

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

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

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

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

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

"CE" is equivalent to "computing element".

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

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

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

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

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

See also "aircraft".

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

"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:

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

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

See also "total digital transfer rate".

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

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

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

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.

See also "signal analysers".

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

"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.

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

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

"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.

‧Active tooling unit‧ means a device for applying motive power, process energy or sensing to the workpiece.

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

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

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

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

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

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

"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".

‧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.

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

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

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

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

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

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

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

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

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

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

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

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

"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:

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

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

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

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

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

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

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

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

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

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

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

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

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

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.

See also:

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

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

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

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

‧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.

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.

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

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

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

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

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.

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

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

"Microorganisms" (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:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Technical Note:

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Technical Note:

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

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

The above definition does not include the following devices:

"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‧.

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

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

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

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

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

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

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

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

‧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.

‧Solidify rapidly‧ solidification of molten material at cooling rates exceeding 1,000 K/s.

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

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

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

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

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

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

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

"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.

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.

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.

‧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‧.

‧Technical assistance‧ may take forms such as instructions, skills, training, working knowledge and consulting services and may involve the transfer of ‧technical data‧.

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

"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.

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:

"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‧.

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

"Nuclear reactors";

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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:

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

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

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

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

Product and tails stations for transferring UF6 into containers;

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

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

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:

Systems for the conversion of uranium ore concentrates to UO3;

Systems for the conversion of UO3 to UF6;

Systems for the conversion of UO3 to UO2;

Systems for the conversion of UO2 to UF4;

Systems for the conversion of UF4 to UF6;

Systems for the conversion of UF4 to uranium metal;

Systems for the conversion of UF6 to UO2;

Systems for the conversion of UF6 to UF4;

Systems for the conversion of UO2 to UCl4.

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

Equipment and components, as follows:

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

Seals the nuclear materials within the cladding;

Checks the integrity of the cladding or the seal;

Checks the finish treatment of the sealed fuel.

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;

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;

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;

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

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

Holding or storage vessels may have the following features:

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

Systems for the conversion of plutonium nitrate to oxide;

Systems for plutonium metal production.

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

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

Alloys containing less than 5 % thorium;

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

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

Graphite powder.

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

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

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

In 1A001.c., ‧missile‧ means complete rocket systems and unmanned aerial vehicle systems.

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

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

Sporting goods;

Automotive industry;

Machine tool industry;

Medical applications.

Metal heat-treatment furnaces for tempering metals;

Silicon boule production equipment.

A thickness exceeding 0,254 mm;

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

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

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

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

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

Personal radiation monitoring dosimeters;

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

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

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

Remotely operated vehicles;

‧Disruptors‧.

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

Electrically driven explosive detonators as follows:

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

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

‧Shaped charges‧ having all of the following:

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

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

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

An inside diameter of between 75 mm and 400 mm;

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.

Made of phosphor bronze mesh chemically treated to improve wettability;

Designed to be used in vacuum distillation towers.

A ‧cold area‧ greater than 0,09 m2;

A density greater than 3 g/cm3;

A thickness of 100 mm or greater.

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

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

In 1B001.b., ‧missile‧ means complete rocket systems and unmanned aerial vehicle systems.

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

Technical Note:

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

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

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

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

Non-destructive inspection equipment specially designed for "composite" materials, as follows:

Airframe or aerospace structures;

"Aircraft" or aerospace engines;

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

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

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

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

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

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

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.

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

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

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

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

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

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

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.

A total volumetric capacity of 110 litres or more;

At least one mixing/kneading shaft mounted off centre.

Two or more mixing/kneading shafts;

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

Filament winding machines having all of the following characteristics:

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

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

Capable of enriching stable isotopes;

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

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

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

Constructed of either:

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

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

‧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.

Airtight (i.e., hermetically sealed);

A capacity greater than 8,5 m3/h;

Either of the following characteristics:

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

Equipment for tritium facilities or plants, as follows:

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

Designed for a throughput of hydrogen gas of 1 000 kg/h or greater.

Facilities or plants for the separation of lithium isotopes;

Equipment for the separation of lithium isotopes, as follows:

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

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;

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

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

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

1C001.a. does not control:

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

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

Intrinsically conductive polymeric materials with a ‧bulk electrical conductivity‧ exceeding 10 000 S/m (Siemens per metre) or a ‧sheet (surface) resistivity‧ of less than 100 ohms/square, based on any of the following polymers:

Technical Note:

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

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

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

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

Aluminides, as follows:

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

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

Alloyed materials having all of the following:

Initial relative permeability of 120 000 or more and a thickness of 0,05 mm or less;

Technical Note:

Measurement of initial permeability must be performed on fully annealed materials.

Magnetostrictive alloys having any of the following:

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

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.

A density exceeding 17,5 g/cm3;

An elastic limit exceeding 880 MPa;

An ultimate tensile strength exceeding 1 270 MPa;

An elongation exceeding 8 %.

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

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

"Superconductive""composite" conductors consisting of one or more "superconductive"‧filaments‧ which remain "superconductive" above 115 K (– 158,16 °C).

Technical Note:

For the purpose of 1C005 ‧filaments‧ may be in wire, cylinder, film, tape or ribbon form.

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

Lubricating materials containing, as their principal ingredients, any of the following:

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:

Fluorocarbon electronic cooling fluids having all of the following:

‧Flash point‧ is determined using the Cleveland Open Cup Method described in ASTM D-92 or national equivalents;

‧Pour point‧ is determined using the method described in ASTM D-97 or national equivalents;

‧Viscosity index‧ is determined using the method described in ASTM D-2270 or national equivalents;

‧Thermal stability‧ is determined by the following test procedure or national equivalents:

The specimen will be considered thermally stable if, on completion of the above procedure, all of the following conditions are met:

‧Autogenous ignition‧ temperature is determined using the method described in ASTM E-659 or national equivalents.

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

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;

1C007.b. does not control abrasives.

Ceramic-ceramic "composite" materials with a glass or oxide-"matrix" and reinforced with fibres having all of the following:

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

Precursor materials (i.e., special purpose polymeric or metallo-organic materials) for producing any phase or phases of the materials specified in 1C007.c., as follows:

Ceramic-ceramic "composite" materials with an oxide or glass "matrix" reinforced with continuous fibres from any of the following systems:

1C007.f. does not control "composites" containing fibres from these systems with a fibre tensile strength of less than 700 MPa at 1 273 K (1 000 °C) or fibre tensile creep resistance of more than 1 % creep strain at 100 MPa load and 1 273 K (1 000 °C) for 100 hours.

1C008.a. controls substances in liquid or solid "fusible" form, including resin, powder, pellet, film, sheet, tape or ribbon.

For non-"fusible" aromatic polyimides in film, sheet, tape or ribbon form, see 1A003.

Thermoplastic liquid crystal copolymers having a heat distortion temperature exceeding 523 K (250 °C) measured according to ISO 75-2 (2004), method A or national equivalents, with a load of 1,80 N/mm2 and composed of:

Not used;

Polyarylene ketones;

Polyarylene sulphides, where the arylene group is biphenylene, triphenylene or combinations thereof;

Polybiphenylenethersulphone having a ‧glass transition temperature (Tg)‧ exceeding 513 K (240 °C).

Copolymers of vinylidene fluoride having 75 % or more beta crystalline structure without stretching;

Fluorinated polyimides containing 10 % by weight or more of combined fluorine;

Fluorinated phosphazene elastomers containing 30 % by weight or more of combined fluorine.

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

1C010.a. does not control polyethylene.

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

1C010.b. does not control fabric made from "fibrous or filamentary materials" for the repair of "civil aircraft" structures or laminates, in which the size of individual sheets does not exceed 100 cm × 100 cm.

Technical Note:

Properties for materials described in 1C010.b. should be determined using SACMA recommended methods SRM 12 to 17, ISO 10618 (2004) 10.2.1 Method A or national equivalent tow tests and based on lot average.

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

1C010.c. does not control:

"Fibrous or filamentary materials", having any of the following:

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

1C010.e. does not control:

Technical Note:

The ‧glass transition temperature (Tg)‧ for 1C010.e. materials is determined using the method described in ASTM D 3418 using the dry method. The ‧glass transition temperature (Tg)‧ for phenolic and epoxy resins is determined using the method described in ASTM D 4065 at a frequency of 1Hz and a heating rate of 2 K (°C) per minute using the dry method.

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 thereof;

Technical Note:

The natural content of hafnium in the zirconium (typically 2 % to 7 %) is counted with the zirconium.

The metals or alloys specified in 1C011.a. are controlled whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium.

Boron or boron carbide of 85 % purity or higher, and a particle size of 60 µm or less;

The metals or alloys specified in 1C011.b. are controlled whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium.

Guanidine nitrate;

Nitroguanidine (NQ) (CAS 556-88-7).

Plutonium in any form with a plutonium isotopic assay of plutonium-238 of more than 50 % by weight;

1C012.a. does not control:

"Previously separated" neptunium-237 in any form.

1C012.b. does not control shipments with a neptunium-237 content of 1 g or less.

Structural materials and coatings specially designed for reduced radar reflectivity;

Coatings, including paints, specially designed for reduced or tailored reflectivity or emissivity in the microwave, infrared or ultraviolet regions of the electromagnetic spectrum.

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:

SEE ALSO 0C004

Pyrolytic or fibrous reinforced graphites, usable for rocket nozzles and reentry vehicle nose tips usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104;

SEE ALSO 0C004

Ceramic composite materials (dielectric constant less than 6 at any frequency from 100 MHz to 100 GHz) for use in radomes usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104;

Bulk machinable silicon-carbide reinforced unfired ceramic, usable for nose tips usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104;

Reinforced silicon-carbide ceramic composites, usable for nose tips, reentry vehicles and nozzle flaps usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

Propulsive substances: