Lexploria

29.5.2009

EN

Official Journal of the European Union

L 134/1

COUNCIL REGULATION (EC) No 428/2009

of 5 May 2009

setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items

(Recast)

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission,

Whereas:

(1)

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

(2)

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

(3)

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

(4)

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

(5)

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

(6)

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

(7)

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

(8)

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

(9)

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

(10)

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

(11)

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

(12)

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

(13)

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

(14)

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

(15)

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

(16)

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

(17)

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

(18)

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

(19)

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

HAS ADOPTED THIS REGULATION:

CHAPTER I

SUBJECT AND DEFINITIONS

Article 1

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

Article 2

For the purposes of this Regulation:

1.

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

2.

‘export’ shall mean:

(i)

an export procedure within the meaning of Article 161 of Regulation (EEC) No 2913/92 (the Community Customs Code);

(ii)

a re-export within the meaning of Article 182 of that Code but not including items in transit; and

(iii)

transmission of software or technology by electronic media, including by fax, telephone, electronic mail or any other electronic means to a destination outside the European Community; it includes making available in an electronic form such software and technology to legal and natural persons and partnerships outside the Community. Export also applies to oral transmission of technology when the technology is described over the telephone;

3.

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

(i)

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

(ii)

which decides to transmit or make available software or technology by electronic media including by fax, telephone, electronic mail or by any other electronic means to a destination outside the Community.

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

4.

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

5.

‘brokering services’ shall mean:

—

the negotiation or arrangement of transactions for the purchase, sale or supply of dual-use items from a third country to any other third country, or

—

the selling or buying of dual-use items that are located in third countries for their transfer to another third country.

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

6.

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

7.

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

8.

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

9.

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

10.

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

11.

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

12.

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

13.

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

CHAPTER II

SCOPE

Article 3

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

2. Pursuant to Article 4 or Article 8, an authorisation may also be required for the export to all or certain destinations of certain dual-use items not listed in Annex I.

Article 4

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

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

(a)

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

(b)

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

(c)

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

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

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

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

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

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

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

Article 5

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

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

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

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

Article 6

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

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

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

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

Article 7

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

Article 8

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

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

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

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

CHAPTER III

EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES

Article 9

1. A Community General Export Authorisation for certain exports as set out in Annex II is established by this Regulation.

2. For all other exports for which an authorisation is required under this Regulation, such authorisation shall be granted by the competent authorities of the Member State where the exporter is established. Subject to the restrictions specified in paragraph 4, this authorisation may be an individual, global or general authorisation.

All the authorisations shall be valid throughout the Community.

Exporters shall supply the competent authorities with all relevant information required for their applications for individual and global export authorisation so as to provide complete information to the national competent authorities in particular on the end user, the country of destination and the end use of the item exported. The authorisation may be subject, if appropriate, to an end-use statement.

3. Member States shall process requests for individual or global authorisations within a period of time to be determined by national law or practice.

4. National general export authorisations shall:

(a)

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

(b)

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

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

(c)

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

5. Member States shall maintain or introduce in their respective national legislation the possibility of granting a global export authorisation.

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

(a)

grant export authorisations for dual-use items;

(b)

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

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

Article 10

1. Authorisations for brokering services under this Regulation shall be granted by the competent authorities of the Member State where the broker is resident or established. These authorisations shall be granted for a set quantity of specific items moving between two or more third countries. The location of the items in the originating third country, the end-user and its exact location must be clearly identified. The authorisations shall be valid throughout the Community.

2. Brokers shall supply the competent authorities with all relevant information required for their application for authorisation under this Regulation for brokering services, in particular details of the location of the dual-use items in the originating third country, a clear description of the items and the quantity involved, third parties involved in the transaction, the third country of destination, the end-user in that country and its exact location.

3. Member States shall process requests for authorisations for brokering services within a period of time to be determined by national law or practice.

4. Member States shall supply the Commission with a list of the authorities empowered to grant authorisations under this Regulation for the provision of brokering services. The Commission shall publish the list of these authorities in the C series of the Official Journal of the European Union.

Article 11

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

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

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

2. If an export might prejudice its essential security interests, a Member State may request another Member State not to grant an export authorisation or, if such authorisation has been granted, request its annulment, suspension, modification or revocation. The Member State receiving such a request shall immediately engage in consultations of a non-binding nature with the requesting Member State, to be terminated within 10 working days. In case the requested Member State decides to grant the authorisation, this should be notified to the Commission and other Member States using the electronic system mentioned in Article 13(6).

Article 12

1. In deciding whether or not to grant an individual or global export authorisation or to grant an authorisation for brokering services under this Regulation, the Member States shall take into account all relevant considerations including:

(a)

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

(b)

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

(c)

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

(d)

considerations about intended end use and the risk of diversion.

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

Article 13

1. The competent authorities of the Member States, acting in accordance with this Regulation, may refuse to grant an export authorisation and may annul, suspend, modify or revoke an export authorisation which they have already granted. Where they refuse, annul, suspend, substantially limit or revoke an export authorisation or when they have determined that the intended export is not to be authorised, they shall notify the competent authorities of the other Member States and the Commission thereof and share the relevant information with them. In case the competent authorities of a Member State have suspended an export authorisation, the final assessment shall be communicated to the Member States and the Commission at the end of the period of suspension.

2. The competent authorities of Member States shall review denials of authorisations notified under paragraph 1 within three years of their notification and revoke them, amend them or renew them. The competent authorities of the Member States will notify the results of the review to the competent authorities of the other Member States and the Commission as soon as possible. Denials which are not revoked shall remain valid.

3. The competent authorities of the Member States shall notify the Member States and the Commission of their decisions to prohibit a transit of dual-use items listed in Annex I taken under Article 6 without delay. These notifications will contain all relevant information including the classification of the item, its technical parameters, the country of destination and the end user.

4. Paragraphs 1 and 2 shall also apply to authorisations for brokering services.

5. Before the competent authorities of a Member State, acting under this Regulation, grant an authorisation for export or brokering services or decide on a transit they shall examine all valid denials or decisions to prohibit a transit of dual-use items listed in Annex I taken under this Regulation to ascertain whether an authorisation or a transit has been denied by the competent authorities of another Member State or States for an essentially identical transaction (meaning an item with essentially identical parameters or technical characteristics to the same end user or consignee). They shall first consult the competent authorities of the Member State or States which issued such denial(s) or decisions to prohibit the transit as provided for in paragraphs 1 and 3. If following such consultation the competent authorities of the Member State decide to grant an authorisation or allow the transit, they shall notify the competent authorities of the other Member States and the Commission, providing all relevant information to explain the decision.

6. All notifications required under this Article will be made via secure electronic means including via a secure system that may be set up in accordance with Article 19(4).

7. All information shared in accordance with the provisions of this Article shall be in compliance with the provisions of Article 19(3), (4) and (6) concerning the confidentiality of such information.

Article 14

1. All individual and global export authorisations and authorisations for brokering services shall be issued in writing or by electronic means on forms containing at least all the elements and in the order set out in the models which appear in Annexes IIIa and IIIb.

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

CHAPTER IV

UPDATING OF LIST OF DUAL-USE ITEMS

Article 15

1. The list of dual-use items set out in Annex I shall be updated in conformity with the relevant obligations and commitments, and any modification thereof, that Member States have accepted as members of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.

2. Annex IV, which is a subset of Annex I, shall be updated with regard to Article 30 of the Treaty establishing the European Community, namely the public policy and public security interests of the Member States.

CHAPTER V

CUSTOMS PROCEDURES

Article 16

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

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

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

(a)

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

(b)

circumstances have materially changed since the grant of the authorisation.

4. In the case referred to in paragraph 3, the competent authorities of the Member State which granted the export authorisation shall be consulted forthwith in order that they may take action pursuant to Article 13(1). If such competent authorities decide to maintain the authorisation, they shall reply within 10 working days, which, at their request, may be extended to 30 working days in exceptional circumstances. In such case, or if no reply is received within 10 or 30 days, as the case may be, the dual-use items shall be released immediately. The Member State which granted the authorisation shall inform the other Member States and the Commission.

Article 17

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

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

Article 18

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

CHAPTER VI

ADMINISTRATIVE COOPERATION

Article 19

1. Member States, in cooperation with the Commission, shall take all appropriate measures to establish direct cooperation and exchange of information between competent authorities, in particular to eliminate the risk that possible disparities in the application of export controls to dual-use items may lead to a deflection of trade, which could create difficulties for one or more Member States.

2. Member States shall take all appropriate measures to establish direct cooperation and exchange of information between competent authorities with a view to enhance the efficiency of the Community export control regime. Such information may include:

(a)

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

(b)

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

3. Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters (6), and in particular the provisions on the confidentiality of information, shall apply mutatis mutandis, without prejudice to Article 23 of this Regulation.

4. A secure and encrypted system for the exchange of information among Member States and whenever appropriate the Commission may be set up by the Commission, in consultation with the Dual-Use Coordination Group set up under Article 23.

5. The provision of guidance to exporters and brokers will be the responsibility of the Member States where they are resident or established. The Commission and the Council may also make available guidance and/or recommendations for best practices for the subjects referred to in this Regulation.

6. The processing of personal data shall be in accordance with the rules laid down in Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the movement of such data (7) and Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (8).

CHAPTER VII

CONTROL MEASURES

Article 20

1. Exporters of dual-use items shall keep detailed registers or records of their exports, in accordance with the national law or practice in force in the respective Member States. Such registers or records shall include in particular commercial documents such as invoices, manifests and transport and other dispatch documents containing sufficient information to allow the following to be identified:

(a)

the description of the dual-use items;

(b)

the quantity of the dual-use items;

(c)

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

(d)

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

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

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

Article 21

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

(a)

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

(b)

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

CHAPTER VIII

OTHER PROVISIONS

Article 22

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

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

—

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

—

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

—

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

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

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

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

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

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

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

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

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

Article 23

1. A Dual-Use Coordination Group chaired by a representative of the Commission shall be set up. Each Member State shall appoint a representative to this Group.

It shall examine any question concerning the application of this Regulation which may be raised either by the chair or by a representative of a Member State.

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

Article 24

Each Member State shall take appropriate measures to ensure proper enforcement of all the provisions of this Regulation. In particular, it shall lay down the penalties applicable to infringements of the provisions of this Regulation or of those adopted for its implementation. Those penalties must be effective, proportionate and dissuasive.

Article 25

Each Member State shall inform the Commission of the laws, regulations and administrative provisions adopted in implementation of this Regulation, including the measures referred to in Article 24. The Commission shall forward the information to the other Member States.

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

Article 26

This Regulation does not affect:

—

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

—

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

Article 27

Regulation (EC) No 1334/2000 is repealed with effect from 27 August 2009.

However, for export authorisation applications made before 27 August 2009, the relevant provisions of Regulation (EC) No 1334/2000 shall continue to apply.

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

Article 28

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

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

Done at Brussels, 5 May 2009.

For the Council

The President

M. KALOUSEK

(1) OJ L 159, 30.6.2000, p. 1.

(2) OJ L 324, 27.12.1969, p. 25.

(3) OJ L 302, 19.10.1992, p. 1.

(4) OJ L 253, 11.10.1993, p. 1.

(5) OJ L 335, 13.12.2008, p. 99.

(6) OJ L 82, 22.3.1997, p. 1.

(7) OJ L 281, 23.11.1995, p. 31.

(8) OJ L 8, 12.1.2001, p. 1.

ANNEX I

List referred to in Article 3 of this Regulation

LIST OF DUAL-USE ITEMS

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

CONTENTS

Notes

Definitions

Acronyms and abbreviations

Category 0

Category 1

Category 2

Category 3

Category 4

Category 5

Category 6

Category 7

Category 8

Category 9

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.

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

3.

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

NUCLEAR TECHNOLOGY NOTE (NTN)

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

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

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

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

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

GENERAL TECHNOLOGY NOTE (GTN)

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

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

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

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

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

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 THE OFFICIAL JOURNAL OF THE EC

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

—

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

—

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

DEFINITIONS OF TERMS USED IN THIS ANNEX

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

Definitions of terms between "double quotation marks" are as follows:

Category references are given in brackets after the defined term.

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

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

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

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

"Adjusted Peak Performance" (4) is an adjusted peak rate at which "digital computers" perform 64-bit or larger floating point additions and multiplications, and is expressed in Weighted TeraFLOPS (WT) with units of 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 0C004

c.

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;

d.

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;

e.

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.

1C111Propellants and constituent chemicals for propellants, other than those specified in 1C011, as follows:

a.

Propulsive substances:

1.

Spherical aluminium powder, other than that specified in the Military Goods Controls, with particles of uniform diameter of less than 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, atomized, spheroidal, flaked or ground, consisting 97 % by weight or more of any of the following:

a.

Zirconium;

b.

Beryllium;

c.

Magnesium;

d.

Alloys of the metals specified in a. to c. above;

Technical Note:

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

3.

Oxidiser substances usable in liquid propellant rocket engines as follows:

a.

Dinitrogen trioxide (CAS 10544-73-7);

b.

Nitrogen dioxide (CAS 10102-44-0)/dinitrogen tetroxide (CAS 10544-72-6);

c.

Dinitrogen pentoxide (CAS 10102-03-1);

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);

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 as follows:

N.B.: SEE ALSO MILITARY GOODS CONTROLS.

a.

Trimethylhydrazine (CAS 1741-01-1);

b.

Tetramethylhydrazine (CAS 6415-12-9);

c.

N,N diallylhydrazine;

d.

Allylhydrazine (CAS 7422-78-8);

e.

Ethylene dihydrazine;

f.

Monomethylhydrazine dinitrate;

g.

Unsymmetrical dimethylhydrazine nitrate;

h.

Hydrazinium azide (CAS 14546-44-2);

i.

Dimethylhydrazinium azide;

j.

Hydrazinium dinitrate;

k.

Diimido oxalic acid dihydrazine;

l.

2-hydroxyethylhydrazine nitrate (HEHN);

m.

See Military Goods Controls for Hydrazinium perchlorate;

n.

Hydrazinium diperchlorate;

o.

Methylhydrazine nitrate (MHN);

p.

Diethylhydrazine nitrate (DEHN);

q.

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

b.

Polymeric substances:

1.

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

2.

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

3.

Polybutadiene-acrylic acid (PBAA);

4.

Polybutadiene-acrylic acid-acrylonitrile (PBAN);

5.

Polytetrahydrofuran polyethylene glycol (TPEG);

Technical Note:

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

c.

Other propellant additives and agents:

1.

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

2.

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

3.

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

4.

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

5.

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

6.

Ferrocene derivatives as follows:

a.

See Military Goods Controls for catocene;

b.

Ethyl ferrocene (CAS 1273-89-8);

c.

Propyl ferrocene;

d.

See Military Goods Controls for n-butyl ferrocene;

e.

Pentyl ferrocene (CAS 1274-00-6);

f.

Dicyclopentyl ferrocene;

g.

Dicyclohexyl ferrocene;

h.

Diethyl ferrocene;

i.

Dipropyl ferrocene;

j.

Dibutyl ferrocene (CAS 1274-08-4);

k.

Dihexyl ferrocene (CAS 93894-59-8);

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.

7.

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

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

1C116Maraging steels having an ultimate tensile strength of 1 500 MPa or greater, measured at 293 K (20 °C), in the form of sheet, plate or tubing with a wall or plate thickness equal to or less than 5 mm.

N.B.: SEE ALSO 1C216.

Technical Note:

Maraging steels are iron alloys generally characterised by high nickel, very low carbon content and the use of substitutional elements or precipitates to produce strengthening and age-hardening of the alloy.

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 rocket motor components usable in "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104 (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;

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);

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;

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);

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);

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;

2.

A "specific tensile strength" of 235 × 103 m or greater;

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;

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.

In 1C210, ‧fibrous or filamentary materials‧ is restricted to continuous "monofilaments", "yarns", "rovings", "tows" or "tapes".

1C216Maraging steel, other than that specified in 1C116, ‧capable of‧ an ultimate tensile strength of 2 050 MPa or more, at 293 K (20 °C).

1C216 does not control forms in which all linear dimensions are 75 mm or less.

Technical Note:

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 abundance, as follows: elemental boron, compounds, mixtures containing boron, manufactures thereof, waste or scrap of any of the foregoing.

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;

b.

A mass greater than 20 kg.

1C226 does not control manufactures specially designed as weights or gamma-ray collimators.

1C227Calcium having both of the following characteristics:

a.

Containing less than 1 000 parts per million by weight of metallic impurities other than magnesium;

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;

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;

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.

1C230 does not control the following:

a.

Metal windows for X-ray machines, or for bore-hole logging devices;

b.

Oxide shapes in fabricated or semi-fabricated forms specially designed for electronic component parts or as substrates for electronic circuits;

c.

Beryl (silicate of beryllium and aluminium) in the form of emeralds or aquamarines.

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.

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.

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.

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 1 000, and products or devices containing any of the foregoing.

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.

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 therof, and products or devices containing any of the foregoing.

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 8 000 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;

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.

1C240 does not control the following:

a.

Filamentary nickel powders;

b.

Single porous nickel sheets with an area of 1 000 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);

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);

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);

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).

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.

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.

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.

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;

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;

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;

3.

Conotoxin;

4.

Ricin;

5.

Saxitoxin;

6.

Shiga toxin;

7.

Staphylococcus aureus toxins;

8.

Tetrodotoxin;

9.

Verotoxin and shiga-like ribosome inactivating proteins;

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);

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.

e.

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, as follows:

1.

Coccidioides immitis;

2.

Coccidioides posadasii.

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;

2.

Avian influenza virus, which are:

a.

Uncharacterised;

b.

Defined in Annex I(2) EC Directive 2005/94/EC (OJ L 10, 14.1.2006, p. 16) 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;

2.

Type A viruses of the subtypes H5 or H7 with genome sequences codified for multiple basic amino acids at the cleavage site of the haemagglutinin molecule similar to that observed for other HPAI viruses, indicating that the haemagglutinin molecule can be cleaved by a host ubiquitous protease;

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.

Mycoplasmas, 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.

Mycoplasma mycoides subspecies mycoides SC (small colony);

2.

Mycoplasma capricolum subspecies capripneumoniae.

1C352 does not control "vaccines".

1C353Genetic elements and genetically modified organisms, as follows:

a.

Genetically modified organisms or genetic elements that contain nucleic acid sequences associated with pathogenicity of organisms specified in 1C351.a., 1C351.b., 1C351.c, 1C351.e., 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., 1C351.b., 1C351.c., 1C351.e., 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;

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.

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);

4.

Clavibacter michiganensis subsp. Sepedonicus (Corynebacterium michiganensis subsp. Sepedonicum or Corynebacterium Sepedonicum);

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);

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.

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.a.1. and .a.2. in which no individually specified chemical constitutes more than 30 % by the weight of the mixture.

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.

1C450 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.

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;

1C450.b.1 does not control Fonofos: O-Ethyl S-phenyl ethylphosphonothiolothionate (944-22-9);

2.

N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] phosphoramidic dihalides, other than N,N-Dimethylaminophosphoryl dichloride;

See 1C350.57. for N,N-Dimethylaminophosphoryl dichloride.

3.

Dialkyl [methyl, ethyl or propyl (normal or iso)] N,N-dialkyl [methyl, ethyl or propyl (normal or iso)]-phosphoramidates, other than Diethyl-N,N-dimethylphosphoramidate which is specified in 1C350;

4.

N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethyl-2-chlorides and corresponding protonated salts, other than N,N-Diisopropyl-(beta)-aminoethyl chloride or N,N-Diisopropyl-(beta)-aminoethyl chloride hydrochloride which are specified in 1C350;

5.

N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethane-2-ols and corresponding protonated salts, other than N,N-Diisopropyl-(beta)-aminoethanol (96-80-0) and N,N-Diethylaminoethanol (100-37-8) which are specified in 1C350;

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).

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. and .b.6. in which no individually specified chemical constitutes more than 10 % by the weight of the mixture.

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.

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.

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".

1D003"Software" specially designed or modified to enable equipment to perform the functions of equipment specified in 1A004.c. or 1A004.d.

1D101"Software" specially designed or modified for the "use" of goods specified in 1B101, 1B102, 1B115, 1B117, 1B118 or 1B119.

1D103"Software" specially designed for analysis of reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures.

1D201"Software" specially designed for the "use" of goods specified in 1B201.

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, 1A006.b., 1A007, 1B or 1C.

1E002Other "technology" as follows:

a.

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

b.

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

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:

a.

Any of the following compositions:

1.

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

2.

Single nitrides of boron (cubic crystalline forms);

3.

Single or complex carbides of silicon or boron;

4.

Single or complex nitrides of silicon;

b.

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

1.

Less than 1 000 ppm for single oxides or carbides;

2.

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

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;

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;

c.

Continuous or chopped fibres less than 10 µm in diameter;

2.

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

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

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.;

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.

g.

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

Technical Note:

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

1E101"Technology" according to the General Technology Note for the "use" of goods specified in 1A102, 1B001, 1B101, 1B102, 1B115 to 1B119, 1C001, 1C101, 1C107, 1C111 to 1C118, 1D101 or 1D103.

1E102"Technology" according to the General Technology Note for the "development" of "software" specified in 1D001, 1D101 or 1D103.

1E103"Technology" for the regulation of temperature, pressure or atmosphere in autoclaves or hydroclaves, when used for the "production" of "composites" or partially processed "composites".

1E104"Technology" relating to the "production" of pyrolytically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1 573 K (1 300 °C) to 3 173 K (2 900 °C) temperature range at pressures of 130 Pa to 20 kPa.

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

1E201"Technology" according to the General Technology Note for the "use" of goods specified in 1A002, 1A007, 1A202, 1A225 to 1A227, 1B201, 1B225 to 1B233, 1C002.b.3. or .b.4., 1C010.b., 1C202, 1C210, 1C216, 1C225 to 1C240 or 1D201.

1E202"Technology" according to the General Technology Note for the "development" or "production" of goods specified in 1A007, 1A202 or 1A225 to 1A227.

1E203"Technology" according to the General Technology Note for the "development" of "software" specified in 1D201.

CATEGORY 2

MATERIALS PROCESSING

2ASystems, Equipment and Components

For quiet running bearings, see the Military Goods Controls.

2A001Anti-friction bearings and bearing systems, as follows, and components therefor:

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

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;

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;

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;

3.

High temperature (450 K (177 °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 8 000 cm3;

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);

i.

Zirconium oxide (zirconia) (ZrO2);

b.

Crucibles having both of the following characteristics:

1.

A volume of between 50 cm3 and 2 000 cm3;

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 2 000 cm3;

2.

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

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;

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‧ derived from measurements made according to ISO 230/2 (1988) (1) or national equivalents may be used for each machine tool model as an alternative to individual machine tests. ‧Stated positioning accuracy‧ means the accuracy value provided to the competent authorities of the Member State in which the exporter is established as representative of the accuracy of a specific machine model.

a.

Select five machines of a model to be evaluated;

b.

Measure the linear axis accuracies according to ISO 230/2 (1988) (1) ;

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.

2B001 does not control special purpose machine tools limited to the manufacture of gears. For such machines see 2B003.

2B001 does not control special purpose machine tools limited to the manufacture of any of the following:

a.

Crankshafts or camshafts;

b.

Tools or cutters;

c.

Extruder worms;

d.

Engraved or facetted jewellery parts.

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.

For optical finishing machines, see 2B002.

a.

Machine tools for turning having all of the following:

1.

Positioning accuracy with "all compensations available" equal to or less (better) than 6 µm according to ISO 230/2 (1988) (1) or national equivalents along any linear axis;

2.

Two or more axes which can be coordinated simultaneously for "contouring control";

2B001.a. does not control turning machines specially designed for producing contact lenses, having all of the following:

a.

Machine controller limited to using ophthalmic based software for part programming data input;

b.

No vacuum chucking.

b.

Machine tools for milling having any of the following:

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) (1) or national equivalents along any linear axis;

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) (1) or national equivalents along any linear axis;

4.

Fly cutting machines having all of the following:

a.

Spindle "run-out" and "camming" less (better) than 0,0004 mm TIR;

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:

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) (1) or national equivalents along any linear axis;

b.

Three or more axes which can be coordinated simultaneously for "contouring control";

2.

Five or more axes which can be coordinated simultaneously for "contouring control";

2B001.c. does not control grinding machine as follows:

a.

Cylindrical external, internal, and external-internal grinding machines, having all of the following:

1.

Limited to cylindrical grinding;

2.

Limited to a maximum workpiece capacity of 150 mm outside diameter or length.

b.

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) (1) or national equivalents.

c.

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:

1.

Removing material by means of any of the following:

a.

Water or other liquid jets, including those employing abrasive additives;

b.

Electron beam;

c.

"Laser" beam;

2.

Having two or more rotary axes and all of the following:

a.

Can be coordinated simultaneously for "contouring control";

b.

A positioning accuracy of less (better) than 0,003°;

f.

Deep-hole-drilling machines and turning machines modified for deep-hole-drilling, having a maximum depth-of-bore capability exceeding 5 m and specially designed components therefor.

2B002Numerically controlled optical finishing machine tools equipped for selective material removal to produce non-spherical optical surfaces having all of the following characteristics:

a.

Finishing the form to less (better) than 1,0 µm;

b.

Finishing to a roughness less (better) than 100 nm rms.

c.

Four or more axes which can be coordinated simultaneously for "contouring control";

d.

Using any of the following processes:

1.

Magnetorheological finishing (‧MRF‧);

2.

Electrorheological finishing (‧ERF‧);

3.

‧Energetic particle beam finishing‧;

4.

‧Inflatable membrane tool finishing‧;

5.

‧Fluid jet finishing‧.

Technical Notes:

For the purposes of 2B002:

1.

‧MRF‧ is a material removal process using an abrasive magnetic fluid whose viscosity is controlled by a magnetic field.

2.

‧ERF‧ is a removal process using an abrasive fluid whose viscosity is controlled by an electric field.

3.

‧Energetic particle beam finishing‧ uses Reactive Atom Plasmas (RAP) or ion-beams to selectively remove material.

4.

‧Inflatable membrane tool finishing‧ is a process that uses a pressurized membrane that deforms to contact the workpiece over a small area.

5.

‧Fluid jet finishing‧ makes use of a fluid stream for material removal.

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 1 250 mm and a face width of 15 % of pitch diameter or larger finished to a quality of AGMA 14 or better (equivalent to ISO 1328 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;

b.

Having any of the following:

1.

A maximum working pressure exceeding 207 MPa;

2.

A controlled thermal environment exceeding 1 773 K (1 500 °C);

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.

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:

a.

Chemical vapour deposition (CVD) production equipment having all of the following:

N.B.: SEE ALSO 2B105.

1.

A process modified for one of the following:

a.

Pulsating CVD;

b.

Controlled nucleation thermal deposition (CNTD);

c.

Plasma enhanced or plasma assisted CVD;

2.

Having any of the following:

a.

Incorporating high vacuum (equal to or less than 0,01 Pa) rotating seals;

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 and having any of the following:

1.

A liquid pool level "laser" control system which regulates precisely the ingots feed rate;

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:

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;

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 incorporating a grid of electromagnets for steering control of the arc spot on the cathode;

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;

2.

Optical characteristics.

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/1 000) 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:

1.

"Linearity" equal to or less (better) than 0,1 % within a measuring range up to 5 mm;

2.

Drift equal to or less (better) than 0,1 % per day at a standard ambient test room temperature ±1 K;

c.

Measuring systems having all of the following:

1.

Containing a "laser";

2.

Maintaining, for at least 12 hours, at a temperature of 20 ± 1 °C, all of the following:

a.

A "resolution" over their full scale of 0,1 µm or less (better);

b.

Capable of achieving a "measurement uncertainty", when compensated for the refractive index of air, equal to or less (better) than (0,2 + L/2 000) 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.;

2B006.b.1. does not control measuring interferometer systems, with an automatic control system that is designed to use no feedback techniques, 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°;

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).

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 potentially explosive munitions environments;

2B007.b. does not control "robots" specially designed for paint-spraying booths.

c.

Specially designed or rated as radiation-hardened to withstand a total radiation dose greater than 5 × 103 Gy (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.

d.

Specially designed to operate at altitudes exceeding 30 000 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);

For "laser" systems see also Note to 2B006.b.1.c. and d.

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°;

For "laser" systems see also Note to 2B006.b.2.

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 to the manufacturer's technical specification, can be equipped with "numerical control" units or a computer control and having all of the following:

N.B.: SEE ALSO 2B109 AND 2B209.

a.

Two or more controlled axes of which at least two can be coordinated simultaneously for "contouring control";

b.

A roller force more than 60 kN.

Technical Note:

For the purpose of 2B009, machines combining the function of spin-forming and flow-forming are 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;

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;

2.

With more than two axes which can be coordinated simultaneously for "contouring control".

b.

Specially designed components for flow-forming machines specified in 2B009 or 2B109.a.

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 while 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 control bandwidth‧ greater than 5 kHz designed for use with vibration test systems specified in 2B116.a.;

Technical Note:

In 2B116.b., ‧real-time control bandwidth‧ means the maximum rate at which a controller can execute complete cycles of sampling, processing data and transmitting control signals.

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 reentry 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 12 500 rpm;

3.

Capable of correcting unbalance in two planes or more; and

4.

Capable of balancing to a residual specific unbalance of 0,2 g mm per kg of rotor mass;

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.

Designed or modified to incorporate slip rings or integrated non-contact devices capable of transferring electrical power, signal information, or both;

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;

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;

3.

A positioning "accuracy" equal to or less (better) than 5 arc second.

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.

Motion simulators or rate tables specified in 2B120 remain controlled whether or not slip rings or integrated non-contact devices are fitted at time of export.

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;

b.

A positioning "accuracy" equal to or less (better) than 5 arc second.

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 designed or modified to incorporate slip rings or integrated non-contact devices capable of transferring electrical power, signal information, or both.

Centrifuges specified in 2B122 remain controlled whether or not slip rings or integrated non-contact devices are fitted at time of export.

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:

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) (1) or national equivalents along any linear axis;

2.

Two or more contouring rotary axes;

2B201.a. does not control milling machines having the following characteristics:

a.

X-axis travel greater than 2 m;

b.

Overall positioning accuracy on the x-axis more (worse) than 30 µm.

b.

Machine tools for grinding, having any of the following characteristics:

1.

Positioning accuracies with "all compensations available" equal to or less (better) than 4 µm according to ISO 230/2 (1988) (1) or national equivalents along any linear axis;

2.

Two or more contouring rotary axes.

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;

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) (1) or national equivalents.

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;

d.

Extruder worms.

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;

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;

2.

A one-dimensional length "measurement uncertainty" equal to or less (better) than(1,25 + L/1 000) 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;

2.

"Angular position deviation" equal to or less than 0.02°.

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.

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);

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.

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;

3.

Capable of balancing speed of revolution greater than 5 000 r.p.m.;

b.

Centrifugal balancing machines designed for balancing hollow cylindrical rotor components and having all of the following characteristics:

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;

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);

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 1 123 K (850 °C);

2.

Induction coils 600 mm or less in diameter;

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.

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 1 000 cm3 and 20 000 cm3;

2.

Capable of operating with melting temperatures above 1 973 K (1 700 °C);

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;

2.

Capable of operating with melting temperatures above 1 473 K (1 200 °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;

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;

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;

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;

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;

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 (20 000 litres), where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:

1.

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;

7.

Zirconium or zirconium alloys;

8.

Niobium (columbium) or niobium 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:

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;

7.

Zirconium or zirconium alloys;

8.

Niobium (columbium) or niobium 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;

7.

Zirconium or zirconium alloys;

8.

Niobium (columbium) or niobium 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;

9.

Silicon carbide;

10.

Titanium carbide;

11.

Niobium (columbium) or niobium alloys;

e.

Distillation or absorption columns of internal diameter greater than 0,1 m; and liquid distributors, vapour distributors or liquid collectors designed for such distillation or absorption 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;

8.

Zirconium or zirconium alloys;

9.

Niobium (columbium) or niobium 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;

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;

7.

Zirconium or zirconium alloys;

8.

Niobium (columbium) or niobium alloys;

9.

Ceramic materials as follows:

a.

Silicon carbide with purity of 80 % or more by weight;

b.

Aluminium oxide (alumina) with purity of 99,9 % or more by weight;

c.

Zirconium oxide (zirconia);

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;

8.

Zirconium or zirconium alloys;

9.

Niobium (columbium) or niobium 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;

10.

Zirconium or zirconium alloys;

11.

Niobium (columbium) or niobium 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 1 273 K (1 000 °C), in which all surfaces in the waste supply system that come into direct contact with the waste products are made from or lined with any of the following materials:

1.

Alloys with more than 25 % nickel and 20 % chromium by weight;

2.

Ceramics;

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, other than those specified in 1A004, 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;

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 (3rd edition Geneva 2004).

b.

Fermenters capable of cultivation of pathogenic "microorganisms", 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;

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:

1.

Cross (tangential) flow filtration equipment capable of separation of pathogenic micro-organisms, viruses, toxins or cell cultures, without the propagation of aerosols, having all of the following characteristics:

a.

A total filtration area equal to or greater than 1 m2;

b.

Having any of the following characteristics:

1.

Capable of being sterilised or disinfected in-situ;

2.

Using disposable or single-use filtration components;

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.;

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 1 000 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;

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;

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 "microorganisms", viruses or "toxins" and having a capacity of 1 m3 or greater.

2CMaterials

None.

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".

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

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

2D101"Software" specially designed or modified for the "use" of equipment specified in 2B104, 2B105, 2B109, 2B116, 2B117 or 2B119 to 2B122.

N.B.: 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.

2D351"Software", other than that specified in 1D003, specially designed for "use" of equipment specified in 2B351.

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";

c.

"Direct-acting hydraulic pressing";

2.

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

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.

The table and Technical Note appear after entry 2E301.

2E101"Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 2B004, 2B009, 2B104, 2B109, 2B116, 2B119 to 2B122 or 2D101.

2E201"Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 2A225, 2A226, 2B001, 2B006, 2B007.b., 2B007.c., 2B008, 2B009, 2B201, 2B204, 2B206, 2B207, 2B209, 2B225 to 2B232, 2D201 or 2D202.

2E301"Technology" according to the General Technology Note for the "use" of goods specified in 2B350 to 2B352.

Table

Deposition techniques

1.

Coating Process (1) (2)

2.

Substrate

3.

Resultant Coating

A.

Chemical Vapour Deposition (CVD)

"Superalloys"

Aluminides for internal passages

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

Silicides

Carbides

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

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

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Aluminides

Alloyed aluminides (2)

Boron nitride

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

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

Sensor window materials (9)

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

B.

Thermal-Evaporation Physical Vapour Deposition (TE-PVD)

B.1.

Physical Vapour Deposition (PVD): Electron-Beam (EB-PVD)

"Superalloys"

Alloyed silicides

Alloyed aluminides (2)

MCrAlX (5)

Modified zirconia (12)

Silicides

Aluminides

Mixtures thereof (4)

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

Dielectric layers (15)

Corrosion resistant steel (7)

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

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

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

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

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Borides

Beryllium

Sensor window materials (9)

Dielectric layers (15)

Titanium alloys (13)

Borides

Nitrides

B.2.

Ion assisted resistive heating Physical Vapour Deposition (PVD) (Ion Plating)

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

Dielectric layers (15)

Diamond-like carbon (17)

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

Dielectric layers (15)

Cemented tungsten carbide (16), Silicon carbide

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Sensor window materials (9)

Dielectric layers (15)

Diamond-like carbon (17)

B.3.

Physical Vapour Deposition (PVD): "Laser" Vaporization

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

Silicides

Dielectric layers (15)

Diamond-like carbon (17)

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

Dielectric layers (15)

Cemented tungsten carbide (16), Silicon carbide

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Sensor window materials (9)

Dielectric layers (15)

Diamond-like carbon

B.4.

Physical Vapour Deposition (PVD): Cathodic Arc Discharge

"Superalloys"

Alloyed silicides

Alloyed aluminides (2)

MCrAlX (5)

Polymers (11) and

Borides

Carbides

Nitrides

Diamond-like carbon (17)

C.

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

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

Silicides

Carbides

Mixtures thereof (4)

Titanium alloys (13)

Silicides

Aluminides

Alloyed aluminides (2)

Refractory metals and alloys (8)

Silicides

Oxides

D.

Plasma spraying

"Superalloys"

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

Abradable Nickel-Graphite Abradable materials

containing Ni-Cr-Al

Abradable Al-Si-Polyester Alloyed aluminides (2)

Aluminium alloys (6)

MCrAlX (5)

Modified zirconia (12)

Silicides

Mixtures thereof (4)

Refractory metals and alloys (8)

Aluminides

Silicides

Carbides

Corrosion resistant steel (7)

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

Titanium alloys (13)

Carbides

Aluminides

Silicides

Alloyed aluminides (2)

Abradable Nickel-Graphite Abradable materials

containing Ni-Cr-Al

Abradable Al-Si-Polyester

E.

Slurry Deposition

Refractory metals and alloys (8)

Fused silicides

Fused aluminides except for resistance heating elements

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

Silicides

Carbides

Mixtures thereof (4)

F.

Sputter Deposition

"Superalloys"

Alloyed silicides

Alloyed aluminides (2)

Noble metal modified aluminides (3)

MCrAlX (5)

Modified zirconia (12)

Platinum

Mixtures thereof (4)

Ceramics and Low- expansion glasses (14)

Silicides

Platinum

Mixtures thereof (4)

Dielectic layers (15)

Diamond-like carbon (17)

Titanium alloys (13)

Borides

Nitrides

Oxides

Silicides

Aluminides

Alloyed aluminides (2)

Carbides

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

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

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

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Borides

Dielectric layers (15)

Beryllium

Sensor window materials (9)

Dielectric layers (15)

Diamond-like carbon (17)

Refractory metals and alloys (8)

Aluminides

Silicides

Oxides

Carbides

G.

Ion Implantation

High temperature bearing steels

Additions of Chromium Tantalum orNiobium (Columbium)

Titanium alloys (13)

Borides

Nitrides

Beryllium and Beryllium alloys

Borides

Cemented tungsten carbide (16)

Carbides

Nitrides

Table — Deposition techniques — Notes

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.

4.

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

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 % by weight in various proportions and combinations, except:

a.

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

b.

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

c.

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

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.

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 consisting of tungsten carbide/(cobalt, nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-chromium and chromium carbide/nickel.

17.

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

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

18.

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

19.

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

Table — Deposition techniques — Technical note

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

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.

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

Pack denotes a substrate immersed in a powder mixture.

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

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 cathode, through an insulator, or the chamber. Substrate biasing is used for non line-of-sight deposition.

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

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 1 030 K (757 °C) and 1 375 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.

Low pressure means less than ambient atmospheric pressure.

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

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.

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

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

g.

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

CATEGORY 3

ELECTRONICS

3ASystems, Equipment and Components

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

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

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

3A001Electronic components and specially designed components therefor, as follows:

a.

General purpose integrated circuits, as follows:

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

Integrated circuits include the following types:

—

"Monolithic integrated circuits";

—

"Hybrid integrated circuits";

—

"Multichip integrated circuits";

—

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

—

"Optical integrated circuits".

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;

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;

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, 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);

c.

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

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

3.

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

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

4.

Storage integrated circuits manufactured from a compound semiconductor;

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 105 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 10 million words per second;

5.

A resolution of more than 14 bit with an output rate greater than 2,5 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 megahertz (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" and having all of the following:

a.

One or more than one internal "laser" diode;

b.

One or more than one internal light detecting element;

c.

Optical waveguides;

7.

‧Field programmable logic devices‧ having any of the following:

a.

A maximum number of digital input/outputs greater than 200;

b.

A system gate count of greater than 230 000;

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)

Technical Notes:

1.

‧Field programmable logic devices‧ are also known as field programmable gate or field programmable logic arrays.

2.

Maximum number of digital input/outputs in 3A001.a.7.a. is also referred to as the maximum user input/outputs or maximum available input/outputs, whether the integrated circuit is packaged or bare die.

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 1 500 terminals;

b.

A typical "basic gate propagation delay time" of less than 0,02 ns;

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 3 000 (2 input gates);

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 log2 N) /20 480 ms, where N is the number of points;

Technical Note:

When N is equal to 1 024 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:

3A001.b.1. does not control tubes designed or rated for operation in any frequency band and having all of the following:

a.

Does not exceed 31,8 GHz;

b.

Is "allocated by the ITU" for radio-communications services, but not for radio-determination.

3A001.b.1. does not control non-"space-qualified" tubes having all of the following:

a.

An average output power equal to or less than 50 W;

b.

Designed or rated for operation in any frequency band and having all of the following:

1.

Exceeds 31,8 GHz but does not exceed 43,5 GHz;

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.

Tubes operating at frequencies exceeding 31,8 GHz;

2.

Tubes 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, having any of the following:

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;

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:

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 %;

f.

Rated for operation at frequencies exceeding 43,5 GHz;

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.

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.

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);

e.

Rated for operation at frequencies exceeding 43,5 GHz;

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 3A001.b.3.e., is determined by the lowest average output power control threshold.

4.

Microwave solid state amplifiers and microwave assemblies/modules containing microwave solid state 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;

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;

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≤ 15cm × GHz/3.2 GHz].

MMIC power amplifiers should be evaluated against the criteria in 3A001.b.2.

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.

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 and having any of the following:

a.

A band-pass bandwidth of more than 0,5 % of centre frequency;

b.

A band-stop bandwidth of less than 0,5 % of centre frequency;

6.

Not used;

7.

Converters and harmonic mixers, designed to extend the frequency range of equipment described in 3A002.c., 3A002.d., 3A002.e. or 3A002.f. beyond the limits stated therein;

8.

Microwave power amplifiers containing tubes specified in 3A001.b.1. and having all of the following:

a.

Operating frequencies above 3 GHz;

b.

An average output power density to mass ratio exceeding 80 W/kg;

c.

A volume of less than 400 cm3;

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.

9.

Microwave power modules (MPM) consisting of, at least, a travelling wave tube, a microwave "monolithic integrated circuit" and an integrated electronic power conditioner and having all of the following:

a.

A ‧turn-on time‧ from off to fully operational in less than 10 seconds;

b.

A volume less than the maximum rated power in Watts multiplied by 10 cm3/W;

c.

An "instantaneous bandwidth" greater than 1 octave (fmax. > 2fmin.) and having any of the following:

1.

For frequencies equal to or less than 18 GHz, an RF output power greater than 100 W; or

2.

A frequency greater than 18 GHz;

Technical Notes:

1.

To calculate the volume in 3A001.b.9.b., the following example is provided: for a maximum rated power of 20 W, the volume would be: 20 W × 10 cm3/W = 200 cm3.

2.

The‧turn-on time‧ in 3A001.b.9.a. refers to the time from fully-off to fully operational, i.e., it includes the warm-up time of the MPM.

10.

Oscillators or oscillator assemblies, designed to operate with all of the following:

a.

A single sideband (SSB) phase noise, in dBc/Hz, better than -(126+20log10F-20log10f) for 10 Hz < F < 10 kHz;

b.

A single sideband (SSB) phase noise, in dBc/Hz, better than -(114+20log10F-20log10f) for 10 kHz ≤ F < 500 kHz;

Technical Note:

In 3A001.b.10., F is the offset from the operating frequency in Hz and f is the operating frequency in MHz.

c.

Acoustic wave devices as follows and specially designed components therefor:

1.

Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices, having any of the following:

a.

A carrier frequency exceeding 6 GHz;

b.

A carrier frequency exceeding 1 GHz, but not exceeding 6 GHz and having any of the following:

1.

A ‧frequency side-lobe rejection‧ exceeding 65 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;

4.

A dispersive delay of more than 10 µs;

c.

A carrier frequency of 1 GHz or less and having any of the following:

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;

3.

A ‧frequency side-lobe rejection‧ exceeding 65 dB and a bandwidth greater than 100 MHz;

‧Frequency side-lobe rejection‧ is the maximum rejection value specified in data sheet.

2.

Bulk (volume) acoustic wave devices which permit the direct processing of signals at frequencies exceeding 6 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;

3A001.c. does not control acoustic wave devices that are limited to a single band pass, low pass, high pass or notch filtering, or resonating function.

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 and having 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;

2.

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

e.

High energy devices as follows:

1.

‧Cells‧ as follows:

a.

‧Primary cells‧ having an ‧energy density‧ exceeding 550 Wh/kg at 20 oC;

b.

‧Secondary cells‧ having an ‧energy density‧ exceeding 250 Wh/kg

Technical Notes:

1.

For the purpose of 3A001.e.1.,‧energy density‧ (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours (Ah) divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in ohms and the mass in kilograms.

2.

For the purpose of 3A001.e.1., a ‧cell‧ is defined as an electrochemical device, which has positive and negative electrodes, an electrolyte, and is a source of electrical energy. It is the basic building block of a battery.

3.

For the purpose of 3A001.e.1.a., a ‧primary cell‧ is a ‧cell‧ that is not designed to be charged by any other source.

4.

For the purpose of 3A001.e.1.b., a ‧secondary cell‧ is a ‧cell‧ that is designed to be charged by an external electrical source.

3A001.e.1. does not control batteries, including single-cell batteries.

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) and 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;

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) and 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;

4.

A charge/discharge cycle life equal to or more than 10 000;

3.

"Superconductive" electromagnets and solenoids, specially designed to be fully charged or discharged in less than one second and having all of the following:

N.B.: SEE ALSO 3A201.b.

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;

c.

Rated for a magnetic induction of more than 8 T or "overall current density" in the winding of more than 300 A/mm2;

4.

Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays, which are "space-qualified", having a minimum average efficiency exceeding 20 % at an operating temperature of 301 K (28 °C) under simulated ‧AM0‧ illumination with an irradiance of 1,367 watts per square metre (W/m2);

Technical Note:

‧AM0‧, or ‧Air Mass Zero‧, refers to the spectral irradiance of sun light in the earth's outer atmosphere when the distance between the earth and sun is one astronomical unit (AU).

f.

Rotary input type absolute position encoders having an accuracy equal to or less (better) than ±1,0 second of arc;

g.

Solid-state pulsed power switching thyristor devices and ‧thyristor modules‧, using either electrically, optically, or electron radiation controlled switch methods and having any of the following:

1.

A maximum turn-on current rate of rise (di/dt) greater than 30 000 A/μs and off-state voltage greater than 1 100 V;

2.

A maximum turn-on current rate of rise (di/dt) greater than 2 000 A/μs and having all of the following:

a.

An off-state peak voltage equal to or greater than 3 000 V;

b.

A peak (surge) current equal to or greater than 3 000 A.

3A001.g. includes:

—

Silicon Controlled Rectifiers (SCRs)

—

Electrical Triggering Thyristors (ETTs)

—

Light Triggering Thyristors (LTTs)

—

Integrated Gate Commutated Thyristors (IGCTs)

—

Gate Turn-off Thyristors (GTOs)

—

MOS Controlled Thyristors (MCTs)

—

Solidtrons

3A001.g. does not control thyristor devices and ‧thyristor modules‧ incorporated into equipment designed for civil railway or "civil aircraft" applications.

Technical Note:

For the purposes of 3A001.g., a ‧thyristor module‧ contains one or more thyristor devices.

h.

Solid-state power semiconductor switches, diodes, or ‧modules‧, having all of the following:

1.

Rated for a maximum operating junction temperature greater than 488 K (215 °C);

2.

Repetitive peak off-state voltage (blocking voltage) exceeding 300 V;

3.

Continuous current greater than 1 A.

Repetitive peak off-state voltage in 3A001.h. includes drain to source voltage, collector to emitter voltage, repetitive peak reverse voltage and peak repetitive off-state blocking voltage.

3A001.h. includes:

—

Junction Field Effect Transistors (JFETs)

—

Vertical Junction Field Effect Transistors (VJFETs)

—

Metal Oxide Semiconductor Field effect Transistors (MOSFETs)

—

Double Diffused Metal Oxide Semiconductor Field Effect Transistor (DMOSFET)

—

Insulated Gate Bipolar Transistor (IGBT)

—

High Electron Mobility Transistors (HEMTs)

—

Bipolar Junction Transistors (BJTs)

—

Thyristors and Silicon Controlled Rectifiers (SCRs)

—

Gate Turn-Off Thyristors (GTOs)

—

Emitter Turn-Off Thyristors (ETOs)

—

PiN Diodes

—

Schottky Diodes

3A001.h. does not control switches, diodes, or ‧modules‧ incorporated into equipment designed for civil automobile, civil railway or "civil aircraft" applications.

Technical Note:

For the purposes of 3A001.h., ‧modules‧ contain one or more solid-state power semiconductor switches or diodes.

3A002General purpose electronic equipment and accessories therefor, as follows:

a.

Recording equipment as follows and specially designed test tape therefor:

1.

Analogue instrumentation magnetic tape recorders, including those permitting the recording of digital signals (e.g. using a high density digital recording (HDDR) module), having any of the following:

a.

A bandwidth exceeding 4 MHz per electronic channel or track;

b.

A bandwidth exceeding 2 MHz per electronic channel or track and having more than 42 tracks;

c.

A time displacement (base) error, measured in accordance with applicable IRIG or EIA documents, of less than ±0,1 µs;

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 Mbit/s;

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 and having any of the following:

a.

A maximum digital interface transfer rate exceeding 175 Mbit/s;

b.

Being "space-qualified";

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 Mbit/s and 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;

b.

A ‧continuous throughput‧ of 2 Gbit/s or more;

Technical Notes:

1.

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.

2.

‧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 and 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;

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;

The control status of "signal analysers", signal generators, network analysers, and microwave test receivers as stand-alone instruments is determined by 3A002.c., 3A002.d., 3A002.e., and 3A002.f., respectively.

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;

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 reference oscillator, 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 as specified by any of the following:

a.

Less than 312 ps;

b.

Less than 100 µs for any frequency change exceeding 1,6 GHz within the synthesised frequency range exceeding 3,2 GHz but not exceeding 10,6 GHz;

c.

Less than 250 µs for any frequency change exceeding 550 MHz within the synthesised frequency range exceeding 10,6 GHz but not exceeding 31,8 GHz;

d.

Less than 500 µs for any frequency change exceeding 550 MHz within the synthesised frequency range exceeding 31,8 GHz but not exceeding 43,5 GHz;

e.

Less than 1 ms within the synthesised frequency range exceeding 43,5 GHz;

4.

A maximum synthesised frequency exceeding 3,2 GHz and having all of the following:

a.

A single sideband (SSB) phase noise, in dBc/Hz, better than -(126 + 20log10F — 20log10f) for 10 Hz < F < 10 kHz;

b.

A single sideband (SSB) phase noise, in dBc/Hz, better than -(114 + 20log10F — 20log10f) for 10 kHz ≤ F < 500 kHz;

Technical Note:

In 3A002.d.4., F is the offset from the operating frequency in Hz and f is the operating frequency in MHz;

For the purpose of 3A002.d., frequency synthesised signal generators include arbitrary waveform and function generators.

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.

Technical Notes:

1.

Arbitrary waveform and function generators are normally specified by sample rate (e.g., GSample/s), which is converted to the RF domain by the Nyquist factor of two. Thus, a 1 GSample/s arbitrary waveform has a direct output capability of 500 MHz. Or, when oversampling is used, the maximum direct output capability is proportionately lower.

2.

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.

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;

2.

Being capable of measuring amplitude and phase simultaneously;

g.

Atomic frequency standards being any of the following:

1.

"Space-qualified";

2.

Non-rubidium and having a long-term stability less (better) than 1 × 10-11/month;

3.

Non-"space-qualified" and having all of the following:

a.

Being a rubidium standard;

b.

Long-term stability less (better) than 1 × 10-11/month;

c.

Total power consumption of less than 1 W.

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 ruggedized equipment;

b.

Accelerators capable of delivering electromagnetic radiation produced by bremsstrahlung from accelerated electrons of 2 MeV or greater, and systems containing those accelerators.

3A101.b. above does not specify equipment specially designed for medical purposes.

3A102‧Thermal batteries‧ designed or modified for ‧missiles‧.

Technical Notes:

1.

In 3A102 ‧thermal batteries‧ are single use batteries that contain a solid non-conducting inorganic salt as the electrolyte. These batteries incorporate a pyrolytic material that, when ignited, melts the electrolyte and activates the battery.

2.

In 3A102 ‧missile‧ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

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;

c.

Capacitance greater than 0,5 µF;

d.

Series inductance less than 50 nH;

2.

a.

Voltage rating greater than 750 V;

b.

Capacitance greater than 0,25 µF;

c.

Series inductance less than 10 nH;

b.

Superconducting solenoidal electromagnets having all of the following characteristics:

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;

4.

Magnetic field uniform to better than 1 % over the central 50 % of the inner volume;

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.

a.

An accelerator peak electron energy of 500 keV or greater but less than 25 MeV;

b.

With a ‧figure of merit‧ (K) of 0,25 or greater;

2.

a.

An accelerator peak electron energy of 25 MeV or greater;

b.

A ‧peak power‧ greater than 50 MW.

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:

2.

‧Peak power‧ = (peak potential in volts) x (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 2 000 Hz;

c.

Total harmonic distortion better (less) than 10 %;

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;

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;

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;

4.

Anode delay time of 10 µs or less;

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;

2.

Rated for a peak current of 500 A or more;

c.

Modules or assemblies with a fast switching function, other than those specified in 3A001.g., 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;

3.

Turn-on time of 1 µs or less.

3A229High-current pulse generators as follows:

N.B.: SEE ALSO MILITARY GOODS CONTROLS.

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

a.

Not used;

b.

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

1.

Designed for portable, mobile, or ruggedized-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;

7.

Weight less than 25 kg;

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.

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,

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, including tubes, having both of the following characteristics:

a.

Designed for operation without an external vacuum system;

b.

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

3A232Multipoint initiation systems, other than those specified in 1A007, as follows:

N.B.: SEE ALSO MILITARY GOODS CONTROLS.

See 1A007.b. for detonators.

a.

Not used;

b.

Arrangements using single or multiple detonators designed to nearly simultaneously initiate an explosive surface over greater than 5 000 mm2 from a single firing signal with an initiation timing spread over the surface of less than 2,5 µs.

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

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;

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;

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

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;

b.

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

1.

A beam energy (accelerating voltage) exceeding 1MeV;

2.

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

3.

Direct write capability;

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;

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;

b.

Designed for generating less than 0,04 particles/cm2 with a measurable particle size greater than 0,1 µm in diameter;

d.

Plasma enhanced Chemical Vapour Deposition (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 specified in 3B001.e. and designed according to the manufacturer's specifications or optimised for use in the production of semiconductor devices with critical dimensions of 180 nm or less;

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;

2.

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

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

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 and having any of the following:

a.

A light source wavelength shorter than 245 nm;

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:

where the K factor = 0,45

MRF = ‧minimum resolvable feature size‧

2.

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

3B001.f.2. includes:

—

Micro contact printing tools

—

Hot embossing tools

—

Nano-imprint lithography tools

—

Step and flash imprint lithography (S-FIL) tools

3.

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

a.

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

b.

Having any of the following:

1.

A spot size smaller than 0,2 µm;

2.

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

3.

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;

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

i.

Imprint lithography templates designed for integrated circuits specified in 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.

3CMaterials

3C001Hetero-epitaxial materials consisting of a "substrate" having stacked epitaxially grown multiple layers of any of the following:

a.

Silicon (Si);

b.

Germanium (Ge);

c.

Silicon carbide (SiC);

d.

"III/V compounds" of gallium or indium.

3C002Resist materials as follows and "substrates" coated with the following resists:

a.

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

e.

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

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 %.

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.

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

3C005Silicon carbide (SiC), gallium nitride (GaN), aluminium nitride (AlN) or aluminium gallium nitride (AlGaN) "substrates", or ingots, boules, or other preforms of those materials, having resistivities greater than 10 000 ohm-cm at 20 °C.

3C006"Substrates" specified in 3C005 with at least one epitaxial layer of silicon carbide, gallium nitride, aluminium nitride or aluminium gallium nitride.

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 equipment specified in 3B001.a. to f. or 3B002.

3D003‧Physics-based‧ simulation "software" specially designed for the "development" of lithographic, etching or deposition processes for translating masking patterns into specific topographical patterns in conductors, dielectrics or semiconductor materials.

Technical Note:

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

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

3D004"Software" specially designed for the "development" of the equipment specified in 3A003.

3D101"Software" specially designed or modified for the "use" of equipment specified in 3A101.b.

3ETechnology

3E001"Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 3A, 3B or 3C;

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

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

1.

Using "technology" of 0,5 µm or more;

2.

Not incorporating ‧multi-layer structures‧.

Technical Note:

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

3E002"Technology" according to the General Technology Note, other than that specified in 3E001, for the "development" or "production" of a "microprocessor microcircuit", "microcomputer microcircuit" or microcontroller microcircuit core, having an arithmetic logic unit with an access width of 32 bits or more and any of the following features or characteristics:

a.

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

Technical Note:

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

b.

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

c.

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

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

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

a.

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

b.

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

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

3E003Other "technology" for the "development" or "production" of the following:

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;

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, 3A102 or 3D101.

3E102"Technology" according to the General Technology Note for the "development" of "software" specified in 3D101.

3E201"Technology" according to the General Technology Note for the "use" of equipment specified in 3A001.e.2., 3A001.e.3., 3A001.g., 3A201, 3A225 to 3A233.

CATEGORY 4

COMPUTERS

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

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

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

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

4ASystems, Equipment and Components

4A001Electronic computers and related equipment, having any of the following and "electronic assemblies" and specially designed components therefor:

N.B.: SEE ALSO 4A101.

a.

Specially designed to have any of the following:

1.

Rated for operation at an ambient temperature below 228 K (–45 °C) or above 358 K (85 °C);

4A001.a.1. does not control 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;

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").

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:

4A003 includes the following:

—

‧Vector processors‧;

—

Array processors;

—

Digital signal processors;

—

Logic processors;

—

Equipment designed for "image enhancement";

—

Equipment designed for "signal processing".

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;

The control status of "signal processing" or "image enhancement" equipment specially designed for other equipment with functions limited to those required for the other equipment is determined by the control status of the other equipment even if it exceeds the "principal element" criterion.

For the control status of "digital computers" or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications).

c.

The "technology" for the "digital computers" and related equipment is determined by 4E.

a.

Designed or modified for "fault tolerance";

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 using 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;

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 specified in 4A003.b.;

4A003.c. controls only "electronic assemblies" and programmable interconnections not exceeding the limit specified in 4A003.b. when shipped as unintegrated "electronic assemblies". It does not control "electronic assemblies" inherently limited by nature of their design for use as related equipment specified in 4A003.e.

4A003.c. does not control "electronic assemblies" specially designed for a product or family of products whose maximum configuration does not exceed the limit specified in 4A003.b.

d.

Not used;

e.

Equipment performing analogue-to-digital conversions exceeding the limits specified 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.

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.

This control only applies when the equipment is supplied with "software" specified in 7D103 or 9D103.

4BTest, Inspection and Production Equipment

None.

4CMaterials

None.

4DSoftware

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

4D001"Software" as follows:

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 equipment as follows:

1.

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

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.

4D003"Software" having characteristics or performing functions exceeding the limits in Category 5, Part 2 ("Information Security");

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

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 equipment as follows:

1.

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

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.

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

n

:

number of processors in the "digital computer"

i

:

processor number (i,…n)

ti

:

processor cycle time (ti = 1/Fi)

Fi

:

processor frequency

Ri

:

peak floating point calculating rate

Wi

:

architecture adjustment factor

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".

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

2.

Calculate the floating point rate R for each processor Ri = FPOi/ti.

3.

Calculate "APP" as "APP" = W1 × R1 + W2 × R2 + … + Wn × Rn.

4.

For ‧vector processors‧, Wi = 0,9. For non-‧vector processors‧, Wi = 0,3.

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

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

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

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

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

"APP" values must be calculated for:

1.

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

2.

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

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

CATEGORY 5

TELECOMMUNICATIONS AND "INFORMATION SECURITY"

PART 1

TELECOMMUNICATIONS

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

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

5A1Systems, Equipment and Components

5A001Telecommunications systems, equipment, components and accessories as follows:

a.

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

1.

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

2.

Specially hardened to withstand gamma, neutron or ion radiation;

3.

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

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

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

b.

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

1.

Being underwater untethered communications systems having any of the following:

a.

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

b.

Using an electromagnetic carrier frequency below 30 kHz;

c.

Using electronic beam steering techniques;

d.

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

2.

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

a.

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

b.

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. and having any of the following:

a.

User programmable spreading codes;

b.

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

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

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

4.

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

a.

A bandwidth exceeding 500 MHz;

b.

A "fractional bandwidth" of 20 % or more;

5.

Being digitally controlled radio receivers having all of the following:

a.

More than 1 000 channels;

b.

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

c.

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

d.

Identification of the received signals or the type of transmitter;

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

6.

Employing functions of digital "signal processing" to provide ‧voice coding‧ output at rates of less than 2 400 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:

‧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;

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

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

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

d.

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

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

e.

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

1.

"Instantaneous bandwidth" of 10 MHz or more;

2.

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

f.

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

1.

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

2.

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

3.

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

For GNSS jamming equipment see Military Goods Controls.

g.

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

Technical Note:

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

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

a.

Radio-astronomical equipment;

b.

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

h.

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

N.B.: SEE ALSO MILITARY GOODS CONTROLS.

5A101Telemetry and telecontrol equipment, including ground equipment, designed or modified for ‧missiles‧.

Technical Note:

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

5A101 does not control:

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

5B001Telecommunications test, inspection and production equipment, components and accessories, as follows:

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.a. does not control optical fibre characterization 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 1 750 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 analogue techniques and having a bandwidth exceeding 2,5 GHz;

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

3.

Equipment employing "optical switching";

4.

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

5.

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

5C1Materials

None5D1Software

5D001"Software" as follows:

a.

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

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 1 750 nm;

b.

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

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

3.

Equipment employing "optical switching";

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.

5E1Technology

5E001"Technology" as follows:

a.

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

b.

Specific "technology" 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:

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 1 750 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 of optical carriers at less than 100 GHz spacing;

e.

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

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

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

3.

Equipment employing "optical switching";

4.

Radio equipment having any of the following:

a.

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

b.

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

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

c.

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

5.

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

6.

Mobile equipment having all of the following:

a.

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

b.

Operating as a "local area network";

d.

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

1.

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

2.

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

3.

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

4.

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

5.

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

6.

Rated for operation at frequencies exceeding 43,5 GHz;

e.

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

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;

2.

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

5E101"Technology" according to the General Technology Note for the "development", "production" or "use" of equipment specified in 5A101.

PART 2

"INFORMATION SECURITY"

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

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

Cryptography Note

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

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;

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;

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

5A002"Information security" systems, equipment and components therefor, as follows:

a.

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

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

1.

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

Technical Notes:

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.

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

a.

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

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);

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);

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 and having any of the following:

a.

A bandwidth exceeding 500 MHz;

b.

A "fractional bandwidth" of 20 % or more;

7.

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

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).

5A002 does not control any of the following:

a.

"Personalised smart cards" having any of the following:

1.

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

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;

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 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;

b.

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

3.

Copying control of copyright protected audio/video data;

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

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 base station) is less than 400 metres according to the manufacturer's specifications;

g.

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

h.

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

1.

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

2.

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

3.

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

i.

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

5B2Test, Inspection and Production Equipment

5B002"Information security" test, inspection and "production" equipment, as follows:

a.

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

b.

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

5C2Materials

None.

5D2Software

5D002"Software" as follows:

a.

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

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;

2.

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

5D002 does not control "software" as follows:

a.

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

b.

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

5E2Technology

5E002"Technology" according to the General Technology Note for the "development", "production" or "use" of equipment specified in 5A002, 5B002 or "software" specified in 5D002.a. or 5D002.c.

CATEGORY 6

SENSORS AND LASERS

6ASystems, Equipment and Components

6A001Acoustic systems, equipment and components, as follows:

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:

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

a.

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

b.

Acoustic beacons, as follows:

1.

Acoustic emergency beacons;

2.

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

a.

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

1.

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

2.

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

3.

Designed to provide any of the following:

a.

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

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 5 120 m;

6.

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

a.

Dynamic compensation for pressure;

b.

Incorporating other than lead zirconate titanate as the transduction element;

c.

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

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

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

1.

An instantaneous radiated ‧acoustic power density‧ exceeding 0,01 mW/mm2/Hz for devices operating at frequencies below 10 kHz;

2.

A continuously radiated ‧acoustic power density‧ exceeding 0,001 mW/mm2/Hz for devices operating at frequencies below 10 kHz;

Technical Note:

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

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 1 000 m with a positioning accuracy of less than 10 m rms (root mean square) when measured at a range of 1 000 m;

6A001.a.1.d. includes:

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:

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;

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 co-polymers {P(VDF-TrFE) and P(VDF-TFE)};

c.

‧Flexible piezoelectric composites‧;

4.

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

5.

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

6.

Designed for operation at depths exceeding 1 000 m;

Technical Notes:

1.

‧Piezoelectric polymer film‧ sensing elements consist of 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:

‧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.

Not used;

7.

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

c.

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

d.

Heading sensors having all of the following:

1.

An accuracy of better than ± 0.5°;

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.;

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;

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, digital filtering and beamforming using Fast Fourier or other transforms or processes;

b.

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

1.

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

a.

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

b.

Having speed accuracy better than 1 % of speed;

2.

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

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

a.

Measuring the depth of water;

b.

Measuring the distance of submerged or buried objects;

c.

Fish finding.

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

c.

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

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

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

6A002Optical sensors or equipment and components therefor, as follows:

N.B.: SEE ALSO 6A102.

a.

Optical detectors as follows:

1.

"Space-qualified" solid-state detectors as follows:

For the purpose of 6A002.a.1., solid-state detectors include "focal plane arrays".

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;

2.

A response of less than 0,1 % relative to the peak response at a wavelength exceeding 400 nm;

b.

"Space-qualified" solid-state detectors having all of the following:

1.

A peak response in the wavelength range exceeding 900 nm but not exceeding 1 200 nm;

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 1 200 nm but not exceeding 30 000 nm;

d.

"Space-qualified""focal plane arrays" having more than 2 048 elements per array and having a peak response in the wavelength range exceeding 300 nm but not exceeding 900 nm.

2.

Image intensifier tubes and specially designed components therefor, as follows:

6A002.a.2. does not control non-imaging photomultiplier tubes having an electron sensing device in the vacuum space limited solely to any of the following:

a.

A single metal anode;

b.

Metal anodes with a centre to centre spacing greater than 500 µm.

Technical Note:

‧Charge multiplication‧ is a form of electronic image amplification and is defined as the generation of charge carriers as a result of an impact ionization gain process. ‧Charge multiplication‧ sensors may take the form of an image intensifier tube, solid state detector or "focal plane array".

a.

Image intensifier tubes having all of the following:

1.

A peak response in the wavelength range exceeding 400 nm but not exceeding 1 050 nm;

2.

Electron image amplification using any of the following:

a.

A microchannel plate with a hole pitch (centre-to-centre spacing) of 12 µm or less;

b.

An electron sensing device with a non-binned pixel pitch of 500 µm or less, specially designed or modified to achieve ‧charge multiplication‧ other than by a microchannel plate;

3.

Any of the following photocathodes:

a.

Multialkali photocathodes (e.g., S-20 and S-25) having a luminous sensitivity exceeding 350 µA/lm;

b.

GaAs or GaInAs photocathodes;

c.

Other "III/V compound" semiconductor photocathodes having a maximum radiant sensitivity exceeding 10 mA/W;

b.

Image intensifier tubes having all of the following:

1.

A peak response in the wavelength range exceeding 1 050 nm but not exceeding 1 800 nm;

2.

Electron image amplification using any of the following:

a.

A microchannel plate with a hole pitch (centre-to-centre spacing) of 12 µm or less;

b.

An electron sensing device with a non-binned pixel pitch of 500 µm or less, specially designed or modified to achieve ‧charge multiplication‧ other than by a microchannel plate;

3.

"III/V compound" semiconductor (e.g., GaAs or GaInAs) photocathodes and transferred electron photocathodes, having a maximum radiant sensitivity exceeding 15 mA/W;

c.

Specially designed components as follows:

1.

Microchannel plates having a hole pitch (centre-to-centre spacing) of 12 µm or less;

2.

An electron sensing device with a non-binned pixel pitch of 500 µm or less, specially designed or modified to achieve ‧charge multiplication‧ other than by a microchannel plate;

3.

"III/V compound" semiconductor (e.g., GaAs or GaInAs) photocathodes and transferred electron photocathodes;

6A002.a.2.c.3. does not control compound semiconductor photocathodes designed to achieve a maximum radiant sensitivity of any of the following:

a.

10 mA/W or less at the peak response in the wavelength range exceeding 400 nm but not exceeding 1 050 nm;

b.

15 mA/W or less at the peak response in the wavelength range exceeding 1 050 nm but not exceeding 1 800 nm.

3.

Non-"space-qualified""focal plane arrays" as follows:

‧Microbolometer‧ non-"space-qualified""focal plane arrays" are only specified in 6A002.a.3.f.

Technical Note:

Linear or two-dimensional multi-element detector arrays are referred to as "focal plane arrays";

6A002.a.3. includes photoconductive arrays and photovoltaic arrays.

6A002.a.3. does not control:

a.

Multi-element (not to exceed 16 elements) encapsulated photoconductive cells using either lead sulphide or lead selenide;

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;

5.

Strontium barium niobate and variants.

c.

"Focal plane arrays" specially designed or modified to achieve ‧charge multiplication‧ and limited by design to have a maximum radiant sensitivity of 10 mA/W or less for wavelengths exceeding 760 nm, having all of the following:

1.

Incorporating a response limiting mechanism designed not to be removed or modified;

2.

Any of the following:

a.

The response limiting mechanism is integral to or combined with the detector element;

b.

The "focal plane array" is only operable with the response limiting mechanism in place.

Technical Note:

A response limiting mechanism integral to the detector element is designed not to be removed or modified without rendering the detector inoperable.

Technical Note:

‧Charge multiplication‧ is a form of electronic image amplification and is defined as the generation of charge carriers as a result of an impact ionization gain process. ‧Charge multiplication‧ sensors may take the form of an image intensifier tube, solid state detector or "focal plane array".

a.

Non-"space-qualified""focal plane arrays" having all of the following:

1.

Individual elements with a peak response within the wavelength range exceeding 900 nm but not exceeding 1 050 nm;

2.

Any of the following:

a.

A response "time constant" of less than 0,5 ns;

b.

Specially designed or modified to achieve ‧charge multiplication‧ and having a maximum radiant sensitivity exceeding 10 mA/W;

b.

Non-"space-qualified""focal plane arrays" having all of the following:

1.

Individual elements with a peak response in the wavelength range exceeding 1 050 nm but not exceeding 1 200 nm;

2.

Any of the following:

a.

A response "time constant" of 95 ns or less;

b.

Specially designed or modified to achieve ‧charge multiplication‧ and having a maximum radiant sensitivity exceeding 10 mA/W;

c.

Non-"space-qualified" non-linear (2-dimensional) "focal plane arrays" having individual elements with a peak response in the wavelength range exceeding 1 200 nm but not exceeding 30 000 nm;

Silicon and other material based ‧microbolometer‧ non-"space-qualified""focal plane arrays" are only specified in 6A002.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 1 200 nm but not exceeding 3 000 nm;

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;

b.

Signal Processing In The Element (SPRITE);

6A002.a.3.d. does not control "focal plane arrays" (not to exceed 32 elements) having detector elements limited solely to germanium material.

Technical Note:

For the purposes of 6A002.a.3.d., ‧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.

e.

Non-"space-qualified" linear (1-dimensional) "focal plane arrays" having individual elements with a peak response in the wavelength range exceeding 3 000 nm but not exceeding 30 000 nm;

f.

Non-"space-qualified" non-linear (2-dimensional) infrared "focal plane arrays" based on ‧microbolometer‧ material having individual elements with an unfiltered response in the wavelength range equal to or exceeding 8 000 nm but not exceeding 14 000 nm;

Technical Note:

For the purposes of 6A002.a.3.f., ‧microbolometer‧ is defined as a thermal imaging detector that, as a result of a temperature change in the detector caused by the absorption of infrared radiation, is used to generate any usable signal.

g.

Non-"space-qualified""focal plane arrays" having all of the following:

1.

Individual detector elements with a peak response in the wavelength range exceeding 400 nm but not exceeding 900 nm;

2.

Specially designed or modified to achieve ‧charge multiplication‧ and having a maximum radiant sensitivity exceeding 10 mA/W for wavelengths exceeding 760 nm;

3.

Greater than 32 elements.

b.

"Monospectral imaging sensors" and "multispectral imaging sensors", designed for remote sensing applications and having any of the following:

1.

An Instantaneous-Field-Of-View (IFOV) of less than 200 µrad (microradians);

2.

Specified for operation in the wavelength range exceeding 400 nm but not exceeding 30 000 nm and having all the following;

a.

Providing output imaging data in digital format;

b.

Having any of the following characteristics:

1.

"Space-qualified";

2.

Designed for airborne operation, using other than silicon detectors, and having an IFOV of less than 2,5 mrad (milliradians);

6A002.b.1. does not control "monospectral imaging sensors with a peak response in the wavelength range exceeding 300 nm but not exceeding 900 nm and only incorporating any of the following non–"space-qualified detectors or non–"space-qualified "focal plane arrays:

1.

Charge Coupled Devices (CCD) not designed or modified to achieve ‧charge multiplication‧;

2.

Complementary Metal Oxide Semiconductor (CMOS) devices not designed or modified to achieve ‧charge multiplication‧.

c.

‧Direct view‧ imaging equipment incorporating any of the following:

1.

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

2.

"Focal plane arrays" specified in 6A002.a.3. or 6A002.e.;

3.

Solid state detectors specified in 6A002.a.1.;

Technical Note:

‧Direct view‧ refers to imaging equipment 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.

6A002.c. does not control equipment as follows, when 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:

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 2 500 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.

Not used.

6A003Cameras, systems or equipment, and components therefor, as follows:

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:

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 13 150 frames/s;

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 1 000 000 frames/s for the full framing height of 35 mm film, or at proportionately higher rates for lesser frame heights, or at proportionately lower rates for greater frame heights;

3.

Mechanical or electronic streak cameras, having writing speeds exceeding 10mm/μs;

4.

Electronic framing cameras having a speed exceeding 1 000 000 frames/s;

5.

Electronic cameras having all of the following:

a.

An electronic shutter speed (gating capability) of less than 1 µs per full frame;

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.;

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:

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 30 000 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;

3.

More than 12 × 106"active pixels" for solid state array colour cameras incorporating one solid state array;

b.

Having any of the following:

1.

Optical mirrors specified in 6A004.a.;

2.

Optical control equipment specified in 6A004.d.;

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 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 30 000 nm;

b.

Linear detector arrays with more than 8 192 elements per array;

c.

Mechanical scanning in one direction;

3.

Imaging cameras incorporating image intensifier tubes specified in 6A002.a.2.a. or 6A002.a.2.b.;

4.

‧Imaging cameras‧ incorporating "focal plane arrays" having any of the following:

a.

Incorporating "focal plane arrays" specified in 6A002.a.3.a. to 6A002.a.3.e.;

b.

Incorporating "focal plane arrays" specified in 6A002.a.3.f.;

c.

Incorporating "focal plane arrays" specified in 6A002.a.3.g.;

Imaging cameras specified 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.

6A003.b.4.a. does not control imaging cameras incorporating linear "focal plane arrays" with 12 elements or fewer, not employing time-delay-and-integration within the element and 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;

e.

Medical equipment.

6A003.b.4.b. does not control imaging cameras having any of the following:

a.

A maximum frame rate equal to or less than 9 Hz;

b.

Having all of the following:

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,

4.

Having any of the following:

a.

No facility to obtain a viewable image of the detected field-of-view,

b.

The camera is designed for a single kind of application and designed not to be user modified;

c.

The camera is specially designed for installation into a civilian passenger land vehicle of less than 3 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;

b.

A specially designed, authorized maintenance test facility;

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‧.

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.

6A003.b.4.c. does not control ‧imaging cameras‧ having any of the following:

a.

Having all of the following:

1.

Where the camera is specially designed for installation as an integrated component into indoor and wall-plug-operated systems or equipment, limited by design for a single kind of application, as follows;

a.

Industrial process monitoring, quality control, or analysis of the properties of materials;

b.

Laboratory equipment specially designed for scientific research;

c.

Medical equipment;

d.

Financial fraud detection equipment;

2.

Is only operable when installed in any of the following:

a.

The system(s) or equipment for which it was intended;

b.

A specially designed, authorised maintenance facility;

3.

Incorporates an active mechanism that forces the camera not to function when it is removed from the system(s) or equipment for which it was intended;

b.

Where the camera is specially designed for installation into a civilian passenger land vehicle of less than three tonnes (gross vehicle weight), or passenger and vehicle ferries having a length overall (LOA) 65 m or greater, and having all of the following:

1.

Is only operable when installed in any of the following:

a.

The civilian passenger land vehicle or passenger and vehicle ferry for which it was intended;

b.

A specially designed, authorised maintenance test facility;

2.

Incorporates an active mechanism that forces the camera not to function when it is removed from the vehicle for which it was intended;

c.

Limited by design to have a maximum radiant sensitivity of 10 mA/W or less for wavelengths exceeding 760 nm, having all of the following:

1.

Incorporating a response limiting mechanism designed not to be removed or modified;

2.

Incorporates an active mechanism that forces the camera not to function when the response limiting mechanism is removed;

d.

aHaving all of the following:

1.

Not incorporating a ‧direct view‧ or electronic image display;

2.

Has no facility to output a viewable image of the detected field of view;

3.

The "focal plane array" is only operable when installed in the camera for which it was intended;

4.

The "focal plane array" incorporates an active mechanism that forces it to be permanently inoperable when removed from the camera for which it was intended.

5.

Imaging cameras incorporating solid-state detectors specified in 6A002.a.1.

6A004Optical equipment and components, as follows:

a.

Optical mirrors (reflectors) as follows:

For optical mirrors specially designed for lithography equipment, see 3B001.

1.

"Deformable mirrors" having either continuous or multi-element surfaces, and specially designed components therefor, capable of dynamically 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 λ/2 or better (λ is equal to 633 nm) having a control bandwidth exceeding 100 Hz;

b.

Optical components made from zinc selenide (ZnSe) or zinc sulphide (ZnS) with transmission in the wavelength range exceeding 3 000 nm but not exceeding 25 000 nm and having any of the following:

1.

Exceeding 100 cm3 in volume;

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.

Components 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.

Components 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.

Equipment specially designed to maintain the surface figure or orientation of the "space-qualified" components specified in 6A004.c.1. or 6A004.c.3.;

2.

Equipment 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°;

b.

A bandwidth of 100 Hz or more;

c.

Angular pointing errors of 200 µrad (microradians) or less;

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;

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:

1.

Largest dimension of the optical-aperture greater than 400 mm;

2.

Surface roughness less than 1 nm (rms) for sampling lengths equal to or greater than 1 mm;

3.

Coefficient of linear thermal expansion's absolute magnitude 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.

6A004.e. does not control ‧aspheric optical elements‧ having any of the following:

a.

Largest optical-aperture dimension less than 1 m and focal length to aperture ratio equal to or greater than 4.5:1;

b.

Largest optical-aperture dimension equal to or greater than 1 m and focal length to aperture ratio equal to or greater than 7:1;

c.

Designed as Fresnel, flyeye, stripe, prism or diffractive optical elements;

d.

Fabricated from borosilicate glass having a coefficient of linear thermal expansion greater than 2,5 × 10-6 /K at 25 °C;

e.

An x-ray optical element having inner mirror capabilities (e.g., tube-type mirrors).

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.

Pulsed "lasers" include those that run in a continuous wave (CW) mode with pulses superimposed.

Excimer, semiconductor, chemical, CO, CO2, and non-repetitive pulsed Nd:glass"lasers"are only specified in 6A005.d.

6A005 includes fibre "lasers".

The control status of "lasers" incorporating frequency conversion (i.e., wavelength change) by means other than one "laser" pumping another "laser" is determined by applying the control parameters for both the output of the source "laser" and the frequency-converted optical output.

6A005 does not control "lasers" as follows:

a.

Ruby with output energy below 20 J;

b.

Nitrogen;

c.

Krypton.

Technical Note:

In 6A005 ‧Wall-plug efficiency‧ is defined as the ratio of "laser" output power (or "average output power") to total electrical input power required to operate the "laser", including the power supply/conditioning and thermal conditioning/heat exchanger.

a.

Non-"tunable" continuous wave "(CW) lasers" having any of the following:

1.

Output wavelength less than 150 nm and output power exceeding 1 W;

2.

Output wavelength of 150 nm or more but not exceeding 520 nm and output power exceeding 30 W;

6A005.a.2. does not control Argon "lasers" having an output power equal to or less than 50 W.

3.

Output wavelength exceeding 520 nm but not exceeding 540 nm and any of the following:

a.

Single transverse mode output and output power exceeding 50 W;

b.

Multiple transverse mode output and output power exceeding 150 W;

4.

Output wavelength exceeding 540 nm but not exceeding 800 nm and output power exceeding 30 W;

5.

Output wavelength exceeding 800 nm but not exceeding 975 nm and any of the following:

a.

Single transverse mode output and output power exceeding 50 W;

b.

Multiple transverse mode output and output power exceeding 80 W;

6.

Output wavelength exceeding 975 nm but not exceeding 1 150 nm and any of the following:

a.

Single transverse mode output and any of the following:

1.

‧Wall-plug efficiency‧ exceeding 12 % and output power exceeding 100 W;

2.

Output power exceeding 150 W;

b.

Multiple transverse mode output and any of the following:

1.

‧Wall-plug efficiency‧ exceeding 18 % and output power exceeding 500 W;

2.

Output power exceeding 2 kW;

6A005.a.6.b. does not control multiple transverse mode, industrial "lasers" with output power exceeding 2 kW and not exceeding 6 kW with a total mass greater than 1 200 kg. For the purpose of this note, total mass includes all components required to operate the "laser", e.g., "laser", power supply, heat exchanger, but excludes external optics for beam conditioning and/or delivery.

7.

Output wavelength exceeding 1 150 nm but not exceeding 1 555 nm and of the following:

a.

Single transverse mode and output power exceeding 50 W;

b.

Multiple transverse mode and output power exceeding 80 W;

8.

Output wavelength exceeding 1 555 nm and output power exceeding 1 W;

b.

Non-"tunable""pulsed lasers" having any of the following:

1.

Output wavelength less than 150 nm and any of the following:

a.

Output energy exceeding 50 mJ per pulse and "peak power" exceeding 1 W;

b.

"Average output power" exceeding 1 W;

2.

Output wavelength of 150 nm or more but not exceeding 520 nm and any of the following:

a.

Output energy exceeding 1,5 J per pulse and "peak power" exceeding 30 W;

b.

"Average output power" exceeding 30 W;

6A005.b.2.b. does not control Argon "lasers" having an "average output power" equal to or less than 50 W.

3.

Output wavelength exceeding 520 nm but not exceeding 540 nm and any of the following:

a.

Single transverse mode output and any of the following:

1.

Output energy exceeding 1,5 J per pulse and "peak power" exceeding 50 W;

2.

"Average output power" exceeding 50 W;

b.

Multiple transverse mode output and any of the following:

1.

Output energy exceeding 1,5 J per pulse and "peak power" exceeding 150 W;

2.

"Average output power" exceeding 150 W;

4.

Output wavelength exceeding 540 nm but not exceeding 800 nm and any of the following:

a.

Output energy exceeding 1,5 J per pulse and "peak power" exceeding 30 W;

b.

"Average output power" exceeding 30 W;

5.

Output wavelength exceeding 800 nm but not exceeding 975 nm and any of the following:

a.

"Pulse duration" not exceeding 1 µs and any of the following:

1.

Output energy exceeding 0,5 J per pulse and "peak power" exceeding 50 W;

2.

Single transverse mode output and "average output power" exceeding 20 W;

3.

Multiple transverse mode output and "average output power" exceeding 50 W;

b.

"Pulse duration" exceeding 1 µs and any of the following:

1.

Output energy exceeding 2 J per pulse and "peak power" exceeding 50 W;

2.

Single transverse mode output and "average output power" exceeding 50 W;

3.

Multiple transverse mode output and "average output power" exceeding 80 W;

6.

Output wavelength exceeding 975 nm but not exceeding 1 150 nm and any of the following:

a.

"Pulse duration" of less than 1 ns and any of the following:

1.

Output "peak power" exceeding 5 GW per pulse;

2.

"Average output power" exceeding 10 W;

3.

Output energy exceeding 0,1 J per pulse;

b.

"Pulse duration" equal to or exceeding 1 ns but not exceeding 1 µs, and any of the following:

1.

Single transverse mode output and any of the following:

a.

"Peak power" exceeding 100 MW;

b.

"Average output power" exceeding 20 W limited by design to a maximum pulse repetition frequency less than or equal to 1 kHz;

c.

‧Wall-plug efficiency‧ exceeding 12 %, "average output power" exceeding 100 W and capable of operating at a pulse repetition frequency greater than 1 kHz;

d.

"Average output power" exceeding 150 W and capable of operating at a pulse repetition frequency greater than 1 kHz;

e.

Output energy exceeding 2 J per pulse;

2.

Multiple transverse mode output and any of the following:

a.

"Peak power" exceeding 400 MW;

b.

‧Wall-plug efficiency‧ exceeding 18 % and "average output power" exceeding 500 W;

c.

"Average output power" exceeding 2 kW;

d.

Output energy exceeding 4 J per pulse;

c.

"Pulse duration" exceeding 1 µs and any of the following:

1.

Single transverse mode output and any of the following:

a.

"Peak power" exceeding 500 kW;

b.

‧Wall-plug efficiency‧ exceeding 12 % and "average output power" exceeding 100 W;

c.

"Average output power" exceeding 150 W;

2.

Multiple transverse mode output and any of the following:

a.

"Peak power" exceeding 1 MW;

b.

‧Wall-plug efficiency‧ exceeding 18 % and "average output power" exceeding 500 W;

c.

"Average output power" exceeding 2 kW;

7.

Output wavelength exceeding 1 150 nm but not exceeding 1 555 nm, and any of the following:

a.

"Pulse duration" not exceeding 1 µs and any of the following:

1.

Output energy exceeding 0,5 J per pulse and "peak power" exceeding 50 W;

2.

Single transverse mode output and "average output power" exceeding 20 W;

3.

Multiple transverse mode output and "average output power" exceeding 50 W;

b.

"Pulse duration" exceeding 1 µs and any of the following:

1.

Output energy exceeding 2 J per pulse and "peak power" exceeding 50 W;

2.

Single transverse mode output and "average output power" exceeding 50 W;

3.

Multiple transverse mode output and "average output power" exceeding 80 W;

8.

Output wavelength exceeding 1 555 nm and any of the following:

a.

Output energy exceeding 100 mJ per pulse and "peak power" exceeding 1 W;

b.

"Average output power" exceeding 1 W;

c.

"Tunable""lasers" having any of the following:

6A005.c. includes titanium–sapphire (Ti: Al2O3), thulium-YAG (Tm: YAG), thulium-YSGG (Tm: YSGG), alexandrite (Cr: BeAl2O4), colour centre "lasers", dye "lasers", and liquid "lasers".

1.

Output wavelength less than 600 nm and any of the following:

a.

Output energy exceeding 50 mJ per pulse and "peak power" exceeding 1 W;

b.

Average or CW output power exceeding 1 W;

2.

Output wavelength of 600 nm or more but not exceeding 1 400 nm, and any of the following:

a.

Output energy exceeding 1 J per pulse and "peak power" exceeding 20 W;

b.

Average or CW output power exceeding 20 W;

3.

Output wavelength exceeding 1 400 nm and any of the following:

a.

Output energy exceeding 50 mJ per pulse and "peak power" exceeding 1 W;

b.

Average or CW output power exceeding 1 W;

d.

Other "lasers", not specified in 6A005.a., 6A005.b. or 6A005.c. as follows:

1.

Semiconductor "lasers" as follows:

6A005.d.1. includes semiconductor "lasers" having optical output connectors (e.g., fibre optic pigtails).

The control status of semiconductor "lasers" specially designed for other equipment is determined by the control status of the other equipment.

a.

Individual single-transverse mode semiconductor "lasers" having any of the following:

1.

Wavelength equal to or less than 1 510 nm and average or CW output power, exceeding 1,5 W;

2.

Wavelength greater than 1 510 nm and average or CW output power, exceeding 500 mW;

b.

Individual, multiple-transverse mode semiconductor "lasers" having any of the following:

1.

Wavelength of less than 1 400 nm and average or CW output power, exceeding 10W;

2.

Wavelength equal to or greater than 1 400 nm and less than 1 900 nm and average or CW output power, exceeding 2,5 W;

3.

Wavelength equal to or greater than 1 900 nm and average or CW output power, exceeding 1 W;

c.

Individual semiconductor "laser"‧arrays‧, having any of the following:

1.

Wavelength of less than 1 400 nm and average or CW output power, exceeding 80 W;

2.

Wavelength equal to or greater than 1 400 nm and less than 1 900 nm and average or CW output power, exceeding 25 W;

3.

Wavelength equal to or greater than 1 900 nm and average or CW output power, exceeding 10 W;

d.

‧Array stacks‧ of semiconductor "lasers" containing at least one ‧array‧ specified in 6A005.d.1.c.;

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.

2.

Carbon monoxide (CO) "lasers" having any of the following:

a.

Output energy exceeding 2 J per pulse and "peak power" exceeding 5 kW;

b.

Average or CW output power exceeding 5 kW;

3.

Carbon dioxide (CO2) "lasers" having any of the following:

a.

CW output power exceeding 15 kW;

b.

Pulsed output with a "pulse duration" exceeding 10 µs and any of the following:

1.

"Average output power" exceeding 10 kW;

2.

"Peak power" exceeding 100 kW;

c.

Pulsed output with a "pulse duration" equal to or less than 10 µs and any of the following:

1.

Pulse energy exceeding 5 J per pulse;

2.

"Average output power" exceeding 2,5 kW;

4.

Excimer "lasers" having any of the following:

a.

Output wavelength not exceeding 150 nm and any of the following:

1.

Output energy exceeding 50 mJ per pulse;

2.

"Average output power" exceeding 1 W;

b.

Output wavelength exceeding 150 nm but not exceeding 190 nm and any of the following:

1.

Output energy exceeding 1,5 J per pulse;

2.

"Average output power" exceeding 120 W;

c.

Output wavelength exceeding 190 nm but not exceeding 360 nm and any of the following:

1.

Output energy exceeding 10 J per pulse;

2.

"Average output power" exceeding 500 W;

d.

Output wavelength exceeding 360 nm and any of the following:

1.

Output energy exceeding 1,5 J per pulse;

2.

"Average output power" exceeding 30 W;

For excimer "lasers" specially designed for lithography equipment, see 3B001.

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.

‧Non-repetitive pulsed‧ Nd: glass "lasers" having any of the following:

a.

"Pulse duration" not exceeding 1 µs and output energy exceeding 50 J per pulse;

b.

"Pulse duration" exceeding 1 µs and output energy exceeding 100 J per pulse;

‧Non-repetitive pulsed‧ refers to "lasers" that produce either a single output pulse or that have a time interval between pulses exceeding one minute.

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 specified "lasers";

f.

Optical equipment as follows:

For shared aperture optical elements, capable of operating in "Super-High Power Laser" ("SHPL") applications, see the Military Goods Lists.

1.

Dynamic wavefront (phase) measuring equipment capable of mapping at least 50 positions on a beam wavefront and 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;

b.

Frame rates equal to or more than 1 000 Hz and phase discrimination of at least 20 % of the beam's wavelength;

2.

"Laser" diagnostic equipment capable of measuring "SHPL" system angular beam steering errors of equal to or less than 10 µrad;

3.

Optical equipment and components, specially designed for a phased-array "SHPL" system for coherent beam combination to an accuracy of λ/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, "compensation systems", and specially designed components therefor, as follows:

6A006 does not control instruments specially designed for fishery applications or biomagnetic measurements for medical diagnostics.

a.

"Magnetometers" and subsystems as follows:

1.

"Magnetometers" using "superconductive" (SQUID) "technology" and having any of the following:

a.

SQUID systems designed for stationary operation, without specially designed subsystems designed to reduce in-motion noise, and having a ‧sensitivity‧ equal to or lower (better) than 50 fT (rms) per square root Hz at a frequency of 1 Hz;

b.

SQUID systems having an in-motion-magnetometer ‧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.

"Magnetometers" using optically pumped or nuclear precession (proton/Overhauser) "technology" having a ‧sensitivity‧ lower (better) than 20 pT (rms) per square root Hz at a frequency of 1 Hz;

3.

"Magnetometers" using fluxgate "technology" having a ‧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 ‧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;

c.

1 × 10-4 nT (rms) per square root Hz at frequencies exceeding 10 Hz;

5.

Fibre optic "magnetometers" having a ‧sensitivity‧ lower (better) than 1 nT (rms) per square root Hz;

b.

Underwater electric field sensors having a ‧sensitivity‧ lower (better) than 8 nanovolt per metre per square root Hz when measured at 1 Hz;

c.

"Magnetic gradiometers" as follows:

1.

"Magnetic gradiometers" using multiple "magnetometers" specified in 6A006.a.;

2.

Fibre optic "intrinsic magnetic gradiometers" having a magnetic gradient field ‧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 ‧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 specified parameters of 6A006.a., 6A006.b. or 6A006.c.

For the purposes of 6A006., ‧sensitivity‧ (noise level) is the root mean square of the device-limited noise floor which is the lowest signal that can be measured.

6A007Gravity meters (gravimeters) and gravity gradiometers, as follows:

N.B.: SEE ALSO 6A107.

a.

Gravity meters designed or modified for ground use and having a static accuracy of less (better) than 10 µgal;

6A007.a. does not control ground gravity meters of the quartz element (Worden) type.

b.

Gravity meters designed for mobile platforms and having all of the following:

1.

A static accuracy of less (better) than 0,7 mgal;

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, and specially designed components therefor:

N.B.: SEE ALSO 6A108.

6A008 does not control:

—

Secondary surveillance radar (SSR);

—

Civil Automotive Radar;

—

Displays or monitors used for air traffic control (ATC) having no more than 12 resolvable elements per mm;

—

Meteorological (weather) radar.

a.

Operating at frequencies from 40 GHz to 230 GHz and having any of the following:

1.

An average output power exceeding 100 mW;

2.

Locating accuracy of 1 m or less (better) in range and 0.2 degree or less (better) in azimuth;

b.

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;

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 and using any of the following:

1.

"Radar spread spectrum" techniques;

2.

"Radar frequency agility" techniques;

i.

Providing ground-based operation with a maximum "instrumented range" exceeding 185 km;

6A008.i. does not control:

a.

Fishing ground surveillance radar;

b.

Ground radar equipment specially designed for enroute air traffic control and having all the following:

1.

A maximum "instrumented range" of 500 km or less;

2.

Configured so that radar target data can be transmitted only one way from the radar site to one or more civil ATC centres;

3.

Contains no provisions for remote control of the radar scan rate from the enroute ATC centre;

4.

Permanently installed;

c.

Weather balloon tracking radars.

j.

Being "laser" radar or Light Detection and Ranging (LIDAR) equipment and having any of the following:

1.

"Space-qualified";

2.

Employing coherent heterodyne or homodyne detection techniques and having an angular resolution of less (better) than 20 µrad (microradians);

3.

Designed for carrying out airborne bathymetric littoral surveys to International Hydrographic Organization (IHO) Order 1a Standard (5th Edition February 2008) for Hydrographic Surveys or better, and using one or more lasers with a wavelength exceeding 400 nm but not exceeding 600 nm.

LIDAR equipment specially designed for surveying is only specified in 6A008.j.3.

6A008.j. does not control LIDAR equipment specially designed for meteorological observation.

Parameters in the IHO Order 1a Standard 5th Edition February 2008 are summarized as follows:

—

Horizontal Accuracy (95 % Confidence Level) = 5 m +5 % of depth.

—

Depth Accuracy for Reduced Depths (95 % confidence level)

= ±√(a2+(b*d)2), where:

—

a = 0,5 m = constant depth error,

—

i.e. the sum of all constant depth errors

—

b = 0,013 = factor of depth dependent error

—

b*d = depth dependent error,

—

i.e. the sum of all depth dependent errors

—

d = depth

—

Feature Detection = Cubic features > 2 m in depths up to 40 m;

10 % of depth beyond 40 m.

k.

Having "signal processing" sub-systems using "pulse compression" and having any of the following:

1.

A "pulse compression" ratio exceeding 150;

2.

A pulse width of less than 200 ns;

l.

Having data processing sub-systems and having 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;

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;

4.

Superposition and correlation, or fusion, of target data from two or more "geographically dispersed" and "interconnected radar sensors" to enhance and discriminate targets.

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:

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;

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 1,5 milliradians;

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;

b.

Anode pulse rise time of less than 1 ns.

6A203Cameras and components, other than those specified in 6A003, as follows:

a.

Mechanical rotating mirror cameras, as follows, and specially designed components therefor:

1.

Framing cameras with recording rates greater than 225 000 frames per second;

2.

Streak cameras with writing speeds greater than 0,5 mm per microsecond;

In 6A203.a. components of such cameras include their synchronizing electronics units and rotor assemblies consisting of turbines, mirrors and bearings.

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:

N.B.: For copper vapour lasers, see 6A005.b.

a.

Argon ion "lasers" having both of the following characteristics:

1.

Operating at wavelengths between 400 nm and 515 nm;

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;

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;

4.

Pulse width less than 100 ns;

6A205.c. does not control single mode oscillators;

d.

Pulsed carbon dioxide "lasers" having all of the following characteristics:

1.

Operating at wavelengths between 9 000 nm and 11 000 nm;

2.

A repetition rate greater than 250 Hz;

3.

An average output power greater than 500 W;

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.

Neodymium-doped (other than glass) "lasers" with an output wavelength between 1 000 and 1 100 nm having either of the following

1.

Pulse-excited and Q-switched with a pulse duration equal to or more than 1 ns, and having either of the following:

a.

A single–transverse mode output with an average output power greater than 40W; or

b.

A multiple-transverse mode output having an average power greater than 50 W; or

2.

Incorporating frequency doubling to give an output wavelength between 500 and 550 nm with an average output power of more than 40 W.

6A225Velocity interferometers for measuring velocities exceeding 1 km/s during time intervals of less than 10 microseconds.

6A225 includes velocity interferometers such as VISARs (Velocity interferometer systems for any reflector) and DLIs (Doppler laser interferometers).

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.

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.

Technical Note:

In 6B108 ‧missile‧ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

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;

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.

6C004Optical materials as follows:

a.

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

1.

A volume greater than 100 cm3;

2.

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

b.

Boules of any 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;

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) and 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;

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 14 000 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:

a.

"Software" as follows:

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;

b.

Not used;

c.

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

d.

Not used;

e.

Not used;

f.

"Software" as follows:

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;

g.

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

h.

"Software" as follows:

1.

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

a.

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

b.

Accepting radar target data from more than four primary radars;

2.

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

a.

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

b.

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

Technical Note:

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

6D102"Software" specially designed or modified for the "use" of goods specified in 6A108.

6D103"Software" which processes post-flight, recorded data, enabling determination of vehicle position throughout its flight path, specially designed or modified for ‧missiles‧.

Technical Note:

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

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.

"Technology" as follows:

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;

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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

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