Proposal for a COUNCIL REGULATION amending and updating Regulation (EC) No 1334/2000 setting up a Community regime for the control of exports of dual-use items and technology
(presented by the Commission)
EXPLANATORY MEMORANDUM
Under Council Regulation (EC) No 1334/2000 of 22 June 2000, dual-use items (including software and technology) are subject to effective control when they are exported from the Community.
To ensure that such control is fully effective and complies with Member States commitments at multilateral level, according to Article 3 of Regulation (EC) No 1334/2000, an authorisation shall be required for the export of dual-use items listed in Annex I.
Article 11 of Regulation 1334/2000 provides that the lists of dual-use items set out in Annex I and Annex IV shall be updated in conformity with the relevant obligations and commitments, and any modification thereof, that each Member State has accepted as a member of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.
During the year 2000, international non-proliferation regimes and export control arrangements adopted a number of changes in their dual-use lists. The most significant ones, in terms of controls have been rapidly taken into account in Regulation (EC) 458/2001 of 6 March 2001, before a consolidated version of Annex I integrating all changes and amendments adopted at multilateral level in 2000 would be proposed after sufficient technical examination.
This examination has now been done in order to integrate these amendments in a consolidated version of Annex I. Annexes II (Community General Export Authorisation n° EU001, referred to in Article 6 of Regulation 1334/2000) and Annex IV (list referred to in Article 21(1) of Regulation 1334/2000) are also republished in order to align them as well to these changes and offer a consolidated version of all annexes listing dual-use items referred to in Regulation 1334/2000.
Annex III referring to the model form of export authorisation remains unchanged but is being republished in order to facilitate consultation.
It is also appropriate, for the sake of clarity, to adapt the references made in Article 14 of Regulation (EC) No 1334/2000 to Commission Regulation (EEC) No 2454/93 of 2 July 1993 laying down provisions for the implementation of Council Regulation (EEC) No 2913/92 establishing the Community Customs Code.
In the light of the above considerations it is necessary to replace the Annexes to Regulation 1334/2000 and to modify its Article 14.
Proposal for a COUNCIL REGULATION amending and updating Regulation (EC) No 1334/2000 setting up a Community regime for the control of exports of dual-use items and technology
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular Article 133 thereof,
Having regard to the proposal from the Commission [1],
[1] OJ C ..., ..., p. ...
Whereas:
(1) Under 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 [2], dual-use items (including software and technology) should be subject to effective control when they are exported from the Community.
[2] OJ L 159, 30.6.2000, p. 1. Regulation as last amended by Regulation (EC) N°458/2001 (OJ L 65, 7.3.2001, p. 19).
(2) In order to enable the Member States and the Community to comply with their international commitments, Annex I of Regulation (EC) 1334/2000 establishes the common list of dual-use items and technology referred to in Article 3 of that Regulation, that 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).
(3) Article 11 of Regulation (EC) 1334/2000 establishes that Annex I and Annex IV shall be updated in conformity with the relevant obligations and commitments, and any modifications thereof, that each Member State has accepted as a member of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.
(4) In order to take account of changes adopted by the Wassenaar arrangement Plenary on 1 December 2000, by the Australia Group Plenary on 5 October 2000, by the Missile Technology Control Regime Plenary on 13 October 2000, and by the Nuclear Suppliers Group on 23 June 2000, Annexes I and IV need to be modified.
(5) In order to ease references for export control authorities and operators, it is necessary to publish an updated and consolidated version of the Annexes to Regulation (EC) No 1334/2000, taking into account all the amendments accepted by the Member States in international fora during the year 2000.
(6) At the same time, it is appropriate, for the sake of clarity, to adapt the references made in Regulation (EC) N° 1334/2000 to Commission Regulation (EEC) N° 2454/93 of 2 July 1993 laying down provisions for the implementation of Council Regulation (EEC) N° 2913/92 establishing the Community Customs Code [3].
[3] OJ L 253, 11.10.1993, p. 1. Regulation as last amended by Regulation (EC) N° 2787/2000 (OJ L 330, 27.12.2000, p. 1).
(7) Regulation (EC) No 1334/2000 should be amended accordingly,
HAS ADOPTED THIS REGULATION:
Article 1
Regulation (EC) N°1334/2000 is amended as follows:
1) In Article 14, "The provisions of Articles 463 to 470 and 843 of Regulation (EEC) No 2454/93" is replaced by "The provisions of Articles 843 and 912a to 912g of Regulation (EEC) No 2454/93".
2) The Annexes are replaced by the text in the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the thirtieth day following its publication in the Official Journal of the European Communities.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels,
For the Council
The President
FINANCIAL STATEMENT
1. TITLE OF OPERATION: Proposal for a Council Regulation (EC) amending and updating Regulation (EC) N° 1334/2000 setting up a Community regime for the control of exports of dual-use items and technology
2. BUDGET HEADING(S) INVOLVED: A-7030
3. LEGAL BASIS : Article 133 of the EC Treaty
4. DESCRIPTION OF OPERATION :
4.1 General objective : Technical amendment of Article 14 and annexes I, II and IV to Council Regulation (EC) No 1334/2000 (dual-use)
4.2 Period covered and arrangement for renewal.
Indefinite
5. CLASSIFICATION OF EXPENDITURE OR REVENUE : not applicable
6. TYPE OF EXPENDITURE OR REVENUE : not applicable
7. FINANCIAL IMPACT : not applicable
8. FRAUD PREVENTION MEASURES : not applicable
9. ELEMENTS OF COST-EFFECTIVENESS ANALYSIS : not applicable
10. ADMINISTRATIVE EXPENDITURE (SECTION III, PART A OF THE BUDGET)
This section of the financial statement must be sent to DGs XIX and IX; DG IX will then forward it to DG XIX with its opinion.
Actual mobilisation of the necessary administrative resources will depend on the Commission's annual decision on the allocation of resources, taking into account the number of staff and additional amounts authorised by the budget authority.
10.1 Effect on the number of posts
>TABLE POSITION>
If additional resources are required, indicate the pace at which they will have to be made available.
10.2 Overall financial impact of additional human resources
(EUR)
>TABLE POSITION>
The amounts given must express the total cost of additional posts for the entire duration of the operation, if this duration is predetermined, or for 12 months if it is indefinite.
10.3 Increase in other administrative expenditure as a result of the operation
(EUR)
>TABLE POSITION>
The amounts given must correspond to the total expenditure arising from the operation if its duration is predetermined or expenditure for 12 months if it is indefinite.
ANNEX I
LIST OF DUAL-USE ITEMS AND TECHNOLOGY
(referred to in Article 3 of Regulation (EC) No 1334/2000)
This list implements internationally agreed dual-use controls including the Wassenaar Arrangement, the Missile Technology Control Regime (MTCR), the Nuclear Suppliers' Group (NSG), the Australia Group and the Chemical Weapons Convention (CWC). No account has been taken of any items that Member States wish to place on an exclusion list. No account has been taken of any national controls (non-regime origin controls) that may be maintained by Member States.
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.
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.
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; or
c. Telephone order transactions; and
2. Designed for installation by the user without further substantial support by the supplier; or
N.B. Entry a. of the General Software Note does not release "software" specified in Category 5 - Part 2 ("Information Security").
b. "In the public domain".
Definitions of terms between "double quotation marks" are as follows:
N.B. : Category references are given in brackets after the defined term.
"Accuracy" (2 6), usually measured in terms of inaccuracy, means the maximum deviation, positive or negative, of an indicated value from an accepted standard or true value.
"Active 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.
"Adaptive control" (2) means a control system that adjusts the response from conditions detected during the operation (ref. ISO 2806-1980).
"Aircraft" (1 7 9) means a fixed wing, swivel wing, rotary wing (helicopter), tilt rotor or tilt-wing airborne vehicle.
N.B.: See also "civil aircraft".
"All compensations available" (2) means after all feasible measures available to the manufacturer to minimise all systematic positioning errors for the particular machine-tool model are considered.
N.B.: Additional and alternative allocations are not included.
"Angular position deviation" (2) means the maximum difference between angular position and the actual, very accurately measured angular position after the workpiece mount of the table has been turned out of its initial position (ref. VDI/VDE 2617, Draft: 'Rotary tables on coordinate measuring machines').
"Asymmetric algorithm " (5) means a cryptographic algorithm using different, mathematically-related keys for encryption and decryption.
N.B.: A common use of "asymmetric algorithms" is key management.
"Automatic target tracking" (6) means a processing technique that automatically determines and provides as output an extrapolated value of the most probable position of the target in real time.
N.B. 1: "Basic gate propagation delay time" is not to be confused with the input/output delay time of a complex "monolithic integrated circuit".
N.B. 2: 'Family' consists of all integrated circuits to which all of the following are applied as their manufacturing methodology and specifications except their respective functions:
b. The common design and process technology; and
"Bias" (accelerometer) (7) means an accelerometer output when no acceleration is applied.
"Camming" (2) means axial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle faceplate, at a point next to the circumference of the spindle faceplate (Reference: ISO 230/1 1986, paragraph 5.63).
"Carbon fibre preforms" (1) means an ordered arrangement of uncoated or coated fibres intended to constitute a framework of a part before the "matrix" is introduced to form a "composite".
"Chemical laser" (6) means a "laser" in which the excited species is produced by the output energy from a chemical reaction.
"Chemical mixture" (1) means a solid, liquid or gaseous product made up of two or more components which do not react together under the conditions under which the mixture is stored.
"Civil aircraft" (1 7 9) means those "aircraft" listed by designation in published airworthiness certification lists by the civil aviation authorities to fly commercial civil internal and external routes or for legitimate civil, private or business use.
N.B.: See also "aircraft".
"Commingled" (1) means filament to filament blending of thermoplastic fibres and reinforcement fibres in order to produce a fibre reinforcement "matrix" mix in total fibre form.
"Comminution" (1) means a process to reduce a material to particles by crushing or grinding.
"Common channel signalling" (5) is a signalling method in which a single channel between exchanges conveys, by means of labelled messages, signalling information relating to a multiplicity of circuits or calls and other information such as that used for network management.
"Communications channel controller" (4) means the physical interface which controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.
N.B.: See Category 4, Technical Note.
"Compound rotary table" (2) means a table allowing the workpiece to rotate and tilt about two non-parallel axes, which can be coordinated simultaneously for "contouring control".
"Computing element" ("CE") (4) means the smallest computational unit that produces an arithmetic or logic result.
"Contouring control" (2) means two or more "numerically controlled" motions operating in accordance with instructions that specify the next required position and the required feed rates to that position. These feed rates are varied in relation to each other so that a desired contour is generated (ref. ISO/DIS 2806 - 1980).
"Critical temperature" (1 3 6) (sometimes referred to as the transition temperature) of a specific "superconductive" material means the temperature at which the material loses all resistance to the flow of direct electrical current.
N.B.: 'Secret parameter': a constant or key kept from the knowledge of others or shared only within a group.
"CTP" is equivalent to "composite theoretical performance".
N.B. 1: When determining the "data signalling rate", servicing and administrative channels shall be excluded.
"Deformable mirrors" (6) (also known as adaptive optic mirrors) means mirrors having:
b. Multiple optical reflecting elements that can be individually and dynamically repositioned by the application of torques or forces to compensate for distortions in the optical waveform incident upon the mirror.
"Depleted uranium" (0) means uranium depleted in the isotope 235 below that occurring in nature.
"Development" (GTN NTN All) is related to all phases prior to serial production, such as: design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts.
"Diffusion bonding" (1 2 9) means a solid state molecular joining of at least two separate metals into a single piece with a joint strength equivalent to that of the weakest material.
"Digital computer" (4 5) means equipment which can, in the form of one or more discrete variables, perform all of the following:
b. Store data or instructions in fixed or alterable (writable) storage devices;
c. Process data by means of a stored sequence of instructions which is modifiable; and
N.B.: Modifications of a stored sequence of instructions include replacement of fixed storage devices, but not a physical change in wiring or interconnections.
"Digital transfer rate" (5) means the total bit rate of the information that is directly transferred on any type of medium.
"Drift rate" (gyro) (7) means the time rate of output deviation from the desired output. It consists of random and systematic components and is expressed as an equivalent input angular displacement per unit time with respect to inertial space.
"Dynamic adaptive routing" (5) means automatic rerouting of traffic based on sensing and analysis of current actual network conditions.
N.B.: See also "signal analysers".
a. For plutonium isotopes and uranium-233, the isotope weight in grammes;
c. For uranium enriched below 1 per cent in the isotope uranium-235, the element weight in grammes multiplied by 0.0001;
"Electronic assembly" (3 4 5) means a number of electronic components (i.e., 'circuit elements', 'discrete components', integrated circuits, etc.) connected together to perform (a) specific function(s), replaceable as an entity and normally capable of being disassembled.
N.B. 2: 'Discrete component': a separately packaged 'circuit element' with its own external connections.
N.B.: 'Active tooling unit' means a device for applying motive power, process energy or sensing to the workpiece.
a. Modifying automatically the "source code" introduced by the user;
c. Acquiring the knowledge required for their development (symbolic training).
"FADEC" is equivalent to "full authority digital engine control".
"Fault tolerance" (4) is the capability of a computer system, after any malfunction of any of its hardware or "software" components, to continue to operate without human intervention, at a given level of service that provides: continuity of operation, data integrity and recovery of service within a given time.
a. Continuous "monofilaments";
b. Continuous "yarns" and "rovings";
d. Chopped fibres, staple fibres and coherent fibre blankets;
f. Aromatic polyamide pulp.
"Film type integrated circuit" (3) means an array of 'circuit elements' and metallic interconnections formed by deposition of a thick or thin film on an insulating "substrate".
"Focal plane array" (6) means a linear or two-dimensional planar layer, or combination of planar layers, of individual detector elements, with or without readout electronics, which work in the focal plane.
a. A frequency within 100 Hz of the final frequency; or
"Frequency synthesiser" (3) means any kind of frequency source or signal generator, regardless of the actual technique used, providing a multiplicity of simultaneous or alternative output frequencies, from one or more outputs, controlled by, derived from or disciplined by a lesser number of standard (or master) frequencies.
a. Accept data;
b. Process data, in both analogue and digital representations; and
a. Containing at least one unencapsulated device;
c. Replaceable as an entity; and
N.B. 1: 'Circuit element': a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
"Image enhancement" (4) means the processing of externally derived information-bearing images by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform). This does not include algorithms using only linear or rotational transformation of a single image, such as translation, feature extraction, registration or false coloration.
"Immunotoxin" (1) is a conjugate of one cell specific monoclonal antibody and a "toxin" or "sub-unit of toxin", that selectively affects diseased cells.
"In the public domain" (GTN NTN GSN), as it applies herein, means "technology" or "software" which has been made available without restrictions upon its further dissemination (copyright restrictions do not remove "technology" or "software" from being "in the public domain").
"Information security" (4 5) is all the means and functions ensuring the accessibility, confidentiality or integrity of information or communications, excluding the means and functions intended to safeguard against malfunctions. This includes "cryptography", 'cryptanalysis', protection against compromising emanations and computer security.
N.B.: 'Cryptanalysis': analysis of a cryptographic system or its inputs and outputs to derive confidential variables or sensitive data, including clear text.
"Instantaneous bandwidth" (3 5 7) means the bandwidth over which output power remains constant within 3 dB without adjustment of other operating parameters.
N.B.: See also "magnetic gradiometer".
"Isolated live cultures" (1) includes live cultures in dormant form and in dried preparations.
"Isostatic presses" (2) mean equipment capable of pressurising a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal pressure in all directions within the cavity upon a workpiece or material.
"Laser" (0 2 3 5 6 7 8 9) is an assembly of components which produce both spatially and temporally coherent light that is amplified by stimulated emission of radiation.
N.B.: See also: "Chemical laser";
"Q-switched laser";
"Super High Power Laser";
"Transfer laser".
"Linearity" (2) (usually measured in terms of non-linearity) means the maximum deviation of the actual characteristic (average of upscale and downscale readings), positive or negative, from a straight line so positioned as to equalise and minimise the maximum deviations.
"Local area network" (4) is a data communication system having all of the following characteristics:
a. Allows an arbitrary number of independent 'data devices' to communicate directly with each other; and
N.B.: 'Data device' means equipment capable of transmitting or receiving sequences of digital information.
"Magnetic Gradiometers" (6) are instruments designed to detect the spatial variation of magnetic fields from sources external to the instrument. They consist of multiple "magnetometers" and associated electronics the output of which is a measure of magnetic field gradient.
"Magnetometers" (6) are instruments designed to detect magnetic fields from sources external to the instrument. They consist of a single magnetic field sensing element and associated electronics the output of which is a measure of the magnetic field.
"Main storage" (4) means the primary storage for data or instructions for rapid access by a central processing unit. It consists of the internal storage of a "digital computer" and any hierarchical extension thereto, such as cache storage or non-sequentially accessed extended storage.
"Materials resistant to corrosion by UF6" (0) may be copper, stainless steel, aluminium, aluminium oxide, aluminium alloys, nickel or alloy containing 60 weight percent or more nickel and UF6- resistant fluorinated hydrocarbon polymers, as appropriate for the type of separation process.
"Matrix" (1 2 8 9) means a substantially continuous phase that fills the space between particles, whiskers or fibres.
"Measurement uncertainty" (2) is the characteristic parameter which specifies in what range around the output value the correct value of the measurable variable lies with a confidence level of 95 %. It includes the uncorrected systematic deviations, the uncorrected backlash and the random deviations (ref. ISO 10360-2, or VDI/VDE 2617).
"Mechanical Alloying" (1) means an alloying process resulting from the bonding, fracturing and rebonding of elemental and master alloy powders by mechanical impact. Non-metallic particles may be incorporated in the alloy by addition of the appropriate powders.
"Melt Extraction" (1) means a process to 'solidify rapidly' and extract a ribbon-like alloy product by the insertion of a short segment of a rotating chilled block into a bath of a molten metal alloy.
N.B.: 'Solidify rapidly': solidification of molten material at cooling rates exceeding 1,000 K/s.
N.B.: The internal storage may be augmented by an external storage.
N.B. 1: The "microprocessor microcircuit" normally does not contain integral user-accessible storage, although storage present on-the-chip may be used in performing its logic function.
"Microorganisms" (1 2) means bacteria, viruses, mycoplasms, rickettsiae, chlamydiae or fungi, whether natural, enhanced or modified, either in the form of isolated live cultures or as material including living material which has been deliberately inoculated or contaminated with such cultures.
"Missiles" (1 3 5 6 7 9) means complete rocket systems and unmanned air vehicle systems, capable of delivering at least 500 kg payload to a range of at least 300 km.
"Monolithic integrated circuit" (3) means a combination of passive or active 'circuit elements' or both which:
a. Are formed by means of diffusion processes, implantation processes or deposition processes in or on a single semiconducting piece of material, a so-called 'chip';
c. Perform the function(s) of a circuit.
a. Single Instruction Multiple Data (SIMD) architectures such as vector or array processors;
c. Multiple Instruction Multiple Data (MIMD) architectures, including those which are tightly coupled, closely coupled or loosely coupled; or
N.B.: 'Microprogramme' means a sequence of elementary instructions, maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction into an instruction register.
"Multilevel security" (5) means a class of system containing information with different sensitivities that simultaneously permits access by users with different security clearances and needs-to-know, but prevents users from obtaining access to information for which they lack authorization.
"Natural uranium" (0) means uranium containing the mixtures of isotopes occurring in nature.
"Neural computer" (4) means a computational device designed or modified to mimic the behaviour of a neuron or a collection of neurons, i.e., a computational device which is distinguished by its hardware capability to modulate the weights and numbers of the interconnections of a multiplicity of computational components based on previous data.
"Noise level" (6) means an electrical signal given in terms of power spectral density. The relation between "noise level" expressed in peak-to-peak is given by S 2 pp = 8No(f2-f1), where Spp is the peak-to-peak value of the signal (e.g., nanoteslas), No is the power spectral density (e.g., (nanotesla)2/Hz) and (f2-f1) defines the bandwidth of interest.
"Nuclear reactor" (0) means the items within or attached directly to the reactor vessel, the equipment which controls the level of power in the core, and the components which normally contain, come into direct contact with or control the primary coolant of the reactor core.
"Numerical control" (2) means the automatic control of a process performed by a device that makes use of numeric data usually introduced as the operation is in progress (ref. ISO 2382).
"Object code" (9) means an equipment executable form of a convenient expression of one or more processes ("source code" (source language)) which has been converted by programming system.
"Optical amplification" (5), in optical communications, means an amplification technique that introduces a gain of optical signals that have been generated by a separate optical source, without conversion to electrical signals, i.e., using semiconductor optical amplifiers, optical fibre luminescent amplifiers.
"Optical computer" (4) means a computer designed or modified to use light to represent data and whose computational logic elements are based on directly coupled optical devices.
"Optical integrated circuit" (3) means a "monolithic integrated circuit" or a "hybrid integrated circuit", containing one or more parts designed to function as a photosensor or photoemitter or to perform (an) optical or (an) electro-optical function(s).
"Optical switching" (5) means the routing of or switching of signals in optical form without conversion to electrical signals.
"Personalized smart card" (5) means a smart card containing a microcircuit which has been programmed for a specific application and cannot be reprogrammed for any other application by the user.
"Power management" (7) means changing the transmitted power of the altimeter signal so that received power at the "aircraft" altitude is always at the minimum necessary to determine the altitude.
"Pressure transducers" (2) are devices that convert pressure measurements into an electrical signal.
"Production equipment" (1 9) means tooling, templates, jigs, mandrels, moulds, dies, fixtures, alignment mechanisms, test equipment, other machinery and components therefor, limited to those specially designed or modified for "development" or for one or more phases of "production".
"Programme" (2 6) means a sequence of instructions to carry out a process in, or convertible into, a form executable by an electronic computer.
"Pulse compression" (6) means the coding and processing of a radar signal pulse of long time duration to one of short time duration, while maintaining the benefits of high pulse energy.
"Pulse duration" (6) is the duration of a "laser" pulse measured at Full Width Half Intensity (FWHI) levels.
"Q-switched laser" (6) means a "laser" in which the energy is stored in the population inversion or in the optical resonator and subsequently emitted in a pulse.
"Radar frequency agility" (6) means any technique which changes, in a pseudo-random sequence, the carrier frequency of a pulsed radar transmitter between pulses or between groups of pulses by an amount equal to or larger than the pulse bandwidth.
"Radar spread spectrum" (6) means any modulation technique for spreading energy originating from a signal with a relatively narrow frequency band, over a much wider band of frequencies, by using random or pseudo-random coding.
"Required" (GTN 1-9), as applied to "technology" or "software", refers to only that portion of "technology" or "software" which is peculiarly responsible for achieving or extending the controlled performance levels, characteristics or functions. Such "required" "technology" or "software" may be shared by different goods.
"Resolution" (2) means the least increment of a measuring device; on digital instruments, the least significant bit (ref. ANSI B-89.1.12).
"Robot" (2 8) means a manipulation mechanism, which may be of the continuous path or of the point-to-point variety, may use sensors, and has all the following characteristics:
a. Is multifunctional;
b. Is capable of positioning or orienting material, parts, tools or special devices through variable movements in three dimensional space;
c. Incorporates three or more closed or open loop servo-devices which may include stepping motors; and
d. Has "user-accessible programmability" by means of teach/playback method or by means of an electronic computer which may be a programmable logic controller, i.e., without mechanical intervention.
N.B.: The above definition does not include the following devices:
1. Manipulation mechanisms which are only manually/ teleoperator controllable;
2. Fixed sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed stops, such as pins or cams. The sequence of motions and the selection of paths or angles are not variable or changeable by mechanical, electronic or electrical means;
3. Mechanically controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed, but adjustable stops, such as pins or cams. The sequence of motions and the selection of paths or angles are variable within the fixed programme pattern. Variations or modifications of the programme pattern (e.g., changes of pins or exchanges of cams) in one or more motion axes are accomplished only through mechanical operations;
4. Non-servo-controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is variable but the sequence proceeds only by the binary signal from mechanically fixed electrical binary devices or adjustable stops;
N.B.: 'Strand' is a bundle of "monofilaments" (typically over 200) arranged approximately parallel.
"Scale factor" (gyro or accelerometer) (7) means the ratio of change in output to a change in the input intended to be measured. Scale factor is generally evaluated as the slope of the straight line that can be fitted by the method of least squares to input-output data obtained by varying the input cyclically over the input range.
"SHPL" is equivalent to "super high power laser".
"Signal analysers" (3) means apparatus capable of measuring and displaying basic properties of the single-frequency components of multi-frequency signals.
"Signal processing" (3 4 5 6) means the processing of externally derived information-bearing signals by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform).
"Software" (GSN All) means a collection of one or more "programmes" or 'microprogrammes' fixed in any tangible medium of expression.
"Specific tensile strength" (0 1) is ultimate tensile strength in pascals, equivalent to N/m2 divided by specific weight in N/m3, measured at a temperature of (296 + 2) K ((23 + 2)oC) and a relative humidity of (50 + 5)%.
"Splat Quenching" (1) means a process to 'solidify rapidly' a molten metal stream impinging upon a chilled block, forming a flake-like product.
"Spread spectrum" radar (6) - see "Radar spread spectrum"
"Stability" (7) means the standard deviation (1 sigma) of the variation of a particular parameter from its calibrated value measured under stable temperature conditions. This can be expressed as a function of time.
"Stored programme controlled" (2 3 5) means controlled by using instructions stored in an electronic storage which a processor can execute in order to direct the performance of predetermined functions.
"Substrate" (3) means a sheet of base material with or without an interconnection pattern and on which or within which 'discrete components' or integrated circuits or both can be located.
N.B. 1: 'Discrete component': a separately packaged 'circuit element' with its own external connections.
N.B. 2: 'Circuit element': a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
"Substrate blanks" (6) means monolithic compounds with dimensions suitable for the production of optical elements such as mirrors or optical windows.
"Sub-unit of toxin" (1) is a structurally and functionally discrete component of a whole "toxin".
N.B.: The "superconductive" state of a material is individually characterised by a "critical temperature", a critical magnetic field, which is a function of temperature, and a critical current density which is, however, a function of both magnetic field and temperature.
"Superplastic forming" (1 2) means a deformation process using heat for metals that are normally characterised by low values of elongation (less than 20%) at the breaking point as determined at room temperature by conventional tensile strength testing, in order to achieve elongations during processing which are at least 2 times those values.
N.B. A common use of "symmetric algorithms" is confidentiality of data.
"System tracks" (6) means processed, correlated (fusion of radar target data to flight plan position) and updated aircraft flight position report available to the Air Traffic Control centre controllers.
"Systolic array computer" (4) means a computer where the flow and modification of the data is dynamically controllable at the logic gate level by the user.
"Tape" (1) is a material constructed of interlaced or unidirectional "monofilaments", 'strands', "rovings", "tows", or "yarns", etc., usually preimpregnated with resin.
N.B.: 1: 'Technical assistance' may take forms such as instructions, skills, training, working knowledge and consulting services and may involve the transfer of "technical data".
N.B. 2: 'Technical data' may take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories.
"Three dimensional Vector Rate" (4) means the number of vectors generated per second which have 10 pixel poly line vectors, clip tested, randomly oriented, with either integer or floating point X-Y-Z coordinate values (whichever produces the maximum rate).
"Tilting spindle" (2) means a tool-holding spindle which alters, during the machining process, the angular position of its centre line with respect to any other axis.
"Time constant" (6) is the time taken from the application of a light stimulus for the current increment to reach a value of 1-1/e times the final value (i.e., 63% of the final value).
"Total control of flight" ( 7) means an automated control of "aircraft" state variables and flight path to meet mission objectives responding to real time changes in data regarding objectives, hazards or other "aircraft".
"Total digital transfer rate" (5) means the number of bits, including line coding, overhead and so forth per unit time passing between corresponding equipment in a digital transmission system.
a. A physical change in wiring or interconnections; or
"Yarn" (1) is a bundle of twisted 'strands'.
ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX
An acronym or abbreviation, when used as a defined term, will be found in 'Definitions of Terms used in this Annex'.
ACRONYM OR MEANING
ABBREVIATION
ABEC Annular Bearing Engineers Committee
AGMA American Gear Manufacturers' Association
AHRS attitude and heading reference systems
AISI American Iron and Steel Institute
ALU arithmetic logic unit
ANSI American National Standards Institute
ASTM the American Society for Testing and Materials
ATC air traffic control
AVLIS atomic vapour laser isotope separation
CAD computer-aided-design
CAS Chemical Abstracts Service
CCITT International Telegraph and Telephone Consultative Committee
CDU control and display unit
CEP circular error probable
CNTD controlled nucleation thermal deposition
CRISLA chemical reaction by isotope selective laser activation.
CVD chemical vapour deposition
CW chemical warfare
CW (for lasers) continuous wave
DME distance measuring equipment
DS directionally solidified
EB-PVD electron beam physical vapour deposition
EBU European Broadcasting Union
ECM electro-chemical machining
ECR electron cyclotron resonance
EDM electrical discharge machines
EEPROMS electrically erasable programmable read only memory
EIA Electronic Industries Association
EMC electromagnetic compatibility
FFT Fast Fourier Transform
GLONASS global navigation satellite system
GPS global positioning system
HBT hetero-bipolar transistors
HDDR high density digital recording
HEMT high electron mobility transistors
ICAO International Civil Aviation Organisation
IEC International Electro-technical Commission
IFOV instantaneous-field-of-view
ILS instrument landing system
IRIG inter-range instrumentation group
ISAR inverse synthetic aperture radar
ACRONYM OR MEANING
ABBREVIATION
ISO International Organization for Standardization
ITU International Telecommunication Union
JIS Japanese Industrial Standard
JT Joule-Thomson
LIDAR light detection and ranging
LRU line replaceable unit
MAC message authentication code
Mach ratio of speed of an object to speed of sound (after Ernst
Mach)
MLIS molecular laser isotopic separation
MLS microwave landing systems
MOCVD metal organic chemical vapour deposition
MRI magnetic resonance imaging
MTBF mean-time-between-failures
Mtops million theoretical operations per second
MTTF mean-time-to-failure
NBC Nuclear, Biological and Chemical
NDT non-destructive test
PAR precision approach radar
PIN personal identification number
ppm parts per million
PSD power spectral density
QAM quadrature-amplitude-modulation
RF radio frequency
SACMA Suppliers of Advanced Composite Materials Association
SAR synthetic aperture radar
SC single crystal
SLAR sidelooking airborne radar
SMPTE Society of Motion Picture and Television Engineers
SRA shop replaceable assembly
SRAM static random access memory
SSB single sideband
TCSEC trusted computer system evaluation criteria
UV ultraviolet
VOR very high frequency omni-directional range
d. Control rods specially designed or prepared for the control of the fission process in a "nuclear reactor", support or suspension structures therefor, rod drive mechanisms and rod guide tubes;
e. Pressure tubes specially designed or prepared to contain fuel elements and the primary coolant in a "nuclear reactor" at an operating pressure in excess of 5.1 MPa;
f. Zirconium metal and alloys in the form of tubes or assemblies of tubes in which the ratio of hafnium to zirconium is less than 1:500 parts by weight, specially designed or prepared for use in a "nuclear reactor";
Note: In 0A001.h. 'nuclear reactor internals' means any major structure within a reactor vessel which has one or more functions such as supporting the core, maintaining fuel alignment, directing primary coolant flow, providing radiation shields for the reactor vessel, and guiding in-core instrumentation.
i. Heat exchangers (steam generators) specially designed or prepared for use in the primary coolant circuit of a "nuclear reactor";
j. Neutron detection and measuring instruments specially designed or prepared for determining neutron flux levels within the core of a "nuclear reactor".
0B Test, Inspection and Production Equipment
0B001 Plant for the separation of isotopes of "natural uranium", "depleted uranium" and "special fissile materials", and specially designed or prepared equipment and components therefor, as follows:
a. Plant specially designed for separating isotopes of "natural uranium", "depleted uranium", and "special fissile materials", as follows:
1. Gas centrifuge separation plant;
3. Aerodynamic separation plant;
4. Chemical exchange separation plant;
5. Ion-exchange separation plant;
6. Atomic vapour "laser" isotope separation (AVLIS) plant;
8. Plasma separation plant;
a. Maraging steel capable of an ultimate tensile strength of 2,050 MPa or more;
c. "Fibrous or filamentary materials" with a "specific modulus" of more than 3.18 x 106 m and a "specific tensile strength" greater than 76.2 x 103 m;
1. Gas centrifuges;
2. Complete rotor assemblies;
0B001 b. continued
8. Specially prepared bearings comprising a pivot-cup assembly mounted on a damper;
9. Molecular pumps comprised of cylinders having internally machined or extruded helical grooves and internally machined bores;
10. Ring-shaped motor stators for multiphase AC hysteresis (or reluctance) motors for synchronous operation within a vacuum in the frequency range of 600 to 2,000 Hz and a power range of 50 to 1,000 Volt-Amps;
11. Centrifuge housing/recipients to contain the rotor tube assembly of a gas centrifuge, consisting of a rigid cylinder of wall thickness up to 30 mm with precision machined ends and made of or protected by "materials resistant to corrosion by UF6";
12. Scoops consisting of tubes of up to 12 mm internal diameter for the extraction of UF6 gas from within a centrifuge rotor tube by a Pitot tube action, made of or protected by "materials resistant to corrosion by UF6";
13. Frequency changers (converters or inverters) specially designed or prepared to supply motor stators for gas centrifuge enrichment, having all of the following characteristics, and specially designed components therefor:
b. Frequency control better than 0.1%;
d. An efficiency greater than 80%;
c. Equipment and components, specially designed or prepared for gaseous diffusion separation process, as follows:
1. Gaseous diffusion barriers made of porous metallic, polymer or ceramic "materials resistant to corrosion by UF6" with a pore size of 10 to 100 nm, a thickness of 5 mm or less, and, for tubular forms, a diameter of 25 mm or less;
0B001 continued
d. Equipment and components, specially designed or prepared for aerodynamic separation process, as follows:
1. Separation nozzles consisting of slit-shaped, curved channels having a radius of curvature less than 1 mm, resistant to corrosion by UF6 , and having a knife-edge contained within the nozzle which separates the gas flowing through the nozzle into two streams;
2. Tangential inlet flow-driven cylindrical or conical tubes, (vortex tubes), made of or protected by "materials resistant to corrosion by UF6" with a diameter of between 0.5 cm and 4 cm and a length to diameter ratio of 20:1 or less and with one or more tangential inlets;
3. Compressors (positive displacement, centrifugal and axial flow types) or gas blowers with a suction volume capacity of 2 m3/min or more, made of or protected by "materials resistant to corrosion by UF6", and rotary shaft seals therefor;
4. Heat exchangers made of or protected by "materials resistant to corrosion by UF6";
a. Cryogenic heat exchangers and cryoseparators capable of temperatures of 153K (-120°C) or less;
c. Separation nozzle or vortex tube units for the separation of UF6 from carrier gas;
d. UF6 cold traps capable of temperatures of 253 K (-20°C) or less;
e. Equipment and components, specially designed or prepared for chemical exchange separation process, as follows:
1. Fast-exchange liquid-liquid pulse columns with stage residence time of 30 seconds or less and resistant to concentrated hydrochloric acid (e.g. made of or protected by suitable plastic materials such as fluorocarbon polymers or glass);
2. Fast-exchange liquid-liquid centrifugal contactors with stage residence time of 30 seconds or less and resistant to concentrated hydrochloric acid (e.g. made of or protected by suitable plastic materials such as fluorocarbon polymers or glass);
3. Electrochemical reduction cells resistant to concentrated hydrochloric acid solutions, for reduction of uranium from one valence state to another;
2. Ion exchange columns (cylindrical) with a diameter greater than 1,000 mm, made of or protected by materials resistant to concentrated hydrochloric acid (e.g. titanium or fluorocarbon plastics) and capable of operating at temperatures in the range of 373 K (100oC) to 473 K (200oC) and pressures above 0.7 MPa;
3. Ion exchange reflux systems (chemical or electrochemical oxidation or reduction systems) for regeneration of the chemical reducing or oxidizing agents used in ion exchange enrichment cascades;
g. Equipment and components, specially designed or prepared for atomic vapour "laser" isotope separation process (AVLIS), as follows:
2. Liquid uranium metal handling systems for molten uranium or uranium alloys, consisting of crucibles, made of or protected by suitable corrosion and heat resistant materials (e.g. tantalum, yttria-coated graphite, graphite coated with other rare earth oxides or mixtures thereof), and cooling equipment for the crucibles;
0B001 g. cont.
5. "Lasers" or "laser" systems for the separation of uranium isotopes with a spectrum frequency stabiliser for operation over extended periods of time;
1. Supersonic expansion nozzles for cooling mixtures of UF6 and carrier gas to 150 K (-123°C) or less and made from "materials resistant to corrosion by UF6";
2. Uranium pentafluoride (UF5) product collectors consisting of filter, impact, or cyclone-type collectors or combinations thereof, and made of "materials resistant to corrosion by UF5/UF6";
3. Compressors made of or protected by "materials resistant to corrosion by UF6", and rotary shaft seals therefor;
a. Cryogenic heat exchangers and cryoseparators capable of temperatures of 153 K (-120°C) or less;
c. UF6 cold traps capable of temperatures of 253 K (-20°C) or less;
6. "Lasers" or "laser" systems for the separation of uranium isotopes with a spectrum frequency stabiliser for operation over extended periods of time;
i. Equipment and components, specially designed or prepared for plasma separation process, as follows:
N.B.: SEE ALSO 2A225.
1. Ion sources, single or multiple, consisting of a vapour source, ioniser, and beam accelerator made of suitable non-magnetic materials (e.g. graphite, stainless steel, or copper) and capable of providing a total ion beam current of 50 mA or greater;
2. Ion collector plates for collection of enriched or depleted uranium ion beams, consisting of two or more slits and pockets and made of suitable non-magnetic materials (e.g. graphite or stainless steel);
3. Vacuum housings for uranium electromagnetic separators made of non-magnetic materials (e.g. stainless steel) and designed to operate at pressures of 0.1 Pa or lower;
4. Magnet pole pieces with a diameter greater than 2 m;
5. High voltage power supplies for ion sources, having all of the following characteristics:
a. Capable of continuous operation;
c. Output current of 1 A or greater; and
N.B.: SEE ALSO 3A227.
6. Magnet power supplies (high power, direct current) having all of the following characteristics:
a. Capable of continuous operation with a current output of 500 A or greater at a voltage of 100 V or greater; and
N.B.: SEE ALSO 3A226.
0B002 continued
c. Product and tails stations for transferring UF6 into containers;
d. Liquefaction or solidification stations used to remove UF6 from the enrichment process by compressing, cooling and converting UF6 to a liquid or solid form;
e. Piping systems and header systems specially designed for handling UF6 within gaseous diffusion, centrifuge or aerodynamic cascades;
f. 1. Vacuum manifolds or vacuum headers having a suction capacity of 5 m3/minute or more; or
g. UF6 mass spectrometers/ion sources specially designed or prepared for taking on-line samples of feed, product or tails from UF6 gas streams and having all of the following characteristics:
1. Unit resolution for mass of more than 320 amu;
2. Ion sources constructed of or lined with nichrome or monel, or nickel plated;
3. Electron bombardment ionisation sources; and
4. Collector system suitable for isotopic analysis.
0B003 Plant for the conversion of uranium and equipment specially designed or prepared therefor, as follows:
b. Systems for the conversion of UO3 to UF6;
d. Systems for the conversion of UO2 to UF4;
e. Systems for the conversion of UF4 to UF6;
f. Systems for the conversion of UF4 to uranium metal;
g. Systems for the conversion of UF6 to UO2;
i. Systems for the conversion of UO2 to UCl4.
0B004 Plant for the production or concentration of heavy water, deuterium and deuterium compounds and specially designed or prepared equipment and components therefor, as follows:
a. Plant for the production of heavy water, deuterium or deuterium compounds, as follows:
2. Ammonia-hydrogen exchange plants;
6. Infrared absorption analysers capable of on-line hydrogen/deuterium ratio analysis where deuterium concentrations are equal to or greater than 90%;
7. Catalytic burners for the conversion of enriched deuterium gas into heavy water utilizing the ammonia-hydrogen exchange process;
8. Complete heavy water upgrade systems, or columns therefor, for the upgrade of heavy water to reactor-grade deuterium concentration.
0B005 Plant specially designed for the fabrication of "nuclear reactor" fuel elements and specially designed or prepared equipment therefor.
Note: A plant for the fabrication of "nuclear reactor" fuel elements includes equipment which:
b. Seals the nuclear materials within the cladding;
d. Checks the finish treatment of the sealed fuel.
a. Plant for the reprocessing of irradiated "nuclear reactor" fuel elements including equipment and components which normally come into direct contact with and directly control the irradiated fuel and the major nuclear material and fission product processing streams;
b. Fuel element chopping or shredding machines, i.e. remotely operated equipment to cut, chop, shred or shear irradiated "nuclear reactor" fuel assemblies, bundles or rods;
Note: Holding or storage vessels may have the following features:
1. Walls or internal structures with a boron equivalent (calculated for all constituent elements as defined in the note to 0C004) of at least two per cent;
2. A maximum diameter of 175 mm for cylindrical vessels; or
0B007 Plant for the conversion of plutonium and equipment specially designed or prepared
therefor, as follows:
a. Systems for the conversion of plutonium nitrate to oxide;
b. Systems for plutonium metal production.
0C Materials
0C001 "Natural uranium" or "depleted uranium" or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing;
Note: 0C001 does not control the following:
b. "Depleted uranium" specially fabricated for the following civil non-nuclear applications:
2. Packaging;
4. Counter-weights having a mass not greater than 100 kg;
c. Alloys containing less than 5% thorium;
Note: 0C002 does not control four "effective grammes" or less when contained in a sensing component in instruments.
0C003 Deuterium, heavy water (deuterium oxide) and other compounds of deuterium, and mixtures and solutions containing deuterium, in which the isotopic ratio of deuterium to hydrogen exceeds 1:5,000.
N.B.: SEE ALSO 1C107
Note 1: 0C004 does not control the following:
a. Manufactures of graphite having a mass less than 1 kg, other than those specially designed or prepared for use in a nuclear reactor;
b. Graphite powder.
Note 2: In 0C004, 'boron equivalent' (BE) is defined as the sum of BEz for impurities (excluding BEcarbon since carbon is not considered an impurity) including boron, where:
where CF is the conversion factor = -------
and (B and (Z are the thermal neutron capture cross sections (in barns) for naturally occurring boron and element Z respectively; and AB and AZ are the atomic masses of naturally occurring boron and element Z respectively.
0C005 Specially prepared compounds or powders for the manufacture of gaseous diffusion barriers, resistant to corrosion by UF6 (e.g. nickel or alloy containing 60 weight per cent or more nickel, aluminium oxide and fully fluorinated hydrocarbon polymers), having a purity of 99.9 weight per cent or more and a mean particle size of less than 10 micrometres measured by American Society for Testing and Materials (ASTM) B330 standard and a high degree of particle size uniformity.
0D Software
0D001 "Software" specially designed or modified for the "development", "production" or "use" of goods specified in this Category.
0E Technology
0E001 "Technology" according to the Nuclear Technology Note for the "development", "production" or "use" of goods specified in this Category.
CATEGORY 1 - MATERIALS, CHEMICALS, "MICROORGANISMS" & "TOXINS"
1A001 Components made from fluorinated compounds, as follows:
a. Seals, gaskets, sealants or fuel bladders specially designed for "aircraft" or aerospace use made from more than 50 % by weight of any of the materials specified in 1C009.b. or 1C009.c.;
b. Piezoelectric polymers and copolymers made from vinylidene fluoride materials specified in 1C009.a.:
1. In sheet or film form; and
2. With a thickness exceeding 200 µm;
Note: In 1A001.c., 'missile' means complete rocket systems and unmanned air vehicle systems.
1A002 "Composite" structures or laminates, having any of the following:
N.B: SEE ALSO 1A202, 9A010 and 9A110
a. An organic "matrix" and made from materials specified in 1C010.c., 1C010.d. or 1C010.e.; or
b. A metal or carbon "matrix" and made from:
a. A "specific modulus" exceeding 10.15 x 106 m; and
2. Materials specified in 1C010.c.
Note 2: 1A002 does not control finished or semi-finished items specially designed for purely civilian applications as follows:
a. Sporting goods;
b. Automotive industry;
d. Medical applications.
1A003 Manufactures of non-fluorinated polymeric substances specified in 1C008.a.3. in film,
b. Coated or laminated with carbon, graphite, metals or magnetic substances.
Note: 1A003 does not control manufactures when coated or laminated with copper and designed for the production of electronic printed circuit boards.
military goods controls, as follows:
N.B.: SEE ALSO 2B351 AND 2B352.
a. Gas masks, filter canisters and decontamination equipment therefor designed or modified for defence against biological agents or radioactive materials "adapted for use in war" or chemical warfare (CW) agents and specially designed components therefor;
Note: 1A004 does not control:
b. Equipment limited by design or function to protect against hazards specific to civil industries, such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or to the food industry.
manufactured to military standards or specifications or to their equivalents in performance.
N.B.: SEE ALSO MILITARY GOODS CONTROLS.
Note 1: 1A005 does not control individual suits of body armour and accessories therefor, when accompanying their users for his/her own personal protection.
Note 2: 1A005 does not control body armour designed to provide frontal protection only from both fragment and blast from non-military explosive devices.
1A102 Resaturated pyrolized carbon-carbon components designed for space launch vehicles
1A202 Composite structures, other than those specified in 1A002, in the form of tubes and
having both of the following characteristics:
b. Made with any of the "fibrous or filamentary materials" specified in 1C010.a. or b. or 1C210.a. or with carbon prepreg materials specified in 1C210.c.
1A225 Platinized catalysts specially designed or prepared for promoting the hydrogen isotope
1A226 Specialized packings which may be used in separating heavy water from ordinary
water, having both of the following characteristics:
a. Made of phosphor bronze mesh chemically treated to improve wettability; and
1A227 High-density (lead glass or other) radiation shielding windows, having all of the
a. A 'cold area' greater than 0.09 m2;
b. A density greater than 3 g/cm3; and
In 1A227 the term 'cold area' means the viewing area of the window exposed to the lowest level of radiation in the design application.
1B Test, Inspection and Production Equipment
1B001 Equipment for the production of fibres, prepregs, preforms or "composites" specified
N.B.: SEE ALSO 1B101 AND 1B201.
a. Filament winding machines of which the motions for positioning, wrapping and
Note: In 1B001.b., 'missile' means complete rocket systems and unmanned air vehicle systems.
Note: 1B001.c. does not control textile machinery not modified for the above end-uses.
1B001 continued
1. Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon fibres or silicon carbide fibres, including special equipment to strain the fibre during heating;
2. Equipment for the chemical vapour deposition of elements or compounds on heated filamentary substrates to manufacture silicon carbide fibres;
3. Equipment for the wet-spinning of refractory ceramics (such as aluminium oxide);
4. Equipment for converting aluminium containing precursor fibres into alumina fibres by heat treatment;
specially designed to avoid contamination and specially designed for use in one
N.B.: SEE ALSO 1B102.
1B003 Tools, dies, moulds or fixtures, for "superplastic forming" or "diffusion bonding"
titanium or aluminium or their alloys, specially designed for the manufacture of:
b. "Aircraft" or aerospace engines; or
c. Specially designed components for those structures or engines.
1B101 Equipment, other than that specified in 1B001, for the "production" of structural composites as follows; and specially designed components and accessories therefor:
a. Filament winding machines of which the motions for positioning, wrapping
and winding fibres can be coordinated and programmed in three or more axes, designed to fabricate composite structures or laminates from fibrous or filamentary materials, and coordinating and programming controls;
1B101 continued
c. Equipment designed or modified for the "production" of "fibrous or filamentary materials" as follows:
2. Equipment for the vapour deposition of elements or compounds on heated filament substrates;
3. Equipment for the wet-spinning of refractory ceramics (such as aluminium oxide);
d. Equipment designed or modified for special fibre surface treatment or for producing prepregs and preforms specified in entry 9C110.
1B102 Metal powder "production equipment", other than that specified in 1B002, and
components as follows:
a. Metal powder "production equipment" usable for the "production", in a controlled environment, of spherical or atomised materials specified in 1C011.a., 1C011.b., 1C111.a.1., 1C111.a.2. or in the Military Goods Controls.
a. Plasma generators (high frequency arc-jet) usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment;
b. Electroburst equipment usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment;
c. Equipment usable for the "production" of spherical aluminium powders by powdering a melt in an inert medium (e.g. nitrogen).
1B115 Equipment, other than that specified in 1B002 or 1B102, for the production of propellant and propellant constituents, as follows, and specially designed components therefor:
a. "Production equipment" for the "production", handling or acceptance testing of liquid propellants or propellant constituents specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls;
b. "Production equipment" for the "production", handling, mixing, curing, casting, pressing, machining, extruding or acceptance
Note: 1B115.b. does not control batch mixers, continuous mixers or fluid energy mills. For the control of batch mixers, continuous mixers and fluid energy mills see 1B117, 1B118 and 1B119.
Note 1: For equipment specially designed for the production of military goods, see the Military Goods Controls.
mould, mandrel or other substrate from precursor gases which decompose in the 1,573 K (1,300oC) to 3,173 K (2,900oC) temperature range at pressures of 130 Pa to 20 kPa.
1B117 Batch mixers with provision for mixing under vacuum in the range of zero to
13.326 kPa and with temperature control capability of the mixing chamber and having all of the following, and specially designed components therefor:
a. A total volumetric capacity of 110 litres or more; and
b. At least one mixing/kneading shaft mounted off centre.
1B118 Continuous mixers with provision for mixing under vacuum in the range of zero to
b. Capability to open the mixing chamber.
1B119 Fluid energy mills usable for grinding or milling substances specified in 1C011.a.,
1C011.b., 1C111 or in the Military Goods Controls, and specially designed components therefor.
1B201 Filament winding machines, other than those specified in 1B001 or 1B101, and related
a. Filament winding machines having all of the following characteristics:
1. Having motions for positioning, wrapping, and winding fibres coordinated and programmed in two or more axes;
2. Specially designed to fabricate composite structures or laminates from "fibrous or filamentary materials"; and
3. Capable of winding cylindrical rotors of diameter between 75 and 400 mm and lengths of 600 mm or greater;
b. Coordinating and programming controls for the filament winding machines specified in 1B201.a.;
c. Precision mandrels for the filament winding machines specified in 1B201.a.
of fluorine per hour.
1B226 Electromagnetic isotope separators designed for, or equipped with, single or multiple
ion sources capable of providing a total ion beam current of 50 mA or greater.
Note: 1B226 includes separators:
b. With the ion sources and collectors both in the magnetic field and those configurations in which they are external to the field.
1B227 Ammonia synthesis converters or ammonia synthesis units, in which the synthesis gas
(nitrogen and hydrogen) is withdrawn from an ammonia/hydrogen high-pressure exchange column and the synthesized ammonia is returned to said column.
b. Designed for operation at an internal pressure of 0.5 to 5 MPa;
1. Stainless steel of the 300 series with low sulphur content and with an austenitic ASTM (or equivalent standard) grain size number of 5 or greater; or
2. Equivalent materials which are both cryogenic and H2-compatible; and
d. With internal diameters of 1 m or greater and effective lengths of 5 m or greater.
1B229 Water-hydrogen sulphide exchange tray columns and 'internal contactors', as follows:
1. Can operate at pressures of 2 MPa or greater;
2. Constructed of carbon steel having an austenitic ASTM (or equivalent standard) grain size number of 5 or greater; and
b. 'Internal contactors' for the water-hydrogen sulphide exchange tray columns specified in 1B229.a.
'Internal contactors' of the columns are segmented trays which have an effective assembled diameter of 1.8 m or greater, are designed to facilitate countercurrent contacting and are constructed of stainless steels with a carbon content of 0.03% or less. These may be sieve trays, valve trays, bubble cap trays, or turbogrid trays.
1B230 Pumps capable of circulating solutions of concentrated or dilute potassium amide
a. Airtight (i.e., hermetically sealed);
c. Either of the following characteristics:
1. For concentrated potassium amide solutions (1% or greater), an operating pressure of 1.5 to 60 MPa; or
1B231 Tritium facilities or plants, and equipment therefor, as follows:
a. Facilities or plants for the production, recovery, extraction, concentration, or handling of tritium;
b. Equipment for tritium facilities or plants, as follows:
1. Hydrogen or helium refrigeration units capable of cooling to 23 K (-250°C) or less, with heat removal capacity greater than 150 W;
2. Hydrogen isotope storage or purification systems using metal hydrides as the storage or purification medium.
1B232 Turboexpanders or turboexpander-compressor sets having both of the following
characteristics:
a. Designed for operation with an outlet temperature of 35 K (-238°C) or less; and
b. Designed for a throughput of hydrogen gas of 1000 kg/h or greater.
1B233 Lithium isotope separation facilities or plants, and equipment therefor, as follows:
a. Facilities or plants for the separation of lithium isotopes;
b. Equipment for the separation of lithium isotopes, as follows:
2. Mercury or lithium amalgam pumps;
3. Lithium amalgam electrolysis cells;
4. Evaporators for concentrated lithium hydroxide solution.
1C Materials
Technical Note:
Unless provision to the contrary is made, the words 'metals' and 'alloys' in 1C001 to 1C012 cover crude and semi-fabricated forms, as follows:
Anodes, balls, bars (including notched bars and wire bars), billets, blocks, blooms, brickets, cakes, cathodes, crystals, cubes, dice, grains, granules, ingots, lumps, pellets, pigs, powder, rondelles, shot, slabs, slugs, sponge, sticks;
Semi-fabricated forms (whether or not coated, plated, drilled or punched):
b. Cast material produced by casting in sand, die, metal, plaster or other types of moulds, including high pressure castings, sintered forms, and forms made by powder metallurgy.
The object of the control should not be defeated by the export of non-listed forms alleged to be finished products but representing in reality crude forms or semi-fabricated forms.
intrinsically conductive polymers, as follows:
Note 1: 1C001.a. does not control:
b. Absorbers having no magnetic loss and whose incident surface is non-planar in shape, including pyramids, cones, wedges and convoluted surfaces;
1. Made from any of the following:
a. Plastic foam materials (flexible or non-flexible) with carbon-loading, or organic materials, including binders, providing more than 5% echo compared with metal over a bandwidth exceeding ±15% of the centre frequency of the incident energy, and not capable of withstanding temperatures exceeding 450 K (177°C); or
b. Ceramic materials providing more than 20% echo compared with metal over a bandwidth exceeding ±15% of the centre frequency of the incident energy, and not capable of withstanding temperatures exceeding 800 K (527°C);
Technical Note:
2. Tensile strength less than 7 x 106 N/m2; and
3. Compressive strength less than 14 x 106 N/m2;
d. Planar absorbers made of sintered ferrite, having:
2. A maximum operating temperature of 548 K (275°C).
Note 2: Nothing in Note 1 to 1C001.a. releases magnetic materials to provide absorption when contained in paint.
c. Intrinsically conductive polymeric materials with a 'bulk electrical conductivity' exceeding 10,000 S/m (Siemens per metre) or a 'sheet (surface) resistivity' of less than 100 ohms/square, based on any of the following polymers:
1. Polyaniline;
2. Polypyrrole;
4. Poly phenylene-vinylene; or
Technical Note:
1C002 Metal alloys, metal alloy powder and alloyed materials, as follows:
1. The metal alloys in 1C002 are those containing a higher percentage by weight of the stated metal than of any other element.
3. Low cycle fatigue life should be measured in accordance with ASTM Standard E-606 'Recommended Practice for Constant-Amplitude Low-Cycle Fatigue Testing' or national equivalents. Testing should be axial with an average stress ratio equal to 1 and a stress-concentration factor (Kt) equal to 1. The average stress is defined as maximum stress minus minimum stress divided by maximum stress.
1C002 continued
a. Aluminides, as follows:
1. Nickel aluminides containing a minimum of 15 weight percent aluminium, a maximum of 38 weight percent aluminium and at least one additional alloying element;
2. Titanium aluminides containing 10 weight percent or more aluminium and at least one additional alloying element;
b. Metal alloys, as follows, made from material specified in 1C002.c.:
a. A stress-rupture life of 10,000 hours or longer at 923 K (650°C) at a stress of 676 MPa; or
2. Niobium alloys with:
a. A stress-rupture life of 10,000 hours or longer at 1,073 K (800°C) at a stress of 400 MPa; or
b. A low cycle fatigue life of 10,000 cycles or more at 973 K (700°C) at a maximum stress of 700 MPa;
3. Titanium alloys with:
a. A stress-rupture life of 10,000 hours or longer at 723 K (450°C) at a stress of 200 MPa; or
4. Aluminium alloys with a tensile strength of:
a. 240 MPa or more at 473 K (200°C); or
b. 415 MPa or more at 298 K (25°C);
5. Magnesium alloys with:
a. A tensile strength of 345 MPa or more; and
b. A corrosion rate of less than 1 mm/year in 3% sodium chloride aqueous solution measured in accordance with ASTM standard G-31 or national equivalents;
1C002 continued
c. Metal alloy powder or particulate material for material, having all of the following characteristics:
1. Made from any of the following composition systems:
Technical Note:
X in the following equals one or more alloying elements.
b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si, Nb-Ti-X or Nb-X-Ti);
c. Titanium alloys (Ti-Al-X or Ti-X-Al);
d. Aluminium alloys (Al-Mg-X or
Al-Fe-X or Al-X-Fe); or
e. Magnesium alloys (Mg-Al-X or Mg-X-Al);
2. Made in a controlled environment by any of the following processes:
a. "Vacuum atomisation";
b. "Gas atomisation";
c. "Rotary atomisation";
d. "Splat quenching";
f. "Melt extraction" and "comminution"; or
3. Capable of forming materials specified in 1C002.a. or 1C002.b.
d. Alloyed materials having all of the following characteristics:
1. Made from any of the composition systems specified in 1C002.c.1.;
2. In the form of uncomminuted flakes, ribbons or thin rods; and
3. Produced in a controlled environment by any of the following:
b. "Melt spinning"; or
c. Melt extraction".
1C003 Magnetic metals, of all types and of whatever form, having any of the following
characteristics:
a. Initial relative permeability of 120,000 or more and a thickness of 0.05 mm or less;
Technical Note:
Measurement of initial permeability must be performed on fully annealed materials.
1. A saturation magnetostriction of more than 5 x 10-4; or
2. A magnetomechanical coupling factor (k) of more than 0.8; or
1. A composition having a minimum of 75 weight percent of iron, cobalt or nickel;
2. A saturation magnetic induction (Bs) of 1.6 T or more; and
3. Any of the following:
a. A strip thickness of 0.02 mm or less; or
Technical Note:
'Nanocrystalline' materials in 1C003.c. are those materials having a crystal grain size of 50 nm or less, as determined by X-ray diffraction.
1C004 Uranium titanium alloys or tungsten alloys with a "matrix" based on iron, nickel or
copper, having all of the following:
a. A density exceeding 17.5 g/cm3;
b. An elastic limit exceeding 880 MPa;
c. An ultimate tensile strength exceeding 1,270 MPa; and
d. An elongation exceeding 8%.
1C005 "Superconductive" "composite" conductors in lengths exceeding 100 m or with a mass
exceeding 100 g, as follows:
a. Multifilamentary "superconductive" "composite" conductors containing one or more niobium-titanium filaments:
1. Embedded in a "matrix" other than a copper or copper-based mixed "matrix"; or
2. Having a cross-section area less than 0.28 x 10-4 mm2 (6 µm in diameter for circular filaments);
b. "Superconductive" "composite" conductors consisting of one or more "superconductive" filaments other than niobium-titanium, having all of the following:
1. A "critical temperature" at zero magnetic induction exceeding 9.85 K
(-263.31°C) but less than 24 K (-249.16°C);
2. A cross-section area less than 0.28 x 10-4 mm2; and
3. Remaining in the "superconductive" state at a temperature of 4.2 K
1C006 Fluids and lubricating materials, as follows:
a. Hydraulic fluids containing, as their principal ingredients, any of the following compounds or materials:
1. Synthetic silahydrocarbon oils, having all of the following:
Technical Note:
a. A flash point exceeding 477 K (204°C);
b. A pour point at 239 K (-34°C) or less;
c. A viscosity index of 75 or more; and
d. A thermal stability at 616 K (343°C); or
2. Chlorofluorocarbons, having all of the following:
Technical Note:
a. No flash point;
b. An autogenous ignition temperature exceeding 977 K (704°C);
d. A viscosity index of 80 or more; and
e. A boiling point at 473 K (200°C) or higher;
b. Lubricating materials containing, as their principal ingredients, any of the following compounds or materials:
1. Phenylene or alkylphenylene ethers or thio-ethers, or their mixtures, containing more than two ether or thio-ether functions or mixtures thereof; or
2. Fluorinated silicone fluids with a kinematic viscosity of less than 5,000 mm2/s (5,000 centistokes) measured at 298 K (25°C);
1. Dibromotetrafluoroethane;
3. Polybromotrifluoroethylene;
d. Fluorocarbon electronic cooling fluids, having all of the following characteristics:
1. Containing 85% by weight or more of any of the following, or mixtures thereof:
a. Monomeric forms of perfluoropolyalkylether-triazines or perfluoroaliphatic-ethers;
c. Perfluorocycloalkanes; or
d. Perfluoroalkanes;
2. Density at 298 K (25°C) of 1.5 g/ml or more;
3. In a liquid state at 273 K (0°C); and
4. Containing 60% or more by weight of fluorine.
1C006 continued
For the purpose of 1C006:
a. Flash point is determined using the Cleveland Open Cup Method described in ASTM D-92 or national equivalents;
b. Pour point is determined using the method described in ASTM D-97 or national equivalents;
c. Viscosity index is determined using the method described in ASTM D-2270 or national equivalents;
d. Thermal stability is determined by the following test procedure or national equivalents:
The chamber is purged with nitrogen, sealed at atmospheric pressure and the temperature raised to and maintained at 644 ± 6 K (371 ± 6°C) for six hours;
1. The loss in weight of each ball is less than 10 mg/mm2 of ball surface;
2. The change in original viscosity as determined at 311 K (38°C) is less than 25%; and
e. Autogenous ignition temperature is determined using the method described in ASTM E-659 or national equivalents.
1C007 Ceramic base materials, non-"composite" ceramic materials, ceramic-"matrix"
"composite" materials and precursor materials, as follows:
Note: 1C007.b. does not control abrasives.
c. Ceramic-ceramic "composite" materials with a glass or oxide-"matrix" and reinforced with fibres having all of the following:
a. Si-N;
b. Si-C;
d. Si-O-N; and
2. Having a specific tensile strength exceeding 12.7 x 103m;
d. Ceramic-ceramic "composite" materials, with or without a continuous metallic phase, incorporating particles, whiskers or fibres, where carbides or nitrides of silicon, zirconium or boron form the "matrix";
1C007 continued
e. Precursor materials (i.e., special purpose polymeric or metallo-organic materials) for producing any phase or phases of the materials specified in 1C007.c., as follows:
1. Polydiorganosilanes (for producing silicon carbide);
2. Polysilazanes (for producing silicon nitride);
3. Polycarbosilazanes (for producing ceramics with silicon, carbon and nitrogen components);
f. Ceramic-ceramic "composite" materials with an oxide or glass "matrix" reinforced with continuous fibres from any of the following systems:
1. Al2O3; or
2. Si-C-N.
Note: 1C007.f. does not control "composites" containing fibres from these systems with a fibre tensile strength of less than 700 MPa at 1,273 K (1,000°C) or fibre tensile creep resistance of more than 1% creep strain at 100 MPa load and 1,273 K (1,000°C) for 100 hours.
1C008 Non-fluorinated polymeric substances, as follows:
a. 1. Bismaleimides;
3. Aromatic polyimides;
4. Aromatic polyetherimides having a glass transition temperature (Tg) exceeding 513 K (240°C) determined using the dry method described in ASTM D 3418;
Note: 1C008.a. does not control non-fusible compression moulding powders or moulded forms.
b. Thermoplastic liquid crystal copolymers having a heat distortion temperature exceeding 523 K (250°C) measured according to ASTM D-648, method A, or national equivalents, with a load of 1.82 N/mm2 and composed of:
a. Phenylene, biphenylene or naphthalene; or
2. Any of the following acids:
a. Terephthalic acid;
b. 6-hydroxy-2 naphthoic acid; or
c. 4-hydroxybenzoic acid;
c. Polyarylene ether ketones, as follows:
2. Polyether ketone ketone (PEKK);
3. Polyether ketone (PEK);
4. Polyether ketone ether ketone ketone (PEKEKK);
d. Polyarylene ketones;
e. Polyarylene sulphides, where the arylene group is biphenylene, triphenylene or combinations thereof;
1C008 continued
f. Polybiphenylenethersulphone.
Technical Note:
The glass transition temperature (Tg) for 1C008 materials is determined using the method described in ASTM D 3418 using the dry method.
1C009 Unprocessed fluorinated compounds, as follows:
1C010 "Fibrous or filamentary materials" which may be used in organic "matrix", metallic
"matrix" or carbon "matrix" "composite" structures or laminates, as follows:
N.B.: SEE ALSO 1C210.
a. Organic "fibrous or filamentary materials", having all of the following:
1. A "specific modulus" exceeding 12.7 x 106 m; and
2. A "specific tensile strength" exceeding 23.5 x 104 m;
Note: 1C010.a. does not control polyethylene.
b. Carbon "fibrous or filamentary materials", having all of the following:
1. A "specific modulus" exceeding 12.7 x 106 m; and
Note: 1C010.b. does not control fabric made from "fibrous or filamentary materials" for the repair of aircraft structures or laminates, in which the size of individual sheets does not exceed 50 cm x 90 cm.
Technical Note:
Properties for materials described in 1C010.b. should be determined using SACMA recommended methods SRM 12 to 17, or national equivalent tow tests, such as Japanese Industrial Standard JIS-R-7601, Paragraph 6.6.2., and based on lot average.
1C010 continued
1. A "specific modulus" exceeding 2.54 x 106 m; and
Note: 1C010.c. does not control:
1. Discontinuous, multiphase, polycrystalline alumina fibres in chopped fibre or random mat form, containing 3 weight percent or more silica, with a specific modulus of less than 10 x 106 m;
3. Boron fibres;
4. Discontinuous ceramic fibres with a melting, softening, decomposition or sublimation point lower than 2,043 K (1,770°C) in an inert environment.
d. "Fibrous or filamentary materials":
a. Polyetherimides specified in 1C008.a.; or
2. Composed of materials specified in 1C010.d.1.a. or 1C010.d.1.b. and "commingled" with other fibres specified in 1C010.a., 1C010.b. or 1C010.c.;
e. Resin-impregnated or pitch-impregnated fibres (prepregs), metal or carbon-coated fibres (preforms) or "carbon fibre preforms", as follows:
1. Made from "fibrous or filamentary materials" specified in 1C010.a., 1C010.b. or 1C010.c.;
2. Made from organic or carbon "fibrous or filamentary materials":
b. With a "specific modulus" exceeding 10.15 x 106 m;
c. Not controlled by 1C010.a. or 1C010.b.; and
d. When impregnated with materials specified in 1C008 or 1C009.b., having a glass transition temperature (Tg) exceeding 383 K (110°C) or with phenolic or epoxy resins, having a glass transition temperature (Tg) equal to or exceeding 418 K (145°C).
Notes: 1C010.e. does not control:
a. Epoxy resin "matrix" impregnated carbon "fibrous or filamentary materials" (prepregs) for the repair of aircraft structures or laminates, in which the size of individual sheets of prepreg does not exceed 50 cm x 90 cm;
b. Prepregs when impregnated with phenolic or epoxy resins having a glass transition temperature (Tg) less than 433 K (160°C) and a cure temperature lower than the glass transition temperature.
Technical Note:
The glass transition temperature (Tg) for 1C010.e. materials is determined using the method described in ASTM D 3418 using the dry method. The glass transition temperature for phenolic and epoxy resins is determined using the method described in ASTM D 4065 at a frequency of 1Hz and a heating rate of 2 K (°C) per minute using the dry method.
1C011 Metals and compounds, as follows:
N.B.: SEE ALSO MILITARY GOODS CONTROLS and 1C111.
Technical Note:
The natural content of hafnium in the zirconium (typically 2% to 7%) is counted with the zirconium.
Note: The metals or alloys listed in 1C011.a. are controlled whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium.
b. Boron or boron carbide of 85% purity or higher and a particle size of 60 µm or less;
c. Guanidine nitrate;
d. Nitroguanidine (NQ) (CAS 556-88-7).
1C012 Materials as follows:
Technical Note:
Note: 1C012.a. does not control:
a. Shipments with a plutonium content of 1 g or less;
Note: 1C012.b. does not control shipments with a neptunium-237 content of 1 g or less.
1C101 Materials and devices for reduced observables such as radar reflectivity,
ultraviolet/infrared signatures and acoustic signatures, other than those specified
in 1C001, usable in "missiles" and their subsystems.
Note 1: 1C101 includes:
b. Coatings, including paints, specially designed for reduced or tailored reflectivity or emissivity in the microwave, infra red or ultra violet regions of the electromagnetic spectrum.
Note 2: 1C101 does not include coatings when specially used for the thermal control of satellites.
1C102 Resaturated pyrolized carbon-carbon materials designed for space launch vehicles
specified in 9A004 or sounding rockets specified in 9A104.
1C107 Graphite and ceramic materials, other than those specified in 1C007, as follows:
a. Fine grain recrystallised bulk graphites having a bulk density of 1.72 g/cm3 or greater, measured at 288 K (15°C), and having a particle size of 100 micrometres or less, usable for "missile" nozzles and reentry vehicle nose tips;
b. Pyrolytic or fibrous reinforced graphites, usable for "missile" nozzles and reentry vehicle nose tips;
N.B.: See also 0C004
c. Ceramic composite materials (dielectric constant less than 6 at frequencies from 100 Hz to 10,000 MHz) usable for "missile" radomes;
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;
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:
b. Beryllium;
c. Magnesium; or
d. Alloys of the metals specified by a. to c. above;
The natural content of hafnium in the zirconium (typically 2% to 7%) is counted with the zirconium.
a. Dinitrogen trioxide;
b. Nitrogen dioxide/dinitrogen tetroxide;
c. Dinitrogen pentoxide;
1C111 continued
b. Polymeric substances:
1. Carboxy-terminated polybutadiene (CTPB);
2. Hydroxy-terminated polybutadiene (HTPB), other than that specified in the Military Goods Controls;
4. Polybutadiene-acrylic acid-acrylonitrile (PBAN);
c. Other propellant additives and agents:
1. SEE MILITARY GOODS CONTROLS FOR
2. Triethylene glycol dinitrate (TEGDN);
4. Trimethylolethane trinitrate (TMETN);
6. Ferrocene derivatives other than those specified in the Military Goods Controls.
and the use of substitutional elements or precipitates to produce age-hardening) having
an ultimate tensile strength of 1,500 MPa or greater, measured at 293 K (20°C), in the form of sheet, plate or tubing with a wall or plate thickness equal to or less than 5 mm.
or atomized particles of 500 micrometre diameter or less with a purity of 97% or greater for fabrication of "missile" motor components, i.e., heat shields, nozzle substrates, nozzle throats and thrust vector control surfaces.
1C118 Titanium-stabilised duplex stainless steel (Ti-DSS) having all of the following:
a. Having all of the following characteristics:
1. Containing 17.0 - 23.0 weight percent chromium and 4.5 - 7.0 weight percent nickel;
2. Having a titanium content of greater than 0.10 weight percent; and
3. A ferritic-austenitic microstructure (also referred to as a two-phase microstructure ) of which at least 10 percent is austenite by volume (according to ASTM E-1181-87 or national equivalents); and
b. Having any of the following forms:
2. Sheets having a width of 600 mm or more and a thickness of 3 mm or less; or
1. 'Capable of' an ultimate tensile strength of 460 MPa or more at 293 K (20°C); and
2. In the form of tubes or cylindrical solid forms (including forgings) with an outside diameter of more than 75 mm;
1. 'Capable of' an ultimate tensile strength of 900 MPa or more at 293 K (20°C); and
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:
1. A "specific modulus" of 12.7 x 106 m or greater; or
2. A "specific tensile strength" of 235 x 103 m or greater;
Note: 1C210.a. does not control aramid 'fibrous or filamentary materials' having 0.25 percent or more by weight of an ester based fibre surface modifier;
1. A "specific modulus" of 3.18 x 106 m or greater; and
Technical Note:
The resin forms the matrix of the composite.
1C216 Maraging steel, other than that specified in 1C116, 'capable of' an ultimate tensile
Technical Note:
1C225 Boron 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.
Note: In 1C225 mixtures containing boron include boron loaded materials.
The natural isotopic abundance of boron-10 is approximately 18.5 weight per cent (20 atom per cent).
1C226 Tungsten, tungsten carbide, and alloys containing more than 90% tungsten by weight,
a. In forms with a hollow cylindrical symmetry (including cylinder segments) with an inside diameter between 100 mm and 300 mm; and
b. A mass greater than 20 kg.
1C227 Calcium having both of the following characteristics:
a. Containing less than 1,000 parts per million by weight of metallic impurities other than magnesium; and
b. Containing less than 10 parts per million by weight of boron.
1C228 Magnesium having both of the following characteristics:
a. Containing less than 200 parts per million by weight of metallic impurities other than calcium; and
b. Containing less than 10 parts per million by weight of boron.
1C229 Bismuth having both of the following characteristics:
a. A purity of 99.99% or greater by weight; and
b. Containing less than 10 parts per million by weight of silver.
1C230 Beryllium metal, alloys containing more than 50% beryllium by weight, beryllium
compounds, manufactures thereof, and waste or scrap of any of the foregoing.
Note: 1C230 does not control the following:
a. Metal windows for X-ray machines, or for bore-hole logging devices;
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.
1C231 Hafnium 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.
1C232 Helium-3 (3He), mixtures containing helium-3, and products or devices
containing any of the foregoing.
Note: 1C232 does not control a product or device containing less than 1 g of helium-3.
1C233 Lithium enriched in the lithium-6 (6Li) isotope to greater than its natural isotopic
abundance, and products or devices containing enriched lithium, as follows: elemental lithium, alloys, compounds, mixtures containing lithium, manufactures thereof, waste or scrap of any of the foregoing.
Note: 1C233 does not control thermoluminescent dosimeters.
Technical Note:
The natural isotopic abundance of lithium-6 is approximately 6.5 weight per cent (7.5 atom per cent).
by weight, as follows: metal, alloys containing more than 50% zirconium by weight, compounds, manufactures thereof, waste or scrap of any of the foregoing.
Note: 1C234 does not control zirconium in the form of foil having a thickness of 0.10 mm or less.
1C235 Tritium, tritium compounds, mixtures containing tritium in which the ratio of tritium to
hydrogen atoms exceeds 1 part in 1000, and products or devices containing any of the foregoing.
Note: 1C235 does not control a product or device containing less than 1.48 x 103 GBq (40 Ci) of tritium.
1C236 Alpha-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.
radium-226, manufactures therof, and products or devices containing any of the foregoing.
Note: 1C237 does not control the following:
b. A product or device containing less than 0.37 GBq (10 millicuries) of radium-226.
1C238 Chlorine trifluoride (ClF3).
1C239 High 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.
1C240 Nickel powder and porous nickel metal, other than those specified in 0C005, as
follows:
a. Nickel powder having both of the following characteristics:
1. A nickel purity content of 99.0% or greater by weight; and
2. A mean particle size of less than 10 micrometres measured by American Society for Testing and Materials (ASTM) B330 standard;
b. Porous nickel metal produced from materials specified in 1C240.a.
Note: 1C240 does not control the following:
a. Filamentary nickel powders;
b. Single porous nickel sheets with an area of 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.
1C350 Chemicals, which may be used as precursors for toxic chemical agents, as follows, and "chemical mixtures" containing one or more thereof:
1. Thiodiglycol (111-48-8);
2. Phosphorus oxychloride (10025-87-3);
3. Dimethyl methylphosphonate (756-79-6);
4. SEE MILITARY GOODS CONTROLS FOR
5. Methyl phosphonyl dichloride (676-97-1);
6. Dimethyl phosphite (868-85-9);
7. Phosphorus trichloride (7719-12-2);
8. Trimethyl phosphite (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);
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);
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 (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);
37. 3-Quinuclidone (3731-38-2);
1C350 continued
38. Phosphorus pentachloride (10026-13-8);
39. Pinacolone (75-97-8);
40. Potassium cyanide (151-50-8);
41. Potassium bifluoride (7789-29-9);
42. Ammonium hydrogen fluoride (1341-49-7);
43. Sodium fluoride (7681-49-4);
44. Sodium bifluoride (1333-83-1);
45. Sodium cyanide (143-33-9);
46. Triethanolamine (102-71-6);
47. Phosphorus pentasulphide (1314-80-3);
48. Di-isopropylamine (108-18-9);
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).
Note 1: For exports to "States not Party to the Chemical Weapons Convention", 1C350 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C350.1, .3, .5, .11, .12, .13, .17, .18, .21, .22, .26, .27, .28, .31, .32, .33, .34, .35, .36 and .54 in which no individually specified chemical constitutes more than 10% by the weight of the mixture.
Note 2: For exports to "States Party to the Chemical Weapons Convention", 1C350 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C350.1, .3, .5, .11, .12, .13, .17, .18, .21, .22, .26, .27, .28, .31, .32, .33, .34, .35, .36 and .54 in which no individually specified chemical constitutes more than 30% by the weight of the mixture.
1. Chikungunya virus;
3. Dengue fever virus;
5. Ebola virus;
7. Junin virus;
8. Lassa fever virus;
9. Lymphocytic choriomeningitis 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;
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;
3. Brucella melitensis;
5. Chlamydia psittaci;
1C351 c. continued
7. Francisella tularensis;
9. Burkholderia pseudomallei (Pseudomonas pseudomallei);
10. Salmonella typhi;
11. Shigella dysenteriae;
12. Vibrio cholerae;
13. Yersinia pestis;
d. "Toxins", as follows, and "sub-unit of toxins" thereof:
1. Botulinum toxins;
Note: 1C351.d.1. does not control botulinum toxins 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.
2. Clostridium perfringens toxins;
3. Conotoxin;
5. Saxitoxin;
7. Staphylococcus aureus toxins;
9. Verotoxin;
11. Aflatoxins
1. African swine fever virus;
a. Uncharacterised; or
1. Type A viruses with an IVPI (intravenous pathogenicity index) in 6 week old chickens of greater than 1.2; or
3. Bluetongue virus;
5. Goat pox virus;
1C352 a. continued
6. Porcine herpes virus (Aujeszky's disease);
8. Lyssa virus;
9. Newcastle disease virus;
11. Porcine enterovirus type 9 (swine vesicular disease virus);
13. Sheep pox virus;
14. Teschen disease virus;
15. Vesicular stomatitis virus;
b. Mycoplasma mycoides, whether natural, enhanced or modified, either in the form of "isolated live cultures" or as material including living material which has been deliberately inoculated or contaminated with such Mycoplasma mycoides.
Note: 1C352 does not control "vaccines".
1C353 Genetically-modified "microorganisms", as follows:
a. Genetically modified "microorganisms" or genetic elements that contain nucleic acid sequences associated with pathogenicity of organisms specified in 1C351.a. to c. or 1C352 or 1C354;
b. Genetically modified "microorganisms" or genetic elements that contain nucleic acid sequences coding for any of the "toxins" specified in 1C351.d. or "sub-units of toxins" thereof.
1C354 Plant pathogens, as follows:
a. Bacteria, whether natural, enhanced or modified, either in the form of "isolated live cultures" or as material which has been deliberately inoculated or contaminated with such cultures, as follows:
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;
1. Colletotrichum coffeanum var. virulans (Colletotrichum kahawae);
3. Microcyclus ulei (syn. Dothidella ulei);
5. Puccinia striiformis (syn. Puccinia glumarum);
6. Magnaporthe grisea (pyricularia grisea/pyricularia oryzae).
1C450 Toxic chemicals and toxic chemical precursors, as follows, and "chemical mixtures" containing one or more thereof:
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);
BZ: 3-Quinuclidinyl benzilate (6581-06-2);
5. Cyanogen chloride (506-77-4);
7. Chloropicrin: Trichloronitromethane (76-06-2);
Note 1: For exports to "States not Party to the Chemical Weapons Convention", 1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C450.a.1. and .a.2. in which no individually specified chemical constitutes more than 1% by the weight of the mixture.
Note 2: For exports to "States Party to the Chemical Weapons Convention", 1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C450.a.1. and .a.2. in which no individually specified chemical constitutes more than 30% by the weight of the mixture.
Note 3: 1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C450.a.4., .a.5., .a.6. and .a.7. in which no individually specified chemical constitutes more than 30% by the weight of the mixture.
b. Toxic chemical precursors, as follows:
1. Chemicals, other than those specified in the Military Goods Controls or in 1C350, containing a phosphorus atom to which is bonded one methyl, ethyl or propyl (normal or iso) group but not further carbon atoms;
2. N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] phosphoramidic dihalides;
3. Dialkyl [methyl, ethyl or propyl (normal or iso)] N,N-dialkyl [methyl, ethyl or propyl (normal or iso)]-phosphoramidates, other than Diethyl-N,N-dimethylphosphoramidate which is specified in 1C350;
1C450 b. continued
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;
Note: 1C450.b.5. does not control the following:
a. N,N-Dimethylaminoethanol (108-01-0) and corresponding protonated salts;
b. Protonated salts of N,N-Diethylaminoethanol (100-37-8);
7. Ethyldiethanolamine (139-87-7);
Note 1: For exports to "States not Party to the Chemical Weapons Convention", 1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C450.b.1., .b.2., .b.3., .b.4., .b.5. and .b.6. in which no individually specified chemical constitutes more than 10% by the weight of the mixture.
Note 2: For exports to "States Party to the Chemical Weapons Convention", 1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C450.b.1., .b.2., .b.3., .b.4., .b.5. and .b.6. in which no individually specified chemical constitutes more than 30% by the weight of the mixture.
Note 3: 1C450 does not control "chemical mixtures" containing one or more of the chemicals specified in entries 1C450.b.7., and .b.8. in which no individually specified chemical constitutes more than 30% by the weight of the mixture.
Note: 1C450 does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use.
1D Software
1D001 "Software" specially designed or modified for the "development", "production" or "use"
1D002 "Software" for the "development" of organic "matrix", metal "matrix" or carbon
"matrix" laminates or "composites".
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.
1E Technology
1E001 "Technology" according to the General Technology Note for the "development"
or "production" of equipment or materials specified in 1A001.b., 1A001.c., 1A002
to 1A005, 1B or 1C.
1E002 Other "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;
1E002 continued
c. "Technology" for the design or "production" of the following base materials or non-"composite" ceramic materials:
1. Base materials having all of the following characteristics:
a. Any of the following compositions:
1. Single or complex oxides of zirconium and complex oxides of silicon or aluminium;
2. Single nitrides of boron (cubic crystalline forms);
3. Single or complex carbides of silicon or boron; or
4. Single or complex nitrides of silicon;
b. Total metallic impurities, excluding intentional additions, of less than:
2. 5,000 ppm for complex compounds or single nitrides; and
c. Being any of the following:
1. Zirconia with an average particle size equal to or less than 1 µm and no more than 10% of the particles larger than 5 µm;
3. Having all of the following:
a. Platelets with a length to thickness ratio exceeding 5;
b. Whiskers with a length to diameter ratio exceeding 10 for diameters less than 2 µm; and
c. Continuous or chopped fibres less than 10 µm in diameter;
2. Non-"composite" ceramic materials composed of the materials described in 1E002.c.1;
Note: 1E002.c.2. does not control "technology" for the design or production of abrasives.
e. "Technology" for the installation, maintenance or repair of materials specified in 1C001;
f. "Technology" for the repair of "composite" structures, laminates or materials specified in 1A002, 1C007.c. or 1C007.d.
Note: 1E002.f. does not control "technology" for the repair of "civil aircraft" structures using carbon "fibrous or filamentary materials" and epoxy resins, contained in aircraft manufacturers' manuals.
1E101 "Technology" according to the General Technology Note for the "use" of goods
specified in 1A102, 1B001, 1B101, 1B102, 1B115 to 1B119, 1C001, 1C101, 1C107, 1C111 to 1C117, 1D101 or 1D103.
1E102 "Technology" according to the General Technology Note for the"development" of
"software" specified in 1D001, 1D101 or 1D103.
1E103 "Technology" for the regulation of temperature, pressure or atmosphere in autoclaves
or hydroclaves, when used for the "production" of "composites" or partially processed "composites".
1E104 "Technology" relating to the "production" of pyrolytically derived materials formed
Note: 1E104 includes "technology" for the composition of precursor gases, flow-rates and process control schedules and parameters.
1E201 "Technology" according to the General Technology Note for the "use" of goods
specified in 1A002, 1A202, 1A225 to 1A227, 1B201, 1B225 to 1B233, 1C002.a.2.c. or d., 1C010.b., 1C202, 1C210, 1C216, 1C225 to 1C240 or 1D201.
1E202 "Technology" according to the General Technology Note for the"development" or
"production" of goods specified in 1A202 or 1A225 to 1A227.
1E203 "Technology" according to the General Technology Note for the"development" of
"software" specified in 1D201.
CATEGORY 2 - MATERIALS PROCESSING
2A Systems, Equipment and Components
N.B.: For quiet running bearings, see the Military Goods Controls.
2A001 Anti-friction bearings and bearing systems, as follows, and components therefor:
Note: 2A001 does not control balls with tolerances specified by the manufacturer in accordance with ISO 3290 as grade 5 or worse.
a. Ball bearings and solid roller bearings having tolerances specified by the manufacturer in accordance with 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 rings, balls or rollers made from monel or beryllium;
Note: 2A001.a. does not control tapered roller bearings.
b. Other ball bearings and solid roller bearings having tolerances specified by the manufacturer in accordance with ISO 492 Tolerance Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9 or RBEC-9, or other national equivalents), or better;
Note: 2A001.b. does not control tapered roller bearings.
1. Materials with flux densities of 2.0 T or greater and yield strengths greater than 414 MPa;
3. High temperature (450 K (177°C) and above) position sensors.
2A225 Crucibles made of materials resistant to liquid actinide metals, as follows:
1. A volume of between 150 cm3 and 8,000 cm3; and
2. Made of or coated with any of the following materials, having a purity of 98% or greater by weight:
a. Calcium fluoride (CaF2);
b. Calcium zirconate (metazirconate) (CaZrO3);
c. Cerium sulphide (Ce2S3);
e. Hafnium oxide (hafnia) (HfO2);
f. Magnesium oxide (MgO);
g. Nitrided niobium-titanium-tungsten alloy (approximately 50% Nb, 30% Ti, 20% W);
i. Zirconium oxide (zirconia) (ZrO2);
b. Crucibles having both of the following characteristics:
1. A volume of between 50 cm3 and 2,000 cm3; and
2. Made of or lined with tantalum, having a purity of 99.9% or greater by weight;
2A225 continued
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; and
3. Coated with tantalum carbide, nitride, boride, or any combination thereof.
2A226 Valves having all of the following characteristics:
a. A 'nominal size' of 5 mm or greater;
b. Having a bellows seal; and
c. Wholly made of or lined with aluminium, aluminium alloy, nickel, or nickel alloy containing more than 60% nickel by weight.
For valves with different inlet and outlet diameters, the 'nominal size' in 2A226 refers to the smallest diameter.
2B Test, Inspection and Production Equipment
Technical Notes:
2. For the purposes of 2B, the number of axes which can be co-ordinated simultaneosly for "contouring control" is the number of axes which affect relative movement between any one workpiece and a tool, cutting head or grinding wheel which is cutting or removing material from the workpiece. This does not include any additional axes which affect other relative movement within the machine. Such axes include:
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'.
5. Stated positioning accuracy levels derived from measurements made according to ISO 230/2 (1988)1 or national equivalents may be used for each machine tool model instead of 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 machine model.
b. Measure the linear axis accuracies according to ISO 230/2 (1988) [4] ;
[4] Manufacturers calculating positioning accuracy in accordance with ISO 230/2 (1997) should consult the competent authorities of the Member State in which they are established.
2B Determination of Stated Values continued
d. Determine the mean value of the A-value of each axis. This mean value  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  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.
2B001 Machine tools, as follows, and any combination thereof, for removing (or cutting)
N.B.: SEE ALSO 2B201.
Note 1: 2B001 does not control special purpose machine tools limited to the manufacture of gears. For such machines see 2B003.
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
1. Positioning accuracy with "all compensations available" equal to or less (better) than 6 µm according to ISO 230/2 (1988) [5] or national equivalents along any linear axis ; and
[5] Manufacturers calculating positioning accuracy in accordance with ISO 230/2 (1997) should consult the competent authorities of the Member State in which they are established.
Note: 2B001.a. does not control turning machines specially designed for the production of contact lenses.
b. Machine tools for milling, having any of the following characteristics:
1. Having all of the following:
a. Positioning accuracy with "all compensations available" equal to or less (better) than 6 µm according to ISO 230/2 (1988)2 or national equivalents along any linear axis; and
b. Three linear axes plus one rotary axis 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)2 or national equivalents along any linear axis;
4. Fly cutting machines, having all of the following characteristics:
a. Spindle "run-out" and "camming" less (better) than 0.0004 mm TIR; and
2B001 continued
c. Machine tools for grinding, having any of the following characteristics:
1. Having all of the following:
a. Positioning accuracy with "all compensations available" equal to or less (better) than 4 µm according to ISO 230/2 (1988) [6] or national equivalents along any linear axis; and
b. Three or more axes which can be coordinated simultaneously for "contouring control"; or
2. Five or more axes which can be coordinated simultaneously for "contouring control";
1. Cylindrical external, internal, and external-internal grinding machines having all the following characteristics:
a. Limited to cylindrical grinding; and
2. Machines designed specifically as jig grinders having any of the following characteristics:
a. The c-axis is used to maintain the grinding wheel normal to the work surface; or
3. Tool or cutter grinding machines limited to the production of tools or cutters.
5. Surface grinders.
more rotary axes which can be coordinated simultaneously for "contouring control";
1. Removing material by means of any of the following:
a. Water or other liquid jets, including those employing abrasive additives;
c. "Laser" beam; and
2. Having two or more rotary axes which:
b. Have a positioning accuracy of less (better) than 0.003°;
f. Deep-hole-drilling machines and turning machines modified for deep-hole-drilling, having a maximum depth-of-bore capability exceeding 5,000 mm and specially designed components therefor.
2B003 "Numerically controlled" or manual machine tools, and specially designed
components, controls and accessories therefor, specially designed for the shaving, finishing, grinding or honing of hardened (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).
and accessories therefor:
N.B.: SEE ALSO 2B104 and 2B204.
a. A controlled thermal environment within the closed cavity and a chamber cavity with an inside diameter of 406 mm or more; and
1. A maximum working pressure exceeding 207 MPa;
3. A facility for hydrocarbon impregnation and removal of resultant gaseous degradation products.
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.
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. "Stored programme controlled" chemical vapour deposition (CVD) production equipment having all of the following:
1. Process modified for one of the following:
b. Controlled nucleation thermal deposition (CNTD); or
c. Plasma enhanced or plasma assisted CVD; and
a. Incorporating high vacuum (equal to or less than 0.01 Pa) rotating seals; or
b. Incorporating in situ coating thickness control;
c. "Stored programme controlled" electron beam physical vapour deposition (EB-PVD) production equipment incorporating power systems rated for over 80 kW, having any of the following:
1. A liquid pool level "laser" control system which regulates precisely the ingots feed rate; or
2. A computer controlled rate monitor operating on the principle of photo-luminescence of the ionised atoms in the evaporant stream to control the deposition rate of a coating containing two or more elements;
2B005 continued
1. Operating at reduced pressure controlled atmosphere (equal to or less than 10 kPa measured above and within 300 mm of the gun nozzle exit) in a vacuum chamber capable of evacuation down to 0.01 Pa prior to the spraying process; or
2. Incorporating in situ coating thickness control;
1. Coating thickness on the substrate and rate control; or
Note: 2B005 does not control chemical vapour deposition, cathodic arc, sputter deposition, ion plating or ion implantation equipment specially designed for cutting or machining tools.
2B006 Dimensional inspection or measuring systems and equipment, as follows:
a. Computer controlled, "numerically controlled" or "stored programme controlled" dimensional inspection machines, having a three dimensional length (volumetric) "measurement uncertainty" equal to or less (better) than (1.7 + L/1,000) µm (L is the measured length in mm) tested according to ISO 10360-2;
a. Non-contact type measuring systems with a "resolution" equal to or less (better) than 0.2 µm within a measuring range up to 0.2 mm;
b. Linear voltage differential transformer systems having all of the following characteristics:
2. Drift equal to or less (better) than 0.1% per day at a standard ambient test room temperature ±1 K; or
c. Measuring systems having all of the following:
1. Containing a "laser"; and
2B006 b. 1. c. continued
2. Maintaining, for at least 12 hours, over a temperature range of ±1 K around a standard temperature and at a standard pressure, all of the following:
a. A "resolution" over their full scale of 0.1 µm or less (better); and
b. A "measurement uncertainty" equal to or less (better) than (0.2 + L/2,000) µm (L is the measured length in mm);
Note: 2B006.b.1. does not control measuring interferometer systems, without closed or open loop feedback, containing a "laser" to measure slide movement errors of machine-tools, dimensional inspection machines or similar equipment.
2. Angular measuring instruments having an "angular position deviation" equal to or less (better) than 0.00025°;
Note: 2B006.b.2. does not control optical instruments, such as autocollimators, using collimated light to detect angular displacement of a mirror.
c. Equipment for measuring surface irregularities, by measuring optical scatter as a function of angle, with a sensitivity of 0.5 nm or less (better).
Note 1: 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.
Note 2: A machine described in 2B006 is controlled if it exceeds the control threshold anywhere within its operating range.
2B007 "Robots" having any of the following characteristics and specially designed controllers
and "end-effectors" therefor:
N.B.: SEE ALSO 2B207.
a. Capable in real time of full three-dimensional image processing or full three-dimensional 'scene analysis' to generate or modify "programmes" or to generate or modify numerical programme data;
The 'scene analysis' limitation does not include approximation of the third dimension by viewing at a given angle, or limited grey scale interpretation for the perception of depth or texture for the approved tasks (2 1/2 D).
b. Specially designed to comply with national safety standards applicable to explosive munitions environments;
c. Specially designed or rated as radiation-hardened to withstand a total radiation dose greater than 5 x 103 Gy (silicon) without operational degradation; or
The term Gy(silicon) refers to the energy in Joules per kilogram absorbed by an unshielded silicon sample when exposed to ionising radiation.
2B008 Assemblies or units, specially designed for machine tools, or dimensional inspection
a. Linear position feedback units (e.g., inductive type devices, graduated scales, infrared systems or "laser" systems) having an overall "accuracy" less (better) than (800 + (600 x L x 10-3)) nm (L equals the effective length in mm);
N.B.: For "laser" systems see also Note to 2B006.b.1.
b. Rotary position feedback units (e.g., inductive type devices, graduated scales, infrared systems or "laser" systems) having an "accuracy" less (better) than 0.00025°;
N.B.: For "laser" systems see also Note to 2B006.b.1.
2B009 Spin-forming machines and flow-forming machines, which, according to the
manufacturer's technical specification, can be equipped with "numerical control"
units or a computer control and having all of the following:
N.B.: SEE ALSO 2B109 AND 2B209.
a. Two or more controlled axes of which at least two can be coordinated simultaneously for "contouring control"; and
Technical Note:
N.B.: SEE ALSO 2B204.
a. Maximum working pressure of 69 MPa or greater;
b. Designed to achieve and maintain a controlled thermal environment of 873 K (600°C) or greater; and
c. Possessing a chamber cavity with an inside diameter of 254 mm or greater.
densification of carbon-carbon composites.
2B109 Flow-forming machines, other than those specified in 2B009, and specially designed
N.B.: SEE ALSO 2B209.
a. Flow-forming machines having all of the following:
1. According to the manufacturer's technical specification, can be equipped with "numerical control" units or a computer control, even when not equipped with such units; and
b. Specially designed components for flow-forming machines specified in 2B009 or 2B109.a.
Note: 2B109 does not control machines that are not usable in the production of propulsion components and equipment (e.g. motor cases) for systems specified in 9A005, 9A007.a. or 9A105.a.
Technical Note:
c. Vibration thrusters (shaker units), with or without associated amplifiers, capable of imparting a force of 50 kN, measured 'bare table', or greater and usable in vibration test systems specified in 2B116.a.;
d. Test piece support structures and electronic units designed to combine multiple shaker units in a system capable of providing an effective combined force of 50 kN, measured 'bare table', or greater, and usable in vibration systems specified in 2B116.a.
Technical Note:
In 2B116, 'bare table' means a flat table, or surface, with no fixture or fittings.
2B117 Equipment and process controls, other than those specified in 2B004, 2B005.a., 2B104
N.B.: SEE ALSO 2B219.
a. Balancing machines having all the following characteristics:
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;
b. Indicator heads designed or modified for use with machines specified in 2B119.a.
Technical Note:
b. Slip rings capable of transmitting electrical power and/or signal information; and
c. Having any of the following characteristics:
1. For any single axis having all of the following:
a. Capable of rates of 400 degrees/s or more, or 30 degrees/s or less; and
2. Having a worst-case rate stability equal to or better (less) than plus or minus 0.05 % averaged over 10 degrees or more; or
3. A positioning accuracy equal to or better than 5 arc second.
Note: 2B120 does not control rotary tables designed or modified for machine tools or for medical equipment. For controls on machine tool rotary tables see 2B008.
2B121 Positioning tables (equipment capable of precise rotary positioning in any axes), other
than those specified in 2B120, having all the following characteristics:
b. A positioning accuracy equal to or better than 5 arc second.
Note: 2B121 does not control rotary tables designed or modified for machine tools or for medical equipment. For controls on machine tool rotary tables see 2B008.
2B122 Centrifuges capable of imparting accelerations above 100 g and having slip rings
2B201 Machine tools, other than those specified in 2B001, as follows, for removing or cutting metals, ceramics or "composites", which, according to the manufacturer's technical specification, can be equipped with electronic devices for simultaneous "contouring control" in two or more axes:
a. Machine tools for milling, having any of the following characteristics:
[7] Manufacturers calculating positioning accuracy in accordance with ISO 230/2 (1997) should consult the competent authorities of the Member State in which they are established.
2. Two or more contouring rotary axes;
Note: 2B201.a. does not control milling machines having the following characteristics:
b. Overall positioning accuracy on the x-axis more (worse) than 30 µm.
b. Machine tools for grinding, having any of the following characteristics:
2. Two or more contouring rotary axes.
a. Cylindrical external, internal, and external-internal grinding machines having all of the following characteristics:
2. A maximum workpiece outside diameter or length of 150 mm;
3. Not more than two axes that can be coordinated simultaneously for "contouring control"; and
4. No contouring c axis;
b. Jig grinders with axes limited to x, y, c and a where c axis is used to maintain the grinding wheel normal to the work surface, and the a axis is configured to grind barrel cams;
c. Tool or cutter grinding machines with "software" specially designed for the production of tools or cutters; or
d. Crankshaft or camshaft grinding machines.
2B204 "Isostatic presses", other than those specified in 2B004 or 2B104, and related
a. "Isostatic presses" having both of the following characteristics:
1. Capable of achieving a maximum working pressure of 69 MPa or greater; and
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.
in 2B006, as follows:
a. Computer controlled or numericaly controlled dimensional inspection machines having both of the following characteristics:
1. Two or more axes; and
2. A one-dimensional length "measurement uncertainty" equal to or less (better) than (1.25 + L/1000) µm tested with a probe of an "accuracy" of less (better) than 0.2 µm (L is the measured length in millimeters) (Ref.:VDI/VDE 2617 Parts 1 and 2);
b. Systems for simultaneously linear-angular inspection of hemishells, having both of the following characteristics:
1. "Measurement uncertainty" along any linear axis equal to or less (better) than 3.5 µm per 5 mm; and
Note 1: Machine tools that can be used as measuring machines are controlled if they meet or exceed the criteria specified for the machine tool function or the measuring machine function.
Note 2: A machine specified in 2B206 is controlled if it exceeds the control threshold anywhere within its operating range.
Technical Notes:
1. The probe used in determining the measurement uncertainty of a dimensional inspection system shall be described in VDI/VDE 2617 parts 2, 3 and 4.
2. All parameters of measurement values in 2B206 represent plus/minus i.e., not total band.
2B207 "Robots", "end-effectors" and control units, other than those specified in 2B007, as
follows:
a. "Robots" or "end-effectors" specially designed to comply with national safety standards applicable to handling high explosives (for example, meeting electrical code ratings for high explosives);
2B207 continued
b. Control units specially designed for any of the "robots" or "end-effectors" specified in 2B207.a.
2B209 Flow forming machines, spin forming machines capable of flow forming functions,
other than those specified in 2B009 or 2B109, and mandrels, as follows:
a. Machines having both of the following characteristics:
1. Three or more rollers (active or guiding); and
b. Rotor-forming mandrels designed to form cylindrical rotors of inside diameter between 75 mm and 400 mm.
Note: 2B209.a. includes machines which have only a single roller designed to deform metal plus two auxiliary rollers which support the mandrel, but do not participate directly in the deformation process.
2B219 Centrifugal multiplane balancing machines, fixed or portable, horizontal or vertical,
as follows:
a. Centrifugal balancing machines designed for balancing flexible rotors having a length of 600 mm or more and having all of the following characteristics:
1. Swing or journal diameter greater than 75 mm;
2. Mass capability of from 0.9 to 23 kg ; and
3. Capable of balancing speed of revolution greater than 5,000 r.p.m.;
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 x mm/kg per plane; and
4. Belt drive type.
2B225 Remote manipulators that can be used to provide remote actions in radiochemical
separation operations or hot cells, having either of the following characteristics:
a. A capability of penetrating 0.6 m or more of hot cell wall (through-the-wall operation); or
Techncial Note:
Remote manipulators provide translation of human operator actions to a remote operating arm and terminal fixture. They may be of 'master/slave' type or operated by joystick or keypad.
2B226 Controlled 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; and
b. Power supplies, with a specified power output of 5 kW or more, specially designed for furnaces specified in 2B226.a.
Note: 2B226.a. does not control furnaces designed for the processing of semiconductor wafers.
and related equipment as follows:
a. Arc remelt and casting furnaces having both of the following characteristics:
2. Capable of operating with melting temperatures above 1,973 K (1,700oC);
b. Electron beam melting furnaces and plasma atomization and melting furnaces, having both of the following characteristics:
1. A power of 50 kW or greater; and
2. Capable of operating with melting temperatures above 1,473 K (1,200oC).
c. Computer control and monitoring systems specially configured for any of the furnaces specified in 2B227.a. or b.
2B228 Rotor fabrication or assembly equipment, rotor straightening equipment,
a. Rotor assembly equipment for assembly of gas centrifuge rotor tube sections, baffles, and end caps;
Note: 2B228.a. includes precision mandrels, clamps, and shrink fit machines.
b. Rotor straightening equipment for alignment of gas centrifuge rotor tube sections to a common axis;
Technical Note:
In 2B228.b. such equipment normally consists of precision measuring probes linked to a computer that subsequently controls the action of, for example, pneumatic rams used for aligning the rotor tube sections.
c. Bellows-forming mandrels and dies for producing single-convolution bellows.
Technical Note:
In 2B228.c. the bellows have all of the following characteristics:
2. Length equal to or greater than 12.7 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; and
1. A full scale of less than 13 kPa and an 'accuracy' of better than + 1% of full-scale; or
For the purposes of 2B230, 'accuracy' includes non-linearity, hysteresis and repeatability at ambient temperature.
b. Pumping speed equal to or greater than 15 m3/s; and
c. Capable of producing an ultimate vacuum better than 13 mPa.
Technical Notes:
2. The ultimate vacuum is determined at the input of the pump with the input of the pump blocked off.
and electrothermal types, and other advanced systems) capable of accelerating projectiles to 2 km/s or greater.
2B350 Chemical manufacturing facilities and equipment, as follows:
a. Reaction vessels or reactors, with or without agitators, with total internal (geometric) volume greater than 0.1 m3 (100 litres) and less than 20 m3 (20,000 litres), where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:
2. Fluoropolymers;
4. Nickel or alloys with more than 40% nickel by weight;
6. Titanium or titanium alloys; or
7. Zirconium or zirconium alloys;
b. Agitators for use in reaction vessels or reactors where all surfaces of the agitator that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:
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;
7. Zirconium or zirconium alloys;
c. Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0.1 m3 (100 litres) where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:
1. Alloys with more than 25% nickel and 20% chromium by weight;
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;
7. Zirconium or zirconium alloys;
d. Heat exchangers or condensers with a heat transfer surface area greater than 0.15 m2, and less than 20 m2, 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;
4. Graphite;
6. Tantalum or tantalum alloys;
8. Zirconium or zirconium alloys;
10. Titanium carbide;
1. Alloys with more than 25% nickel and 20% chromium by weight;
3. Glass (including vitrified or enamelled coatings or glass lining);
5. Nickel or alloys with more than 40% nickel by weight;
6. Tantalum or tantalum alloys;
7. Titanium or titanium alloys; or
8. Zirconium or zirconium alloys;
f. Remotely operated filling equipment in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:
1. Alloys with more than 25% nickel and 20% chromium by weight; or
2. Nickel or alloys with more than 40% nickel by weight;
2B350 continued
g. Multiple seal valves incorporating a leak detection port, bellows-seal valves, non-return (check) valves or diaphragm valves, in which all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:
1. 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;
7. Zirconium or zirconium alloys;
h. Multi-walled piping incorporating a leak detection port, in which all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:
2. Fluoropolymers;
4. Graphite;
6. Tantalum or tantalum alloys;
7. Titanium or titanium alloys; or
8. Zirconium or zirconium alloys;
1. Alloys with more than 25% nickel and 20% chromium by weight;
3. Ferrosilicon;
5. Glass (including vitrified or enamelled coatings or glass lining);
7. Nickel or alloys with more than 40% nickel by weight;
9. Titanium or titanium alloys; or
10. Zirconium or zirconium alloys;
j. Incinerators designed to destroy chemicals specified in entry 1C350, having specially designed waste supply systems, special handling facilities and an average combustion chamber temperature greater than 1,273 K (1,000oC), 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:
2. Ceramics; or
2B351 Toxic gas monitoring systems, as follows; and dedicated detectors therefor:
a. Designed for continuous operation and usable for the detection of chemical warfare agents or chemicals specified in 1C350, at concentrations of less than 0.3 mg/m3; or
b. Designed for the detection of cholinesterase-inhibiting activity.
2B352 Equipment capable of use in handling biological materials, as follows:
a. Complete biological containment facilities at P3, P4 containment level;
Technical Note:
Technical Note:
1. Flow rate exceeding 100 litres per hour;
3. One or more sealing joints within the steam containment area; and
Technical Note:
1. Equal to or greater than 5 m2; and
1. Independently ventilated protective full or half suits;
Note: In 2B352.f.2., isolators include flexible isolators, dry boxes, anaerobic chambers, glove boxes and laminar flow hoods.
g. Chambers designed for aerosol challenge testing with "microorganisms" or "toxins" and having a capacity of 1 m3 or greater.
2C Materials
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
capable of co-ordinating simultaneously more than four axes for "contouring control".
Note: 2D002 does not control "software" specially designed or modified for the operation of machine tools not specified in Category 2.
2B104, 2B105, 2B109, 2B116, 2B117 or 2B119 to 2B122.
2B207, 2B209, 2B219 or 2B227.
2D202 "Software" specially designed or modified for the "development", "production" or "use"
2E Technology
2E001 "Technology" according to the General Technology Note for the "development" of
equipment specified in 2A or 2B.
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:
b. "Diffusion bonding"; or
c. "Direct-acting hydraulic pressing";
1. Surface preparation;
3. Temperature;
b. "Diffusion bonding" of "superalloys" or titanium alloys:
1. Surface preparation;
2. Temperature;
3. Pressure;
1. Pressure;
d. "Hot isostatic densification" of titanium alloys, aluminium alloys or "superalloys":
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;
f. "Technology" for the application of inorganic overlay coatings or inorganic surface modification coatings (specified in column 3 of the following table) to non-electronic substrates (specified in column 2 of the following table), by processes specified in column 1 of the following table and defined in the Technical Note.
Note: The table and Technical Note appear after entry 2E301.
2E101 "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) [8] 2. Substrate 3. Resultant Coating
[8] The numbers in parenthesis refer to the Notes following this Table.
Deposition (CVD) passages
Ceramics (19) and Low- Silicides
expansion glasses (14) Carbides
Diamond
Diamond-like carbon (17)
Carbon-carbon, Silicides
Ceramic and Carbides
Metal "matrix" Refractory metals
Dielectric layers (15)
Aluminides
Alloyed aluminides (2)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Dielectric layers (15)
Molybdenum alloys
Beryllium alloys Diamond
Sensor window Dielectric layers (15)
materials (9) Diamond
Diamond-like carbon (17)
1. Coating Process (1) 2. Substrate 3. Resultant Coating
Physical Vapour
Deposition (TE-PVD)
Deposition (PVD): Alloyed aluminides (2)
(EB-PVD) Modified zirconia (12)
Silicides
Aluminides
Mixtures thereof (4)
expansion glasses (14)
Corrosion resistant MCrAlX (5)
steel (7) Modified zirconia (12)
Mixtures thereof (4)
Carbon-carbon, Silicides
Metal "matrix" Refractory metals
"composites" Mixtures thereof (4)
Dielectric layers (15)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Dielectric layers (15)
Molybdenum and Dielectric layers (15)
Molybdenum alloys
Beryllium and Dielectric layers (15)
Beryllium alloys Borides
Beryllium
Sensor window Dielectric layers (15)
Titanium alloys (13) Borides
TABLE - DEPOSITION TECHNIQUES
B.2. Ion assisted resistive Ceramics (19) and Low- Dielectric layers (15)
heating Physical Vapour expansion glasses (14) Diamond-like carbon (17)
(Ion Plating)
Ceramic and Metal
Cemented tungsten Dielectric layers (15)
carbide (16),
Silicon carbide
Molybdenum and
Molybdenum alloys Dielectric layers (15)
Beryllium and
Sensor window Dielectric layers (15)
B.3. Physical Vapour Ceramics (19) and Low- Silicides
Deposition (PVD): expansion glasses (14) Dielectric layers (15)
"Laser" Vaporization Diamond-like carbon (17)
Carbon-carbon, Dielectric layers (15)
Ceramic and Metal
"matrix" "composites"
Cemented tungsten Dielectric layers (15)
carbide (16),
Silicon carbide
Molybdenum alloys
Beryllium alloys
materials (9) Diamond-like carbon
TABLE - DEPOSITION TECHNIQUES
1. Coating Process (1) 2. Substrate 3. Resultant Coating
B.4. Physical Vapour "Superalloys" Alloyed silicides
Deposition (PVD): Alloyed aluminides (2)
Cathodic Arc Discharge MCrAlX (5)
Polymers (11) and Borides
Organic "matrix" Carbides
Diamond-like carbon (17)
C. Pack cementation Carbon-carbon, Silicides
(see A above for Ceramic and Carbides
cementation) (10) "composites"
Titanium alloys (13) Silicides
Aluminides
Alloyed aluminides (2)
Refractory metals Silicides
and alloys (8) Oxides
D. Plasma spraying "Superalloys" MCrAlX (5)
Modified zirconia (12)
Mixtures thereof (4)
Abradable Nickel-Graphite
containing Ni-Cr-Al
Abradable Al-Si-Polyester
Alloyed aluminides (2)
Aluminium alloys (6) MCrAlX (5)
Modified zirconia (12)
Silicides
Refractory metals Aluminides
and alloys (8) Silicides
Carbides
TABLE - DEPOSITION TECHNIQUES
1. Coating Process (1) 2. Substrate 3. Resultant Coating
D. (continued) Corrosion resistant MCrAlX (5)
steel (7) Modified zirconia (12)
Titanium alloys (13) Carbides
Aluminides
Silicides
Alloyed aluminides (2)
Abradable Nickel-Graphite
containing Ni-Cr-Al
Abradable Al-Si-Polyester
E. Slurry Deposition Refractory metals Fused silicides
and alloys (8) Fused aluminides
except for resistance
heating elements
Ceramic and Carbides
"composites"
F. Sputter Deposition "Superalloys" Alloyed silicides
Alloyed aluminides (2)
Noble metal modified
aluminides (3)
Modified zirconia (12)
Mixtures thereof (4)
Ceramics and Low- Silicides
expansion glasses (14) Platinum
Mixtures thereof (4)
Dielectic layers (15)
TABLE - DEPOSITION TECHNIQUES
1. Coating Process (1) 2. Substrate 3. Resultant Coating
Nitrides
Silicides
Aluminides
Alloyed aluminides (2)
Carbon-carbon, Silicides
Ceramic and Metal Carbides
"matrix" "composites" Refractory metals
Mixtures thereof (4)
Boron nitride
carbide (16), Tungsten
Dielectric layers (15)
Boron nitride
Molybdenum alloys Dielectric layers (15)
Beryllium alloys Dielectric layers (15)
Sensor window Dielectric layers (15)
materials (9) Diamond-like carbon (17)
Refractory metals Aluminides
and alloys (8) Silicides
Carbides
TABLE - DEPOSITION TECHNIQUES
G. Ion Implantation High temperature Additions of
bearing steels Chromium
Tantalum or
Niobium (Columbium)
Titanium alloys (13) Borides
Beryllium and Borides
Beryllium alloys
Cemented tungsten Carbides
carbide (16) 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 weight percent in various proportions and combinations, except:
b. CoCrAlY coatings which contain 22 to 24 weight percent of chromium, 10 to 12 weight percent of aluminium and 0.5 to 0.7 weight percent of yttrium; or
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.
TABLE - DEPOSITION TECHNIQUES - NOTES
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 x 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.
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.
18. 'Silicon carbide' does not include cutting and forming tool materials.
19. Ceramic substrates, as used in this entry, does not include ceramic materials containing 5% by weight, or greater, clay or cement content, either as separate constituents or in combination.
Processes specified in Column 1 of the Table are defined as follows:
N.B.1 CVD includes the following processes: directed gas flow out-of-pack deposition, pulsating CVD, controlled nucleation thermal deposition (CNTD), plasma enhanced or plasma assisted CVD processes.
N.B.2 Pack denotes a substrate immersed in a powder mixture.
N.B.3 The gaseous reactants used in the out-of-pack process are produced using the same basic reactions and parameters as the pack cementation process, except that the substrate to be coated is not in contact with the powder mixture.
b. Thermal Evaporation-Physical Vapour Deposition (TE-PVD) is an overlay coating process conducted in a vacuum with a pressure less than 0.1 Pa wherein a source of thermal energy is used to vaporize the coating material. This process results in the condensation, or deposition, of the evaporated species onto appropriately positioned substrates.
The addition of gases to the vacuum chamber during the coating process to synthesize compound coatings is an ordinary modification of the process.
The use of ion or electron beams, or plasma, to activate or assist the coating's deposition is also a common modification in this technique. The use of monitors to provide in-process measurement of optical characteristics and thickness of coatings can be a feature of these processes.
Specific TE-PVD processes are as follows:
1. Electron Beam PVD uses an electron beam to heat and evaporate the material which forms the coating;
2. Ion Assisted Resistive Heating PVD employs electrically resistive heating sources in combination with impinging ion beam(s) to produce a controlled and uniform flux of evaporated coating species;
3. "Laser" Vaporization uses either pulsed or continuous wave "laser" beams to vaporize the material which forms the coating;
TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE
Processes specified in Column 1 of the Table - continued:
N.B. This definition does not include random cathodic arc deposition with non-biased substrates.
5. Ion Plating is a special modification of a general TE-PVD process in which a plasma or an ion source is used to ionize the species to be deposited, and a negative bias is applied to the substrate in order to facilitate the extraction of the species from the plasma. The introduction of reactive species, evaporation of solids within the process chamber, and the use of monitors to provide in-process measurement of optical characteristics and thicknesses of coatings are ordinary modifications of the process.
c. Pack Cementation is a surface modification coating or overlay coating process wherein a substrate is immersed in a powder mixture (a pack), that consists of:
2. An activator (normally a halide salt); and
3. An inert powder, most frequently alumina.
d. Plasma Spraying is an overlay coating process wherein a gun (spray torch) which produces and controls a plasma accepts powder or wire coating materials, melts them and propels them towards a substrate, whereon an integrally bonded coating is formed. Plasma spraying constitutes either low pressure plasma spraying or high velocity plasma spraying.
N.B.1 Low pressure means less than ambient atmospheric pressure.
N.B.2 High velocity refers to nozzle-exit gas velocity exceeding 750 m/s calculated at 293 K (20°C) at 0.1 MPa.
e. Slurry Deposition is a surface modification coating or overlay coating process wherein a metallic or ceramic powder with an organic binder is suspended in a liquid and is applied to a substrate by either spraying, dipping or painting, subsequent air or oven drying, and heat treatment to obtain the desired coating.
Processes specified in Column 1 of the Table - continued:
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.
N.B.1 The Table refers only to triode, magnetron or reactive sputter deposition which is used to increase adhesion of the coating and rate of deposition and to radio frequency (RF) augmented sputter deposition used to permit vaporisation of non-metallic coating materials.
N.B.: When the manufacturer or applicant cannot determine the control status of the other equipment, the control status of the integrated circuits is determined in 3A001.a.3. to 3A001.a.9. and 3A001.a.12.
If the integrated circuit is a silicon-based "microcomputer microcircuit" or microcontroller microcircuit described in 3A001.a.3. having an operand (data) word length of 8 bit or less, the control status of the integrated circuit is determined in 3A001.a.3.
"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 x 103 Gy (silicon) or higher; or
b. A dose rate upset of 5 x 106 Gy (silicon)/s or higher;
2. "Microprocessor microcircuits", "microcomputer microcircuits", microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, analogue-to-digital converters, digital-to-analogue converters, electro-optical or "optical integrated circuits" designed for "signal processing", field programmable logic devices, neural network integrated circuits, custom integrated circuits for which either the function is unknown or the control status of the equipment in which the
3A001 a. 2. continued
integrated circuit will be used is unknown, Fast Fourier Transform (FFT) processors, electrical erasable programmable read-only memories (EEPROMs), flash memories or static random-access memories (SRAMs), having any of the following:
a. Rated for operation at an ambient temperature above 398 K (125°C);
b. Rated for operation at an ambient temperature below 218 K (-55°C); or
c. Rated for operation over the entire ambient temperature range from 218 K (-55°C) to 398 K (125°C);
3. "Microprocessor microcircuits", "micro-computer microcircuits" and microcontroller microcircuits, having any of the following characteristics:
Note: 3A001.a.3. includes digital signal processors, digital array processors and digital coprocessors.
a. A "composite theoretical performance" ("CTP") of 6,500 million theoretical operations per second (Mtops) or more and an arithmetic logic unit with an access width of 32 bit or more;
b. Manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz; or
c. More than one data or instruction bus or serial communication port that provides a direct external interconnection between parallel "microprocessor microcircuits" with a transfer rate exceeding 150 Mbyte/s;
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
2. A resolution of 12 bit with a 'total conversion time' of less than 200 ns; or
3. A resolution of more than 12 bit with a 'total conversion time' of less than 2 µs;
Technical Notes:
1. A resolution of n bits corresponds to a quantisation of 2n levels.
2. 'Total conversion time' is the inverse of sample rate.
6. Electro-optical and "optical integrated circuits" designed for "signal processing" having all of the following:
a. One or more than one internal "laser" diode;
b. One or more than one internal light detecting element; and
c. Optical waveguides;
7. Field programmable logic devices having any of the following:
a. An equivalent usable gate count of more than 30,000 (2 input gates);
b. A typical "basic gate propagation delay time" of less than 0.4 ns; or
c. A toggle frequency exceeding 133 MHz;
- Simple Programmable Logic Devices (SPLDs)
- Field Programmable Gate Arrays (FPGAs)
- Field Programmable Interconnects (FPICs)
N.B.: Field programmable logic devices are also known as field programmable gate or field programmable logic arrays.
8. Not used;
9. Neural network integrated circuits;
10. Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following:
b. A typical "basic gate propagation delay time" of less than 0.1 ns; or
c. An operating frequency exceeding 3 GHz;
11. Digital integrated circuits, other than those described in 3A001.a.3 to 3A001.a.10. and 3A001.a.12., based upon any compound semiconductor and having any of the following:
a. An equivalent gate count of more than 3000 (2 input gates); or
b. A toggle frequency exceeding 1.2 GHz;
12. Fast Fourier Transform (FFT) processors having a rated execution time for an N-point complex FFT of less than (N 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:
a. Does not exceed 31 GHz; and
1. Operating at frequencies exceeding 31 GHz;
2. Having a cathode heater element with a turn on time to rated RF power of less than 3 seconds;
3. Coupled cavity tubes, or derivatives thereof, with a "fractional bandwidth" of more than 7% or a peak power exceeding 2.5 kW;
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;
c. Being"space qualified";
c. Impregnated cathodes designed for electronic tubes producing a continuous emission current density at rated operating conditions exceeding 5 A/cm2;
2. Microwave integrated circuits or modules having all of the following:
a. Containing "monolithic integrated circuits" having one or more active circuit elements; and
b. Operating at frequencies exceeding 3 GHz;
a. Does not exceed 31 GHz; and
Note 2: 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.
3. Microwave transistors rated for operation at frequencies exceeding 31 GHz;
4. Microwave solid state amplifiers, having any of the following:
a. Operating frequencies exceeding 10.5 GHz and an "instantaneous bandwidth" of more than half an octave; or
b. Operating frequencies exceeding 31 GHz;
5. Electronically or magnetically tunable band-pass or band-stop filters having more than 5 tunable resonators capable of tuning across a 1.5:1 frequency band (fmax/fmin) in less than 10 µs having any of the following:
a. A band-pass bandwidth of more than 0.5% of centre frequency; or
b. A band-stop bandwidth of less than 0.5% of centre frequency;
6. Microwave assemblies capable of operating at frequencies exceeding 31 GHz;
a. Operating frequencies above 3 GHz;
c. A volume of less than 400 cm3;
3A001 continued
c. Acoustic wave devices, as follows, and specially designed components therefor:
1. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices (i.e., "signal processing" devices employing elastic waves in materials), having any of the following:
a. A carrier frequency exceeding 2.5 GHz;
b. A carrier frequency exceeding 1 GHz, but not exceeding 2.5 GHz, and having any of the following:
1. A frequency side-lobe rejection exceeding 55 dB;
2. A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100;
4. A dispersive delay of more than 10 µs; or
c. A carrier frequency of 1 GHz or less, having any of the following:
2. A dispersive delay of more than 10 µs; or
2. Bulk (volume) acoustic wave devices (i.e., "signal processing" devices employing elastic waves) which permit the direct processing of signals at frequencies exceeding 1 GHz;
3. Acoustic-optic "signal processing" devices employing interaction between acoustic waves (bulk wave or surface wave) and light waves which permit the direct processing of signals or images, including spectral analysis, correlation or convolution;
d. Electronic devices and circuits containing components, manufactured from "superconductive" materials specially designed for operation at temperatures below the "critical temperature" of at least one of the "superconductive" constituents, with any of the following:
2. Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10,000;
e. High energy devices, as follows:
1. Batteries and photovoltaic arrays, as follows:
Note: 3A001.e.1. does not control batteries with volumes equal to or less than 27 cm3 (e.g., standard C-cells or R14 batteries).
b. Rechargeable cells and batteries having an 'energy density' exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge current equal to C/5 hours (C being the nominal capacity in ampere hours) when
operating in the temperature range from below 253 K (-20°C) to above 333 K (60°C);
'Energy density' is obtained by multiplying the average power in watts (average voltage in volts times average current in amperes) by the duration of the discharge in hours to 75% of the open circuit voltage divided by the total mass of the cell (or battery) in kg.
N.B.: SEE ALSO 3A201.a.
a. Capacitors with a repetition rate of less than 10 Hz (single shot capacitors) having all of the following:
2. An energy density equal to or more than 250 J/kg; and
3. A total energy equal to or more 25 kJ;
b. Capacitors with a repetition rate of 10 Hz or more (repetition rated capacitors) having all of the following:
1. A voltage rating equal to or more than 5 kV;
2. An energy density equal to or more than 50 J/kg;
3. A total energy equal to or more than 100 J; and
4. A charge/discharge cycle life equal to or more than 10,000;
3. "Superconductive" electromagnets and solenoids specially designed to be fully charged or discharged in less than one second, having all of the following:
N.B.: SEE ALSO 3A201.b.
a. Energy delivered during the discharge exceeding 10 kJ in the first second;
b. Inner diameter of the current carrying windings of more than 250 mm; and
f. Rotary input type shaft absolute position encoders having any of the following:
1. A resolution of better than 1 part in 265,000 (18 bit resolution) of full scale; or
2. An accuracy better than ± 2.5 seconds of arc.
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
3A002 a. 1. continued
recording (HDDR) module), having any of the following:
b. A bandwidth exceeding 2 MHz per electronic channel or track and having more than 42 tracks; or
Note: Analogue magnetic tape recorders specially designed for civilian video purposes are not considered to be instrumentation tape recorders.
2. Digital video magnetic tape recorders having a maximum digital interface transfer rate exceeding 360 Mbit/s;
Note: 3A002.a.2. does not control digital video magnetic tape recorders specially designed for television recording using a signal format, which may include a compressed signal format, standardised or recommended by the ITU, the IEC, the SMPTE, the EBU or the IEEE for civil television applications.
a. A maximum digital interface transfer rate exceeding 175 Mbit/s; or
Note: 3A002.a.3. does not control analogue magnetic tape recorders equipped with HDDR conversion electronics and configured to record only digital data.
4. Equipment, having a maximum digital interface transfer rate exceeding 175 Mbit/s, designed to convert digital video magnetic tape recorders for use as digital instrumentation data recorders;
5. Waveform digitisers and transient recorders having all of the following:
a. Digitising rates equal to or more than 200 million samples per second and a resolution of 10 bits or more; and
Technical Note:
For those instruments with a parallel bus architecture, the continuous throughput rate is the highest word rate multiplied by the number of bits in a word.
1. "Signal analysers" capable of analysing frequencies exceeding 31 GHz;
Note: 3A002.c.2. does not control those "dynamic signal analysers" using only constant percentage bandwidth filters (also known as octave or fractional octave filters).
1. A maximum synthesised frequency exceeding 31 GHz;
3. A single sideband (SSB) phase noise better than -(126 + 20 log10F - 20 log10f) in dBc/Hz, where F is the off-set from the operating frequency in Hz and f is the operating frequency in MHz;
1. A maximum operating frequency exceeding 40 GHz; and
2. Being capable of measuring amplitude and phase simultaneously;
1. Long-term stability (aging) less (better) than 1 x 10-11/month; or
Note: 3A002.g.1. does not control non-"space qualified" rubidium standards.
3A101 Electronic equipment, devices and components, other than those specified in 3A001, as follows:
Note: 3A101.b. above does not specify equipment specially designed for medical purposes.
b. Energy storage greater than 10 J;
d. Series inductance less than 50 nH; or
2. a. Voltage rating greater than 750 V;
c. Series inductance less than 10 nH;
1. Capable of creating magnetic fields greater than 2 T;
3. Inner diameter greater than 300 mm; and
4. Magnetic field uniform to better than 1% over the central 50% of the inner volume;
1. a. An accelerator peak electron energy of 500 keV or greater but less than 25 MeV; and
2. a. An accelerator peak electron energy of 25 MeV or greater; and
Note: 3A201.c. does not control accelerators that are component parts of devices designed for purposes other than electron beam or X-ray radiation (electron microscopy, for example) nor those designed for medical purposes:
1. The 'figure of merit' K is defined as:
K = 1.7 x 103V2.65Q
V is the peak electron energy in million electron volts.
If the accelerator beam pulse duration is less than or equal to 1 µs, then Q is the total accelerated charge in Coulombs. If the accelerator beam pulse duration is greater than 1 µs, then Q is the maximum accelerated charge in 1 µs.
Q equals the integral of i with respect to t, over the lesser of 1 µs or the time duration of the beam pulse (Q = ( idt), where i is beam current in amperes and t is time in seconds.
2. 'Peak power' = (peak potential in volts) 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.
3A225 Frequency changers or generators, other than those specified in 0B001.b.13., having
b. Capable of operating in the frequency range between 600 and 2000 Hz;
c. Total harmonic distortion better (less) than 10%; and
d. Frequency control better (less) than 0.1%.
Technical Note:
having both of the following characteristics:
b. Current or voltage stability better than 0.1% over a time period of 8 hours.
having both of the following characteristics:
a. Capable of continuously producing, over a time period of 8 hours, 20 kV or greater with current output of 1 A or greater; and
b. Current or voltage stability better than 0.1% over a time period of 8 hours.
3A228 Switching devices, as follows:
a. Cold-cathode tubes, whether gas filled or not, operating similarly to a spark gap, having all of the following characteristics:
1. Containing three or more electrodes;
3. Anode peak current rating of 100 A or more; and
Note: 3A228 includes gas krytron tubes and vacuum sprytron tubes.
b. Triggered spark-gaps having both of the following characteristics:
2. Rated for a peak current of 500 A or more;
c. Modules or assemblies with a fast switching function having all of the following characteristics:
1. Anode peak voltage rating greater than 2 kV;
3. Turn-on time of 1 µs or less.
3A229 Firing sets and equivalent high-current pulse generators as follows:
b. Modular electrical pulse generators (pulsers) having all of the following characteristics:
2. Enclosed in a dust-tight enclosure;
4. Having an output greater than 100 A;
6. No dimension greater than 254 mm;
8. Specified for use over an extended temperature range 223 K (-50oC) to 373 K (100oC) or specified as suitable for aerospace applications.
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.
3A230 High-speed pulse generators having both of the following characteristics:
a. Output voltage greater than 6 V into a resistive load of less than 55 ohms, and
b. 'Pulse transition time' less than 500 ps.
In 3A230, 'pulse transition time' is defined as the time interval between 10% and 90% voltage amplitude.
3A231 Neutron generator systems, including tubes, having both of the following
characteristics:
a. Designed for operation without an external vacuum system; and
b. Utilizing electrostatic acceleration to induce a tritium-deuterium nuclear reaction.
3A232 Detonators and multipoint initiation systems, as follows:
a. Electrically driven explosive detonators, as follows:
2. Exploding bridge wire (EBW);
4. Exploding foil initiators (EFI);
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.
Note: 3A232 does not control detonators using only primary explosives, such as lead azide.
In 3A232 the detonators of concern all utilise a small electrical conductor (bridge, bridge wire or foil) that explosively vapourises when a fast, high-current electrical pulse is passed through it. In nonslapper types, the exploding conductor starts a chemical detonation in a contacting high-explosive material such as PETN (Pentaerythritoltetranitrate). In slapper detonators, the explosive vapourisation of the electrical conductor drives a flyer or slapper across a gap and the impact of the slapper on an explosive starts a chemical detonation. The slapper in some designs is driven by a magnetic force. The term exploding foil detonator may refer to either an EB or a slapper-type detonator. Also, the word initiator is sometimes used in place of the word detonator.
3A233 Mass spectrometers, other than those specified in 0B002.g., capable of measuring ions
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:
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.
3B Test, Inspection and Production Equipment
3B001 Equipment for the manufacturing of semiconductor devices or materials, as
1. Equipment capable of producing a layer thickness uniform to less than ± 2.5% across a distance of 75 mm or more;
3. Molecular beam epitaxial growth equipment using gas or solid sources;
3B001 continued
b. "Stored programme controlled" equipment designed for ion implantation, having any of the following:
2. Being specially designed and optimised to operate at a beam energy (accelerating voltage) of less than 2 keV;
4. Being capable of high energy oxygen implant into a heated semiconductor material "substrate";
c. "Stored programme controlled" anisotropic plasma dry etching equipment, as follows:
a. Designed or optimised to produce critical dimensions of 0.3 µm or less with ± 5% 3 sigma precision; or
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 0.3 µm or less with ± 5% 3 sigma precision; or
b. Designed for generating less than 0.04 particles/cm2 with a measurable particle size greater than 0.1 µm in diameter;
1. Equipment with cassette-to-cassette operation and load-locks, and having any of the following:
a. Designed according to the manufacturer's specifications or optimised to produce critical dimensions of 0.3 µm or less with ± 5% 3 sigma precision; or
2. Equipment specially designed for equipment specified in 3B001.e. and having any of the following:
b. Designed for generating less than 0.04 particles/cm2 with a measurable particle size greater than 0.1 µm in diameter;
e. "Stored programme controlled" automatic loading multi-chamber central wafer handling systems, having all of the following:
2. Designed to form an integrated system in a vacuum environment for sequential multiple wafer processing;
1. Align and expose step and repeat (direct step on wafer) or step and scan (scanner) equipment for wafer processing using photo-optical or X-ray methods, having any of the following:
3B001 f. 1. continued
a. A light source wavelength shorter than 350 nm; or
Technical Note:
numerical aperture
where the K factor = 0.7
MRF = minimum resolvable feature size
2. Equipment specially designed for mask making or semiconductor device processing using deflected focussed electron beam, ion beam or "laser" beam, having any of the following:
a. A spot size smaller than 0.2 µm;
b. Being capable of producing a pattern with a feature size of less than 1 µm; or
g. Masks and reticles designed for integrated circuits specified in 3A001;
3B002 "Stored programme controlled" test equipment, specially designed for testing finished
or unfinished semiconductor devices, as follows, and specially designed components and accessories therefor:
Note: 3B002.b. does not control test equipment specially designed for testing:
1. "Electronic assemblies" or a class of "electronic assemblies" for home or entertainment applications;
2. Uncontrolled electronic components, "electronic assemblies" or integrated circuits;
3. Memories.
Technical Note:
For the purpose of this entry,' pattern rate' is defined as the maximum frequency of digital operation of a tester. It is therefore equivalent to the highest data rate that a tester can provide in a non-multiplexed mode. It is also referred to as test speed, maximum digital frequency or maximum digital speed.
c. For testing microwave integrated circuits specified in 3A001.b.2.
3C Materials
3C001 Hetero-epitaxial materials consisting of a "substrate" having stacked epitaxially grown
multiple layers of any of the following:
a. Silicon;
b. Germanium
c. Silicon carbide; or
Technical Note:
III/V compounds are polycrystalline or binary or complex monocrystalline products consisting of elements of groups IIIA and VA of Mendeleyev's periodic classification table (e.g., gallium arsenide, gallium-aluminium arsenide, indium phosphide).
3C002 Resist materials, as follows, and "substrates" coated with controlled resists:
a. Positive resists designed for semiconductor lithography specially adjusted (optimised) for use at wavelengths below 350 nm;
b. All resists designed for use with electron beams or ion beams, with a sensitivity of 0.01 µcoulomb/mm2 or better;
c. All resists designed for use with X-rays, with a sensitivity of 2.5 mJ/mm2 or better;
d. All resists optimised for surface imaging technologies, including 'silylated' resists.
'Silylation' techniques are defined as processes incorporating oxidation of the resist surface to enhance performance for both wet and dry developing.
Note: 3C003 only controls compounds whose metallic, partly metallic or non-metallic element is directly linked to carbon in the organic part of the molecule.
3C004 Hydrides of phosphorus, arsenic or antimony, having a purity better than 99.999%, even
diluted in inert gases or hydrogen.
3D Software
3D001 "Software" specially designed for the "development" or "production" of equipment
specified in 3B.
3D003 Computer-aided-design (CAD) "software", having all of the following:
a. Designed for the "development" of semiconductor devices or integrated circuits; and
1. Design rules or circuit verification rules;
3. 'Lithographic processing simulators' for design.
A 'lithographic processing simulator' is a "software" package used in the design phase to define the sequence of lithographic, etching and deposition steps for translating masking patterns into specific topographical patterns in conductors, dielectrics or semiconductor material.
Note 1: 3D003 does not control "software" specially designed for schematic entry, logic simulation, placing and routing, layout verification or pattern generation tape.
Note 2: Libraries, design attributes or associated data for the design of semiconductor devices or integrated circuits are considered as "technology".
3D101 "Software" specially designed or modified for the "use" of equipment specified in
3E001 "Technology" according to the General Technology Note for the "development" or
"production" of equipment or materials specified in 3A, 3B or 3C;
Note: 3E001 does not control "technology" for the "development" or "production" of:
b. Integrated circuits specified in 3A001.a.3. to 3A001.a.12., having all of the following:
2. Not incorporating 'multi-layer structures'.
The term 'multi-layer structures' in Note b.2. to 3E001 does not include devices incorporating a maximum of two metal layers and two polysilicon layers.
3E002 "Technology" according to the General Technology Note other than that specified in 3E001 for the "development" or "production" of "microprocessor microcircuits", "micro-computer microcircuits" and microcontroller microcircuits having a "composite theoretical performance" ("CTP") of 530 million theoretical operations per second (Mtops) or more and an arithmetic logic unit with an access width of 32 bits or more.
Note: The decontrol note to 3E001 also applies to 3E002.
3E003 Other "technology" for the "development" or "production" of:
a. Vacuum microelectronic devices;
c. "Superconductive" electronic devices;
e. Substrates of silicon-on-insulator (SOI) for integrated circuits in which the insulator is silicon dioxide;
"software" specified in 3A001.a.1. or 2., 3A101 or 3D101.
3E102 "Technology" according to the General Technology Note for the "development" of
3E201 "Technology" according to the General Technology Note for the "use" of equipment
specified in 3A001.e.2., 3A001.e.3., 3A201, 3A225 to 3A233.
CATEGORY 4 - COMPUTERS
Note 1: 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).
Note 2: Control units which directly interconnect the buses or channels of central processing units, "main storage" or disk controllers are not regarded as telecommunications equipment described in Category 5, Part 1 (Telecommunications).
N.B.: For the control status of "software" specially designed for packet switching, see 5D001.
Note 3: Computers, related equipment and "software" performing cryptographic, cryptanalytic, certifiable multi-level security or certifiable user isolation functions, or which limit electromagnetic compatibility (EMC), must also be evaluated against the performance characteristics in Category 5, Part 2 ("Information Security").
4A Systems, Equipment and Components
4A001 Electronic computers and related equipment, as follows, and "electronic assemblies"
and specially designed components therefor:
1. Rated for operation at an ambient temperature below 228 K (-45°C) or above 358 K (85°C);
Note: 4A001.a.1. does not apply to computers specially designed for civil automobile or railway train applications.
a. Total Dose 5 x 103 Gy (silicon);
c. Single Event Upset 1 x 10-7 Error/bit/day;
b. Having characteristics or performing functions exceeding the limits in Category 5, Part 2 ("Information Security").
components therefor:
N.B.: SEE ALSO 4A102.
a. Containing "digital computers" specified in 4A003;
b. Containing analogue-to-digital converters having all of the following characteristics:
2. A resolution of 14 bits (plus sign bit) or more with a conversion rate of 200,000 conversions/s or more.
follows, and specially designed components therefor:
Note 1: 4A003 includes the following:
b. Array processors;
c. Digital signal processors;
e. Equipment designed for "image enhancement";
Note 2: The control status of the "digital computers" and related equipment described in 4A003 is determined by the control status of other equipment or systems provided:
N.B. 1: The control status of "signal processing" or "image enhancement" equipment specially designed for other equipment with functions limited to those required for the other equipment is determined by the control status of the other equipment even if it exceeds the "principal element" criterion.
N.B. 2: For the control status of "digital computers" or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications).
c. The "technology" for the "digital computers" and related equipment is determined by 4E.
a. Designed or modified for "fault tolerance";
1. Error detection or correction algorithms in "main storage";
3. The interconnection of two central processing units by data channels or by use of shared storage to permit one central processing unit to perform other work until the second central processing unit fails, at which time the first central processing unit takes over in order to continue the system's functioning; or
4. The synchronisation of two central processing units by "software" so that one central processing unit recognises when the other central processing unit fails and recovers tasks from the failing unit.
b. "Digital computers" having a "composite theoretical performance" ("CTP") exceeding 28,000 million theoretical operations per second (Mtops);
f. Not used;
g. Equipment specially designed to provide external interconnection of "digital computers" or associated equipment which allows communications at data rates exceeding 1.25 Gbyte/s.
Note: 4A003.g. does not control internal interconnection equipment (e.g. backplanes, buses), passive interconnection equipment, "network access controllers" or "communications channel controllers".
4A004 Computers, as follows, and specially designed related equipment, "electronic
a. "Systolic array computers";
b. "Neural computers";
c. "Optical computers".
4A101 Analogue computers, "digital computers" or digital differential analysers, other than
4A102 "Hybrid computers" specially designed for modelling, simulation or design integration
of space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
Note: This control only applies when the equipment is supplied with "software" specified in 7D103 or 9D103.
4D Software
"use" of equipment or "software" specified in 4A001 to 4A004, or 4D.
4D002 "Software" specially designed or modified to support "technology" specified in 4E.
4D003 Specific "software", as follows:
a. Operating system "software", "software" development tools and compilers specially designed for "multi-data-stream processing" equipment, in "source code";
b. Not used;
c. "Software" having characteristics or performing functions exceeding the limits in Category 5, Part 2 ("Information Security");
Note: 4D003.c. does not control "software" when accompanying its user for the user's personal use.
d. Operating systems specially designed for "real time processing" equipment which guarantees a "global interrupt latency time" of less than 20 µs.
4E Technology
4E001 "Technology" according to the General Technology Note, for the "development",
FP floating point
t execution time
XOR exclusive OR
CPU central processing unit
TP theoretical performance (of a single "CE")
"CTP" "composite theoretical performance" (multiple "CEs")
R effective calculating rate
WL word length
* multiply
Execution time 't' is expressed in microseconds, TP and "CTP" are expressed in millions of theoretical operations per second (Mtops) and WL is expressed in bits.
Outline of "CTP" calculation method
"CTP" is a measure of computational performance given in Mtops. In calculating the "CTP" of an aggregation of "CEs" the following three steps are required:
1. Calculate the effective calculating rate R for each "CE";
2. Apply the word length adjustment (L) to the effective calculating rate (R), resulting in a Theoretical Performance (TP) for each "CE";
3. If there is more than one "CE", combine the TPs, resulting in a "CTP" for the aggregation.
Details for these steps are given in the following sections.
Note 1 For aggregations of multiple "CEs" which have both shared and unshared memory subsystems, the calculation of "CTP" is completed hierarchically, in two steps: first, aggregate the groups of "CEs" sharing memory; second, calculate the "CTP" of the groups using the calculation method for multiple "CEs" not sharing memory.
Note 2 "CEs" that are limited to input/output and peripheral functions (e.g., disk drive, communication and video display controllers) are not aggregated into the "CTP" calculation.
The following table shows the method of calculating the Effective Calculating Rate R for each "CE":
Step 1: The effective calculating rate R
>TABLE POSITION>
TECHNICAL NOTE ON "CTP"
Note W For a pipelined "CE" capable of executing up to one arithmetic or logic operation every clock cycle after the pipeline is full, a pipelined rate can be established. The effective calculating rate (R) for such a "CE" is the faster of the pipelined rate or non-pipelined execution rate.
Note X For a "CE" which performs multiple operations of a specific type in a single cycle (e.g., two additions per cycle or two identical logic operations per cycle), the execution time t is given by:
t = cycle time
the number of identical operations per machine cycle
"CEs" which perform different types of arithmetic or logic operations in a single machine cycle are to be treated as multiple separate "CEs" performing simultaneously (e.g., a "CE" performing an addition and a multiplication in one cycle is to be treated as two "CEs", the first performing an addition in one cycle and the second performing a multiplication in one cycle).
Note Y For the "CE" that does not implement FP add or FP multiply, but that performs FP divide:
If the "CE" implements FP reciprocal but not FP add, FP multiply or FP divide, then
>REFERENCE TO A GRAPHIC>
If none of the specified instructions is implemented, the effective FP rate is 0.
Note Z In simple logic operations, a single instruction performs a single logic manipulation of no more than two operands of given lengths.
In complex logic operations, a single instruction performs multiple logic manipulations to produce one or more results from two or more operands.
Rates should be calculated for all supported operand lengths considering both pipelined operations (if supported), and non-pipelined operations using the fastest executing instruction for each operand length based on:
2. The faster of register-to-memory or memory-to-register operations; if these also do not exist, then continue with (3).
3. Memory-to-memory.
In each case above, use the shortest execution time certified by the manufacturer.
Step 2: TP for each supported operand length WL
Adjust the effective rate R (or R') by the word length adjustment L as follows:
TP = R * L,
Note The word length WL used in these calculations is the operand length in bits. (If an operation uses operands of different lengths, select the largest word length.)
The combination of a mantissa ALU and an exponent ALU of a floating point processor or unit is considered to be one "CE" with a Word Length (WL) equal to the number of bits in the data representation (typically 32 or 64) for purposes of the "CTP" calculation.
This adjustment is not applied to specialized logic processors which do not use XOR instructions. In this case TP = R.
Select the maximum resulting value of TP for:
Each XP-only "CE" (Rxp);
Each FP-only "CE" (Rfp);
Each combined FP and XP "CE" (R);
Each special logic processor not using any of the specified arithmetic or logic operations.
For a CPU with a single "CE",
(for "CEs" performing both fixed and floating point operations
Note 1 For aggregations that do not allow all of the "CEs" to run simultaneously, the possible combination of "CEs" that provides the largest "CTP" should be used. The TP of each contributing "CE" is to be calculated at its maximum value theoretically possible before the "CTP" of the combination is derived.
N.B. To determine the possible combinations of simultaneously operating "CEs", generate an instruction sequence that initiates operations in multiple "CEs", beginning with the slowest "CE" (the one needing the largest number of cycles to complete its operation) and ending with the fastest "CE". At each cycle of the sequence, the combination of "CEs" that are in operation during that cycle is a possible combination. The instruction sequence must take into account all hardware and/or architectural constraints on overlapping operations.
Note 3 Simultaneous operations are assumed to exist when the computer manufacturer claims concurrent, parallel or simultaneous operation or execution in a manual or brochure for the computer.
Note 5 "CTP" values must be aggregated for multiple "CEs" specially designed to enhance performance by aggregation, operating simultaneously and sharing memory,- or multiple memory/"CE"- combinations operating simultaneously utilising specially designed hardware.
where the TPs are ordered by value, with TP1 being the highest, TP2 being the second highest, ..., and TPn being the lowest. Ci is a coefficient determined by the strength of the interconnection between "CEs", as follows:
For multiple "CEs" operating simultaneously and sharing memory:
C2 = C3 = C4 = ... = Cn = 0.75
TECHNICAL NOTE ON "CTP"
When the "CTP" calculated by the above method does not exceed 194Mtops, the following formula may be used to calculate Ci:
>REFERENCE TO A GRAPHIC>
where m = the number of "CEs" or groups of "CEs" sharing access.
provided:
2. The "CEs" or groups of "CEs" share access to main memory (excluding cache memory) over a single channel; and
N.B. This does not apply to items controlled under Category 3.
Ci = 0.75 * ki (i = 2, ... , 32) (see Note below)
= 0.60 * ki (i = 33, ... , 64)
= 0.45 * ki (i = 65, ... , 256)
= 0.30 * ki (i > 256)
The value of Ci is based on the number of "CE"s, not the number of nodes.
where ki = min (Si/Kr, 1), and
Si = sum of the maximum data rates (in units of MByte/s) for all data channels connected to the ith "CE" or group of "CEs" sharing memory.
When calculating a Ci for a group of "CEs", the number of the first "CE" in a group determines the proper limit for Ci. For example, in an aggregation of groups consisting of 3 "CEs" each, the 22nd group will contain "CE"64, "CE"65 and "CE"66. The proper limit for Ci for this group is 0.60.
TP1 >= TP2 >= .... >= TPn , and
in the case of TPi = TPi + 1, from the largest to smallest; i.e.:
Ci >= Ci + 1
Note The ki factor is not to be applied to "CEs" 2 to 12 if the TPi of the "CE" or group of "CEs" is more than 50 Mtops; i.e., Ci for "CEs" 2 to 12 is 0.75.
CATEGORY 5 - TELECOMMUNICATIONS AND "INFORMATION SECURITY"
Part 1 - TELECOMMUNICATIONS
Note 1: The control status of components, "lasers", test and "production" equipment and "software" therefor which are specially designed for telecommunications equipment or systems is determined in Category 5, Part 1.
Note 2: "Digital computers", related equipment or "software", when essential for the operation and support of telecommunications equipment described in this Category, are regarded as specially designed components, provided they are the standard models customarily supplied by the manufacturer. This includes operation, administration, maintenance, engineering or billing computer systems.
5A1 Systems, Equipment and Components
5A001 a. Any type of telecommunications equipment having any of the following
characteristics, functions or features:
1. Specially designed to withstand transitory electronic effects or electromagnetic pulse effects, both arising from a nuclear explosion;
2. Specially hardened to withstand gamma, neutron or ion radiation; or
3. Specially designed to operate outside the temperature range from 218 K
(-55°C) to 397 K (124°C).
Note: 5A001.a.3. applies only to electronic equipment.
b. Telecommunication transmission equipment and systems, and specially designed components and accessories therefor, having any of the following characteristics, functions or features:
1. Being underwater communications systems having any of the following characteristics:
a. An acoustic carrier frequency outside the range from 20 kHz to 60 kHz;
b. Using an electromagnetic carrier frequency below 30 kHz; or
c. Using electronic beam steering techniques;
2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz band and having any of the following characteristics:
5A001 b. 2. continued
1. Automatically predicting and selecting frequencies and "total digital transfer rates" per channel to optimise the transmission; and
a. User programmable spreading codes; or
b. A total transmitted bandwidth which is 100 or more times the bandwidth of any one information channel and in excess of 50 kHz;
a. More than 1,000 channels;
c. Automatic searching or scanning of a part of the electromagnetic spectrum; and
d. Identification of the received signals or the type of transmitter; or
Note: 5A001.b.4. does not control radio equipment specially designed for use with civil cellular radio-communications systems.
5. Employing functions of digital "signal processing" to provide voice coding at rates of less than 2,400 bit/s.
c. Optical fibre communication cables, optical fibres and accessories, as follows:
Technical Note:
5A001 c. continued
2. Optical fibre cables and accessories designed for underwater use.
Note: 5A001.c.2. does not control standard civil telecommunication cables and accessories.
N.B. 1: For underwater umbilical cables, and connectors therefor, see 8A002.a.3.
N.B. 2: For fibre-optic hull penetrators or connectors, see 8A002.c.
d. "Electronically steerable phased array antennae" operating above 31 GHz.
5A101 Telemetering and telecontrol equipment usable for "missiles".
5B001 a. Equipment and specially designed components or accessories therefor, specially
designed for the "development", "production" or "use" of equipment, functions or features specified in 5A001, 5B001, 5D001 or 5E001.
Note: 5B001.a. does not control optical fibre characterization equipment not using semiconductor "lasers".
b. Equipment and specially designed components or accessories therefor, specially designed for the "development" of any of the following telecommunication transmission or "stored programme controlled" switching equipment:
a. A transmission wavelength exceeding 1750 nm;
b. Performing "optical amplification";
c. Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques); or
d. Employing analogue techniques and having a bandwidth exceeding 2.5 GHz;
Note: 5B001.b.2.d. does not control equipment specially designed for the "development" of commercial TV systems.
5B001 b. continued
"use" of equipment, functions or features specified by 5A001 or 5B001.
b. "Software" specially designed or modified to support "technology" specified in 5E001.
c. Specific "software" as follows:
1. "Software" specially designed or modified to provide characteristics, functions or features of equipment specified in 5A001 or 5B001;
2. Not used;
3. "Software", other than in machine-executable form, specially designed for "dynamic adaptive routing".
d. "Software" specially designed or modified for the "development" of any of the following telecommunication transmission or "stored programme controlled" switching equipment:
1. Equipment employing digital techniques, including "Asynchronous Transfer Mode" ("ATM"), designed to operate at a "total digital transfer rate" exceeding 1.5 Gbit/s;
2. Equipment employing a "laser" and having any of the following:
a. A transmission wavelength exceeding 1750 nm; or
Note: 5D001.d.2.b. does not control "software" specially designed or modified for the "development" of commercial TV systems.
5D001 d. continued
3. Equipment employing "optical switching"; or
5A101.
/
5E1 Technology
5E001 a. "Technology" according to the General Technology Note for the
b. Specific "technologies", as follows:
2. Equipment employing a "laser" and having any of the following:
a. A transmission wavelength exceeding 1750 nm;
c. Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques);
5E001 c. 2. continued
d. Employing wavelength division multiplexing techniques exceeding 8 optical carriers in a single optical window; or
e. Employing analogue techniques and having a bandwidth exceeding 2.5 GHz;
3. Equipment employing "optical switching";
a. Quadrature-amplitude-modulation (QAM) techniques above level 128; or
Note: 5E001.c.4.b. does not control "technology" for the "development" or "production" of equipment designed or modified for operation in any frequency band which is "allocated by the ITU" for radio-communications services, but not for radio-determination.
5. Equipment employing "common channel signalling" operating in either non-associated or quasi- associated mode of operation.
5E101 "Technology" according to the General Technology Note for the "development",
Note 1: 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.
Note 2: Category 5 - Part 2 does not control products when accompanying their user for the user's personal use.
Note 3: Cryptography Note
5A002 and 5D002 do not control goods that meet all of the following:
a. Generally available to the public by being sold, without restriction, from stock at retail selling points by means of any of the following:
1. Over-the-counter transactions;
2. Mail order transactions;
3. Electronic transactions; or
4. Telephone call transactions;
c. Designed for installation by the user without further substantial support by the supplier; and
d. When necessary, details of the goods are accessible and will be provided, upon request, to the competent authorities of the Member State in which the exporter is established in order to ascertain compliance with conditions described in paragraphs a. to c. above.
Technical Note:
5A2 Systems, Equipment and Components
and integrated circuits for "information security", as follows, and other specially designed components therefor:
N.B.: For the control of global navigation satellite systems receiving equipment containing or employing decryption (i.e. GPS or GLONASS), see 7A005.
5A002 a. continued
1. Designed or modified to use "cryptography" employing digital techniques performing any cryptographic function other than authentication or digital signature having any of the following:
Technical Notes:
1. Authentication and digital signature functions include their associated key management function.
2. Authentication includes all aspects of access control where there is no encryption of files or text except as directly related to the protection of passwords, Personal Identification Numbers (PINs) or similar data to prevent unauthorised access.
3. "Cryptography" does not include "fixed" data compression or coding techniques.
Note: 5A002.a.1. includes equipment designed or modified to use "cryptography" employing analogue principles when implemented with digital techniques.
1. Factorisation of integers in excess of 512 bits (e.g., RSA);
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);
3. Not used;
5. Designed or modified to use cryptographic techniques to generate the spreading code for "spread spectrum" systems, including the hopping code for "frequency hopping" systems;
7. Communications cable systems designed or modified using mechanical, electrical or electronic means to detect surreptitious intrusion.
5A002 continued
Note: 5A002 does not control:
a. "Personalised smart cards" where the cryptographic capability is restricted for use in equipment or systems excluded from control under entries b. to f. of this Note. 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:
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; or
3. One-time copying of copyright protected audio/video data.
Technical Note:
'Money transactions' in 5A002 Note d. includes the collection and settlement of fares or credit functions.
e. Portable or mobile radiotelephones for civil use (e.g. for use with commercial civil cellular radiocommunications systems) that are not capable of end-to-end encryption;
f. Cordless telephone equipment not capable of end-to-end encryption where the maximum effective range of unboosted cordless operation (i.e. a single, unrelayed hop between terminal and home basestation) is less than 400 metres according to the manufacturer's specifications.
5B2 Test, Inspection and Production Equipment
5B002 a. Equipment specially designed for:
1. The "development" of equipment or functions specified in 5A002, 5B002, 5D002 or 5E002 including measuring or test equipment;
2. The "production" of equipment or functions specified in 5A002, 5B002, 5D002 or 5E002, including measuring, test, repair or production equipment;
5B002 continued
b. Measuring equipment specially designed to evaluate and validate the "information security" functions specified in 5A002 or 5D002.
5C2 Materials
None.
5D2 Software
5D002 a. "Software" specially designed or modified for the "development", "production" or "use" of equipment or "software" specified in 5A002, 5B002 or 5D002;
c. Specific "software", as follows:
1. "Software" having the characteristics, or performing or simulating the functions of the equipment specified in 5A002 or 5B002;
2. "Software" to certify "software" specified in 5D002.c.1.
Note: 5D002 does not control:
a. "Software" required for the "use" of equipment excluded from control under the Notes to 5A002;
b. "Software" providing any of the functions of equipment excluded from control under the Notes to 5A002.
5E2 Technology
5E002 "Technology" according to the General Technology Note for the "development",
"production" or "use" of equipment or "software" specified in 5A002, 5B002 or 5D002.
CATEGORY 6 - SENSORS AND LASERS
6A Systems, Equipment and Components
6A001 Acoustics:
a. Marine acoustic systems, equipment and specially designed components therefor, as follows:
1. Active (transmitting or transmitting-and-receiving) systems, equipment and specially designed components therefor, as follows:
Note: 6A001.a.1. does not control:
a. Depth sounders operating vertically below the apparatus, not including a scanning function exceeding ± 20°, and limited to measuring the depth of water, the distance of submerged or buried objects or fish finding;
b. Acoustic beacons, as follows:
2. Pingers specially designed for relocating or returning to an underwater position.
a. Wide-swath bathymetric survey systems designed for sea bed topographic mapping, having all of the following:
1. Being designed to take measurements at an angle exceeding 20° from the vertical;
2. Being designed to measure depths exceeding 600 m below the water surface; and
a. Incorporation of multiple beams any of which is less than 1.9°; or
b. Data accuracies of better than 0.3% of water depth across the swath averaged over the individual measurements within the swath;
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; or
6. Designed to withstand pressure during normal operation at depths exceeding 1,000 m and having transducers with any of the following:
a. Dynamic compensation for pressure; or
b. Incorporating other than lead zirconate titanate as the transduction element;
6A001 a. 1. continued
c. Acoustic projectors, including transducers, incorporating piezoelectric, magnetostrictive, electrostrictive, electrodynamic or hydraulic elements operating individually or in a designed combination, having any of the following:
Note 1: The control status of acoustic projectors, including transducers, specially designed for other equipment is determined by the control status of the other equipment.
Note 2: 6A001.a.1.c. does not control electronic sources which direct the sound vertically only, or mechanical (e.g., air gun or vapour-shock gun) or chemical (e.g., explosive) sources.
2. A continuously radiated 'acoustic power density' exceeding 0.001 mW/mm2/Hz for devices operating at frequencies below 10 kHz; or
'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;
a. Equipment using coherent "signal processing" between two or more beacons and the hydrophone unit carried by the surface vessel or underwater vehicle;
b. Equipment capable of automatically correcting speed-of-sound propagation errors for calculation of a point.
2. Passive (receiving, whether or not related in normal application to separate active equipment) systems, equipment and specially designed components therefor, as follows:
a. Hydrophones having any of the following characteristics:
Note: The control status of hydrophones specially designed for other equipment is determined by the control status of the other equipment.
6A001 a. 2. a continued
2. Having any of the following sensing elements:
b. Piezoelectric polymers; or
3. A 'hydrophone sensitivity' better than -180 dB at any depth with no acceleration compensation;
4. When designed to operate at depths exceeding 35 m with acceleration compensation; or
5. Designed for operation at depths exceeding 1,000 m;
Technical Note:
b. Towed acoustic hydrophone arrays having any of the following:
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.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.
4. Longitudinally reinforced array hoses;
6. Multiplexed hydrophone group signals designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m; or
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;
6A001 a. 2. continued
d. Heading sensors having all of the following:
1. An accuracy of better than ± 0.5°; and
2. Designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m;
1. Incorporating hydrophones specified in 6A001.a.2.a.; or
a. Designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m; and
N.B.: SEE ALSO 6A102.
1. "Space-qualified" solid-state detectors, as follows:
a. "Space-qualified" solid-state detectors, having all of the following:
1. A peak response in the wavelength range exceeding 10 nm but not exceeding 300 nm; and
2. A response of less than 0.1% relative to the peak response at a wavelength exceeding 400 nm;
1. A peak response in the wavelength range exceeding 900 nm but not exceeding 1,200 nm; and
2. A response "time constant" of 95 ns or less;
6A002 a. continued
1. A peak response in the wavelength range exceeding 400 nm but not exceeding 1,050 nm;
2. A microchannel plate for electron image amplification with a hole pitch (centre-to-centre spacing) of 15 µm or less; and
a. S-20, S-25 or multialkali photocathodes with a luminous sensitivity exceeding 240 µA/lm;
b. GaAs or GaInAs photocathodes; or
c. Other III-V compound semiconductor photocathodes;
Note: 6A002.a.2.a.3.c. does not control compound semiconductor photocathodes with a maximum radiant sensitivity of 10 mA/W or less.
1. Microchannel plates having a hole pitch (centre-to-centre spacing) of 15 µm or less;
3. Other III-V compound semiconductor photocathodes;
Note: 6A002.a.2.b.3. does not control compound semiconductor photocathodes with a maximum radiant sensitivity of 10 mA/W or less.
Linear or two-dimensional multi-element detector arrays are referred to as "focal plane arrays".
Note 1: 6A002.a.3. includes photoconductive arrays and photovoltaic arrays.
Note 2: 6A002.a.3. does not control:
a. Silicon "focal plane arrays";
c. Pyroelectric detectors using any of the following:
1. Triglycine sulphate and variants;
3. Lithium tantalate;
4. Polyvinylidene fluoride and variants; or
5. Strontium barium niobate and variants.
a. Non-"space-qualified" "focal plane arrays", having all of the following:
1. Individual elements with a peak response within the wavelength range exceeding 900 nm but not exceeding 1,050 nm; and
2. A response "time constant" of less than 0.5 ns;
6A002 a. 3. continued
b. Non-"space-qualified" "focal plane arrays", having all of the following:
1. Individual elements with a peak response in the wavelength range exceeding 1,050 nm but not exceeding 1,200 nm; and
2. A response "time constant" of 95 ns or less;
b. "Monospectral imaging sensors" and "multispectral imaging sensors" designed for remote sensing applications, having any of the following:
1. An Instantaneous-Field-Of-View (IFOV) of less than 200 µrad (microradians); or
2. Being specified for operation in the wavelength range exceeding 400 nm but not exceeding 30,000 nm and having all the following;
b. Being any of the following:
1. "Space-qualified"; or
2. Designed for airborne operation, using other than silicon detectors, and having an IFOV of less than 2.5 mrad (milliradians).
c. 'Direct view' imaging equipment operating in the visible or infrared spectrum, incorporating any of the following:
1. Image intensifier tubes specified in 6A002.a.2.a. ; or
2. "Focal plane arrays" specified in 6A002.a.3.
Technical Note:
'Direct view' refers to imaging equipment, operating in the visible or infrared spectrum, that presents a visual image to a human observer without converting the image into an electronic signal for television display, and that cannot record or store the image photographically, electronically or by any other means.
Note: 6A002.c. does not control the following equipment incorporating other than GaAs or GaInAs photocathodes:
a. Industrial or civilian intrusion alarm, traffic or industrial movement control or counting systems;
b. Medical equipment;
c. Industrial equipment used for inspection, sorting or analysis of the properties of materials;
d. Flame detectors for industrial furnaces;
1. "Space-qualified" cryocoolers;
a. Closed cycle type with a specified Mean-Time-To-Failure (MTTF), or Mean-Time-Between-Failures (MTBF), exceeding 2,500 hours;
3. Optical sensing fibres specially fabricated either compositionally or structurally, or modified by coating, to be acoustically, thermally, inertially, electromagnetically or nuclear radiation sensitive.
e. "Space qualified" "focal plane arrays" having more than 2,048 elements per array and having a peak response in the wavelength range exceeding 300 nm but not exceeding 900 nm.
6A003 Cameras
N.B.: SEE ALSO 6A203.
N.B.: For cameras specially designed or modified for underwater use, see
a. Instrumentation cameras and specially designed components therefor, as follows:
Note: Instrumentation cameras, specified in 6A003.a.3. to 6A003.a.5., with modular structures should be evaluated by their maximum capability, using plug-ins available according to the camera manufacturer's specifications.
1. High-speed cinema recording cameras using any film format from 8 mm to 16 mm inclusive, in which the film is continuously advanced throughout the recording period, and that are capable of recording at framing rates exceeding 13,150 frames/s;
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/(s;
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; and
6. Plug-ins, having all of the following characteristics:
a. Specially designed for instrumentation cameras which have modular structures and which are specified in 6A003.a.; and
b. Enabling these cameras to meet the characteristics specified in 6A003.a.3., 6A003.a.4., or 6A003.a.5., according to the manufacturer's specifications.
6A003 continued
b. Imaging cameras, as follows:
1. Video cameras incorporating solid state sensors, having any of the following:
a. More than 4 x 106 "active pixels" per solid state array for monochrome (black and white) cameras;
c. More than 12 x 106 "active pixels" for solid state array colour cameras incorporating one solid state array;
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. Scanning cameras and scanning camera systems, having all of the following:
a. Linear detector arrays with more than 8,192 elements per array; and
b. Mechanical scanning in one direction;
3. Imaging cameras incorporating image intensifier tubes specified in 6A002.a.2.a.;
4. Imaging cameras incorporating "focal plane arrays" specified in 6A002.a.3.
Note 6A003.b.4. does not control imaging cameras incorporating linear "focal plane arrays" with twelve elements or fewer, not employing time-delay-and-integration within the element, designed for any of the following:
a. Industrial or civilian intrusion alarm, traffic or industrial movement control or counting systems;
b. Industrial equipment used for inspection or monitoring of heat flows in buildings, equipment or industrial processes;
c. Industrial equipment used for inspection, sorting or analysis of the properties of materials;
d. Equipment specially designed for laboratory use; or
e. Medical equipment.
6A004 Optics
a. Optical mirrors (reflectors), as follows:
1. "Deformable mirrors" having either continuous or multi-element surfaces, and specially designed components therefor, capable of dynamically repositioning portions of the surface of the mirror at rates exceeding 100 Hz;
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;
6A004 continued
b. Optical components made from zinc selenide (ZnSe) or zinc sulphide (ZnS) with transmission in the wavelength range exceeding 3,000 nm but not exceeding 25,000 nm and having any of the following:
1. Exceeding 100 cm3 in volume; or
c. "Space-qualified" components for optical systems, as follows:
1. Lightweighted to less than 20% "equivalent density" compared with a solid blank of the same aperture and thickness;
2. Raw substrates, processed substrates having surface coatings (single-layer or multi-layer, metallic or dielectric, conducting, semiconducting or insulating) or having protective films;
3. Segments or assemblies of mirrors designed to be assembled in space into an optical system with a collecting aperture equivalent to or larger than a single optic 1 m in diameter;
4. Manufactured from "composite" materials having a coefficient of linear thermal expansion equal to or less than 5 x 10-6 in any coordinate direction.
d. Optical control equipment, as follows:
1. Specially designed to maintain the surface figure or orientation of the "space-qualified" components specified in 6A004.c.1. or 6A004.c.3.;
2. Having steering, tracking, stabilisation or resonator alignment bandwidths equal to or more than 100 Hz and an accuracy of 10 µrad (microradians) or less;
3. Gimbals having all of the following:
a. A maximum slew exceeding 5°;
c. Angular pointing errors of 200 µrad (microradians) or less; and
d. Having any of the following:
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.
1. The largest dimension of the optical-aperture is greater than 400 mm;
3. The coefficient of linear thermal expansion's absolute magnitude is less than 3x10-6/K at 25°C.
1. An 'aspheric optical element' is any element used in an optical system whose imaging surface or surfaces are designed to depart from the shape of an ideal sphere.
2. Manufacturers are not required to measure the surface roughness listed in 6A004.e.2. unless the optical element was designed or manufactured with the intent to meet, or exceed, the control parameter.
Note 600A4.e. does not control aspheric optical elements having any of the following:
a. A largest optical-aperture dimension less than 1 m and a focal length to aperture ratio equal to or greater than 4.5:1;
c. Being designed as Fresnel, flyeye, stripe, prism or diffractive optical elements;
e. Being an x-ray optical element having inner mirror capabilities (e.g. tube-type mirrors).
N.B. For aspheric optical elements specially designed for lithography equipment, see 3B001.
equipment, as follows:
N.B.: SEE ALSO 6A205.
Note 1: Pulsed "lasers" include those that run in a continuous wave (CW) mode with pulses superimposed.
Note 2: Pulse-excited "lasers" include those that run in a continuously excited mode with pulse excitation superimposed.
Note 3: The control status of Raman "lasers" is determined by the parameters of the pumping source "lasers". The pumping source "lasers" can be any of the "lasers" described below.
a. Gas "lasers", as follows:
a. An output wavelength not exceeding 150 nm and having any of the following:
1. An output energy exceeding 50 mJ per pulse; or
2. An average output power exceeding 1 W;
b. An output wavelength exceeding 150 nm but not exceeding 190 nm and having any of the following:
2. An average output power exceeding 120 W;
c. An output wavelength exceeding 190 nm but not exceeding 360 nm and having any of the following:
1. An output energy exceeding 10 J per pulse; or
1. An output energy exceeding 1.5 J per pulse; or
d. Barium (Ba) "lasers" having an average output power exceeding 2 W;
a. An output energy exceeding 2 J per pulse and a pulsed "peak power" exceeding 5 kW; or
a. A CW output power exceeding 15 kW;
b. A pulsed output having a "pulse duration" exceeding 10 µs and having any of the following:
1. An average output power exceeding 10 kW; or
c. A pulsed output having a "pulse duration" equal to or less than 10 µs; and having any of the following:
1. A pulse energy exceeding 5 J per pulse; or
2. An average output power exceeding 2.5 kW;
5. "Chemical lasers", as follows:
b. Deuterium Fluoride (DF) "lasers";
1. Oxygen Iodine (O2-I) "lasers";
2. Deuterium Fluoride-Carbon dioxide (DF-CO2) "lasers";
6. Krypton ion or argon ion "lasers" having any of the following:
b. An average or CW output power exceeding 50 W;
7. Other gas "lasers", having any of the following:
a. An output wavelength not exceeding 150 nm and having any of the following:
2. An average or CW output power exceeding 1 W;
1. An output energy exceeding 1.5 J per pulse and a pulsed "peak power" exceeding 30 W; or
c. An output wavelength exceeding 800 nm but not exceeding 1,400 nm and having any of the following:
1. An output energy exceeding 0.25 J per pulse and a pulsed "peak power" exceeding 10 W; or
2. An average or CW output power exceeding 10 W; or
6A005 continued
a. A wavelength of less than 950 nm or more than 2,000 nm; and
a. A wavelength of less than 950 nm or more than 2,000 nm; and
a. A wavelength of less than 950 nm and an average or CW output power exceeding 60 W; or
b. A wavelength equal to or greater than 2,000 nm and an average or CW output power exceeding 10 W.
Technical Note:
Semiconductor "lasers" are commonly called "laser" diodes.
Note 1: 6A005.b. includes semiconductor "lasers" having optical output connectors (e.g. fibre optic pigtails).
c. Solid state "lasers", as follows:
1. "Tunable" "lasers" having any of the following:
Note: 6A005.c.1. includes titanium - sapphire(Ti: Al2O3 ), thulium - YAG (Tm: YAG), thulium - YSGG (Tm: YSGG), alexandrite (Cr: BeAl2O4 ) and colour centre "lasers".
a. An output wavelength less than 600 nm and having any of the following:
2. An average or CW output power exceeding 1 W;
1. An output energy exceeding 1 J per pulse and a pulsed "peak power" exceeding 20 W; or
2. An average or CW output power exceeding 20 W; or
c. An output wavelength exceeding 1,400 nm and having any of the following:
1. An output energy exceeding 50 mJ per pulse and a pulsed "peak power" exceeding 1 W; or
2. An average or CW output power exceeding 1 W;
2. Non-"tunable" "lasers", as follows:
Note: 6A005.c.2. includes atomic transition solid state "lasers".
a. Neodymium glass "lasers", as follows:
a. An output energy exceeding 20 J but not exceeding 50 J per pulse and an average output power exceeding 10 W; or
b. An output energy exceeding 50 J per pulse;
2. Non-"Q-switched lasers" having any of the following:
a. An output energy exceeding 50 J but not exceeding 100 J per pulse and an average output power exceeding 20 W; or
b. An output energy exceeding 100 J per pulse;
N.B.: For neodymium-doped (other than glass) "lasers" having an output wavelength not exceeding 1,000 nm or exceeding 1,100 nm, see 6A005.c.2.c.
1. Pulse-excited, mode-locked, "Q-switched lasers" having a "pulse duration" of less than 1 ns and having any of the following:
b. An average output power exceeding 10 W; or
c. A pulsed energy exceeding 0.1 J;
2. Pulse-excited, "Q-switched lasers" having a "pulse duration" equal to or more than 1 ns, and having any of the following:
1. A "peak power" exceeding 100 MW;
3. A pulsed energy exceeding 2 J; or
b. A multiple-transverse mode output having:
1. A "peak power" exceeding 400 MW;
2. An average output power exceeding 2 kW; or
a. A single-transverse mode output having:
1. A "peak power" exceeding 500 kW; or
b. A multiple-transverse mode output having:
2. An average power exceeding 2 kW;
a. A single-transverse mode output having:
1. A "peak power" exceeding 500 kW; or
b. A multiple-transverse mode output having:
2. An average or CW output power exceeding 2 kW;
c. Other non-"tunable" "lasers", having any of the following:
1. A wavelength less than 150 nm and having any of the following:
a. An output energy exceeding 50 mJ per pulse and a pulsed "peak power" exceeding 1 W; or
b. An average or CW output power exceeding 1 W;
2. A wavelength of 150 nm or more but not exceeding 800 nm and having any of the following:
a. An output energy exceeding 1.5 J per pulse and a pulsed "peak power" exceeding 30 W; or
a. "Q-switched lasers" having:
2. An average output power exceeding:
b. 30 W for multiple-transverse mode "lasers";
1. An output energy exceeding 2 J per pulse and a pulsed "peak power" exceeding 50 W; or
4. A wavelength exceeding 1,400 nm and having any of the following:
b. An average or CW output power exceeding 1 W;
d. Dye and other liquid "lasers", having any of the following:
1. A wavelength less than 150 nm and:
a. An output energy exceeding 50 mJ per pulse and a pulsed "peak power" exceeding 1 W; or
6A005 d. continued
2. A wavelength of 150 nm or more but not exceeding 800 nm and having any of the following:
b. An average or CW output power exceeding 20 W; or
c. A pulsed single longitudinal mode oscillator having an average output power exceeding 1 W and a repetition rate exceeding 1 kHz if the "pulse duration" is less than 100 ns;
3. A wavelength exceeding 800 nm but not exceeding 1,400 nm and having any of the following:
a. An output energy exceeding 0.5 J per pulse and a pulsed "peak power" exceeding 10 W; or
b. An average or CW output power exceeding 10 W; or
a. An output energy exceeding 100 mJ per pulse and a pulsed "peak power" exceeding 1 W; or
1. Mirrors cooled either by 'active cooling' or by heat pipe cooling;
'Active cooling' is a cooling technique for optical components using flowing fluids within the subsurface (nominally less than 1 mm below the optical surface) of the optical component to remove heat from the optic.
2. Optical mirrors or transmissive or partially transmissive optical or electro-optical components specially designed for use with controlled "lasers";
f. Optical equipment, as follows:
N.B.: For shared aperture optical elements, capable of operating in "Super-High Power Laser" ("SHPL") applications, see the Military Goods Lists.
1. Dynamic wavefront (phase) measuring equipment capable of mapping at least 50 positions on a beam wavefront having any of the following:
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 lambda/10 at the designed wavelength, or 0.1 µm, whichever is the smaller;
4. Projection telescopes specially designed for use with "SHPL" systems.
compensation systems, and specially designed components therefor, as follows:
Note: 6A006 does not control instruments specially designed for biomagnetic measurements for medical diagnostics.
1. 0.05 nT rms/square root Hz at frequencies of less than 1 Hz;
2. 1 x 10-3 nT rms/square root Hz at frequencies of 1 Hz or more but not exceeding 10 Hz; or
3. 1 x 10-4 nT rms/square root Hz at frequencies exceeding 10 Hz;
c. Fibre optic "magnetometers" having a "noise level" (sensitivity) lower (better) than 1 nT rms per square root Hz;
d. "Magnetic gradiometers" using multiple "magnetometers" specified in 6A006.a., 6A006.b. or 6A006.c.;
a. Incorporating thin-film SQUIDS with a minimum feature size of less than 2 µm and with associated input and output coupling circuits;
b. Designed to operate with a magnetic field slew rate exceeding 1 x 106 magnetic flux quanta per second;
d. Having a temperature coefficient less (smaller) than 0.1 magnetic flux quantum/K.
N.B.: SEE ALSO 6A107.
a. Gravity meters designed or modified for ground use having a static accuracy of less (better) than 10 µgal;
b. Gravity meters designed for mobile platforms, having all of the following:
2. An in-service (operational) accuracy of less (better) than 0.7 mgal having a time-to-steady-state registration of less than 2 minutes under any combination of attendant corrective compensations and motional influences;
c. Gravity gradiometers.
6A008 Radar systems, equipment and assemblies having any of the following characteristics, and
specially designed components therefor:
N.B.: SEE ALSO 6A108.
Note: 6A008 does not control:
a. Secondary surveillance radar (SSR);
c. Displays or monitors used for air traffic control (ATC) having no more than 12 resolvable elements per mm;
a. Operating at frequencies from 40 GHz to 230 GHz and having an average output power exceeding 100 mW;
b. Having a tunable bandwidth exceeding ± 6.25% of the 'centre operating frequency';
Technical Note:
The 'centre operating frequency' equals one half of the sum of the highest plus the lowest specified operating frequencies.
c. Capable of operating simultaneously on more than two carrier frequencies;
d. 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";
Note: 6A008.f. does not control precision approach radar (PAR) equipment conforming to ICAO standards.
g. Specially designed for airborne (balloon or airframe mounted) operation and having Doppler "signal processing" for the detection of moving targets;
6A008 continued
h. Employing processing of radar signals using any of the following:
1. "Radar spread spectrum" techniques; or
2. "Radar frequency agility" techniques;
i. Providing ground-based operation with a maximum "instrumented range" exceeding 185 km;
a. Fishing ground surveillance radar;
1. It has a maximum "instrumented range" of 500 km or less;
2. It is configured so that radar target data can be transmitted only one way from the radar site to one or more civil ATC centres;
3. It contains no provisions for remote control of the radar scan rate from the enroute ATC centre; and
c. Weather balloon tracking radars.
1. "Space-qualified"; or
Note: 6A008.j. does not control LIDAR equipment specially designed for surveying or for meteorological observation.
k. Having "signal processing" sub-systems using "pulse compression", with any of the following:
1. A "pulse compression" ratio exceeding 150; or
2. A pulse width of less than 200 ns; or
1. "Automatic target tracking" providing, at any antenna rotation, the predicted target position beyond the time of the next antenna beam passage;
2. Calculation of target velocity from primary radar having non-periodic (variable) scanning rates;
3. Processing for automatic pattern recognition (feature extraction) and comparison with target characteristic data bases (waveforms or imagery) to identify or classify targets; or
4. Superposition and correlation, or fusion, of target data from two or more "geographically dispersed" and "interconnected radar sensors" to enhance and discriminate targets.
Note: 6A008.l.4. does not control systems, equipment and assemblies used for marine traffic control.
6A102 Radiation 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 x 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.
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 x 10-6 m/s2 (0.7 milligal) or less (better), and having a time-to-steady-state registration of two minutes or less;
6A108 Radar systems and tracking systems, other than those specified in entry 6A008, as follows:
Note: 6A108.a. includes the following:
a. Terrain contour mapping equipment;
b. Imaging sensor equipment;
c. Scene mapping and correlation (both digital and analogue) equipment;
d. Doppler navigation radar equipment.
b. Precision tracking systems, usable for "missiles", as follows:
1. Tracking systems which use a code translator in conjunction with either surface or airborne references or navigation satellite systems to provide real-time measurements of in-flight position and velocity;
2. Range instrumentation radars including associated optical/infrared trackers with all of the following capabilities:
b. Range of 30 km or greater with a range resolution better than 10 m rms;
c. Velocity resolution better than 3 m/s.
6A202 Photomultiplier tubes having both of the following characteristics:
b. Anode pulse rise time of less than 1 ns.
6A203 Cameras and components, other than those specified in 6A003, as follows:
a. Mechanical rotating mirror cameras, as follows, and specially designed components therefor:
1. Framing cameras with recording rates greater than 225,000 frames per second;
2. Streak cameras with writing speeds greater than 0.5 mm per microsecond;
Note: In 6A203.a. components of such cameras include their synchronizing electronics units and rotor assemblies consisting of turbines, mirrors and bearings.
b. Electronic streak cameras, electronic framing cameras, tubes and devices, as follows:
2. Streak tubes for cameras specified in 6A203.b.1.;
4. Framing tubes and solid-state imaging devices for use with cameras specified in 6A203.b.3., as follows:
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 x 103 Gy(silicon) (5 x 106 rad (silicon)) without operational degradation.
Technical Note:
6A205 "Lasers", "laser" amplifiers and oscillators, other than those specified in 0B001.g.5., 0B001.h.6. and 6A005; as follows:
a. Argon ion "lasers" having both of the following characteristics:
2. An average output power greater than 40 W;
1. Operating at wavelengths between 300 nm and 800 nm;
2. An average output power greater than 1 W;
3. A repetition rate greater than 1 kHz; and
4. Pulse width less than 100 ns;
c. Tunable pulsed dye laser amplifiers and oscillators, having all of the following characteristics:
1. Operating at wavelengths between 300 nm and 800 nm;
2. An average output power greater than 30 W;
3. A repetition rate greater than 1 kHz; and
4. Pulse width less than 100 ns;
Note: 6A205.c. does not control single mode oscillators;
6A205 continued
d. Pulsed carbon dioxide "lasers" having all of the following characteristics:
1. Operating at wavelengths between 9,000 nm and 11,000 nm;
3. An average output power greater than 500 W; and
e. Para-hydrogen Raman shifters designed to operate at 16 micrometre output wavelength and at a repetition rate greater than 250 Hz;
f. Pulse-excited, Q-switched neodymium-doped (other than glass) "lasers", having all of the following characteristics:
2. A pulse duration equal to or more than 1 ns; and
3. A multiple-transverse mode output having an average power exceeding 50 W.
intervals of less than 10 microseconds.
Note: 6A225 includes velocity interferometers such as VISARs (Velocity interferometer systems for any reflector) and DLIs (Doppler laser interferometers).
6A226 Pressure sensors, as follows:
a. Manganin gauges for pressures greater than 10 GPa;
b. Quartz pressure transducers for pressures greater than 10 GPa.
6B Test, Inspection and Production Equipment
6B004 Optical equipment, as follows:
a. Equipment for measuring absolute reflectance to an accuracy of ± 0.1% of the reflectance value;
Note: 6B004 does not control microscopes.
6B007 Equipment to produce, align and calibrate land-based gravity meters with a static accuracy
of better than 0.1 mgal.
6B008 Pulse radar cross-section measurement systems having transmit pulse widths of 100 ns or
N.B.: SEE ALSO 6B108.
6B108 Systems, other than those specified in 6B008, specially designed for radar cross section
measurement usable for "missiles" and their subsystems.
6C Materials
6C002 Optical sensor materials, as follows:
a. Elemental tellurium (Te) of purity levels of 99.9995% or more;
b. Single crystals (including epitaxial wafers) of any of the following:
1. Cadmium zinc telluride (CdZnTe), with zinc content of less than 6% by 'mole fraction';
2. Cadmium telluride (CdTe) of any purity level; or
Technical Note:
1. A volume greater than 100 cm3; or
2. A diameter greater than 80 mm having a thickness of 20 mm or more;
b. Boules of the following electro-optic materials:
1. Potassium titanyl arsenate (KTA);
2. Silver gallium selenide (AgGaSe2 );
3. Thallium arsenic selenide (Tl3AsSe3, also known as TAS);
1. Third order susceptibility (chi 3) of 10-6 m2/V2 or more; and
2. A response time of less than 1 ms;
d. "Substrate blanks" of silicon carbide or beryllium beryllium (Be/Be) deposited materials exceeding 300 mm in diameter or major axis length;
6C004 continued
e. Glass, including fused silica, phosphate glass, fluorophosphate glass, zirconium fluoride (ZrF4 ) and hafnium fluoride (HfF4 ), having all of the following:
1. A hydroxyl ion (OH-) concentration of less than 5 ppm;
2. Integrated metallic purity levels of less than 1 ppm; and
10-5 cm-1 for wavelengths exceeding 200 nm but not exceeding 14,000 nm.
b. Alexandrite.
specified in 6A004, 6A005, 6A008 or 6B008.
6B008.
c. "Software" specially designed to correct motional influences of gravity meters or gravity gradiometers;
a. Processing and displaying more than 150 simultaneous "system tracks"; or
a. Are specially designed to protect the "electronically steerable phased array antennae" specified in 6A008.e.; and
b. Result in an antenna pattern having an 'average side lobe level' more than 40 dB below the peak of the main beam level.
'Average side lobe level' in 6D003.d.2.b. is measured over the entire array excluding the angular extent of the main beam and the first two side lobes on either side of the main beam.
6D102 "Software" specially designed or modified for the "use" of goods specified in 6A108.
6D103 "Software" which processes post-flight, recorded data, enabling determination of vehicle
equipment, materials or "software" specified in 6A, 6B, 6C or 6D.
equipment or materials specified in 6A, 6B or 6C.
N.B.: See also 2E003.f.
2. Optical fabrication "technology" using single point diamond turning techniques to produce surface finish accuracies of better than 10 nm rms on non-planar surfaces exceeding 0.5 m2;
b. "Technology" "required" for the "development", "production" or "use" of specially designed diagnostic instruments or targets in test facilities for "SHPL" testing or testing or evaluation of materials irradiated by "SHPL" beams;
2. A "noise level" of less than 1 x 10-3 nT rms per square root Hz at frequencies of 1 Hz or more.
6E101 "Technology" according to the General Technology Note for the "use" of equipment or
Note: 6E101 only specifies "technology" for equipment specified in 6A008 when it is designed for airborne applications and is usable in "missiles".
6E201 "Technology" according to the General Technology Note for the "use" of equipment
For radar, see Category 6.
having any of the following characteristics, and specially designed components therefor:
b. A "scale factor" "stability" of less (better) than 130 ppm with respect to a fixed calibration value over a period of one year; or
7A002 Gyros, and angular or rotational accelerometers, having any of the following
characteristics, and specially designed components therefor:
N.B.: SEE ALSO 7A102.
1. Less (better) than 0.1° per hour when specified to function at linear acceleration levels below 10 g; or
2. Less (better) than 0.5° per hour when specified to function at linear acceleration levels from 10 g to 100 g inclusive; or
7A003 Inertial navigation systems (gimballed or strapdown) and inertial equipment designed
for "aircraft", land vehicle or "spacecraft" for attitude, guidance or control having any
N.B.: SEE ALSO 7A103.
a. Navigation error (free inertial) subsequent to normal alignment of 0.8 nautical mile per hour (50% Circular Error Probable (CEP)) or less (better); or
b. Specified to function at linear acceleration levels exceeding 10 g.
Note 1: The parameters of 7A003.a. are applicable with any of the following environmental conditions:
1. Input random vibration with an overall magnitude of 7.7 g rms in the first half hour and a total test duration of one and one half hour per axis in each of the three perpendicular axes, when the random vibration meets the following:
7A003 Note 1. 1. continued
a. A constant power spectral density (PSD) value of 0.04 g2/Hz over a frequency interval of 15 to 1,000 Hz; and
b. The PSD attenuates with frequency from 0.04 g2/Hz to 0.01 g2/Hz over a frequency interval from 1,000 to 2,000 Hz; or
3. According to national standards equivalent to 1. or 2. above.
7A004 Gyro-astro compasses, and other devices which derive position or orientation by means
equal to or less (better) than 5 seconds of arc.
having any of the following characteristics, and specially designed components therefor:
N.B.: SEE ALSO 7A105.
b. A null-steerable antenna.
7A006 Airborne altimeters operating at frequencies other than 4.2 to 4.4 GHz inclusive, having
any of the following characteristics:
N.B.: SEE ALSO 7A106.
a. "Power management"; or
7A007 Direction finding equipment operating at frequencies above 30 MHz and having all of
a. "Instantaneous bandwidth" of 1 MHz or more;
b. Parallel processing of more than 100 frequency channels; and
a. Accelerometers with a threshold of 0.05 g or less, or a linearity error within 0.25% of full scale output, or both, which are designed for use in inertial navigation systems or in guidance systems of all types;
b. Continuous output accelerometers specified to function at acceleration levels exceeding 100g.
7A102 All types of gyros, other than those specified in 7A002, usable in "missiles", with a
a. Inertial or other equipment using accelerometers specified in 7A001 or 7A101 or gyros specified in 7A002 or 7A102 and systems incorporating such equipment;
Note: 7A103.a. does not specify equipment containing accelerometers specified in 7A001 where such accelerometers are specially designed and developed as MWD (Measurement While Drilling) sensors for use in down-hole well services operations.
b. Integrated flight instrument systems, which include gyrostabilisers or automatic pilots, designed or modified for use in space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
7A104 Gyro-astro compasses and other devices, other than those specified in 7A004, which
derive position or orientation by means of automatically tracking celestial bodies or satellites and specially designed components therefor.
specified in 7A005, capable of providing navigation information under the following
operational conditions and designed or modified for use in space launch vehicles
specified in 9A004 or sounding rockets specified in 9A104.
b. At altitudes in excess of 18 km.
or modified for use in space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
7A115 Passive sensors for determining bearing to specific electromagnetic source (direction
a. Terrain contour mapping equipment;
c. Passive interferometer equipment.
7A116 Flight control systems, as follows; designed or modified for use in space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
a. Hydraulic, mechanical, electro-optical, or electro-mechanical flight control systems (including fly-by-wire types);
b. Attitude control equipment.
7A117 "Guidance sets", usable in "missiles" capable of achieving system accuracy of 3.33%
or less of the range (e.g., a "CEP" of 10 km or less at a range of 300 km).
7B Test, Inspection and Production Equipment
7B001 Test, calibration or alignment equipment specially designed for equipment specified
in 7A.
Note: 7B001 does not control test, calibration or alignment equipment for Maintenance Level I or Maintenance Level II.
Technical Notes:
1. Maintenance Level I
The defective LRU is sent to the maintenance workshop (the manufacturer's or that of the operator responsible for level II maintenance). At the maintenance workshop, the malfunctioning LRU is tested by various appropriate means to verify and localise the defective shop replaceable assembly (SRA) module responsible for the failure. This SRA is removed and replaced by an operative spare. The defective SRA (or possibly the complete LRU) is then shipped to the manufacturer.
N.B.: SEE ALSO 7B102.
a. Scatterometers having a measurement accuracy of 10 ppm or less (better);
Note: 7B003 includes:
a. Gyro tuning test stations;
c. Gyro run-in/motor test stations;
e. Centrifuge fixtures for gyro bearings;
measurement accuracy of 50 ppm or less (better).
7B103 "Production facilities" and "production equipment" as follows:
a. "Production facilities" specially designed for equipment specified in 7A117;
b. Production equipment, and other test, calibration and alignment equipment, other than that specified in 7B001 to 7B003, designed or modified to be used with equipment specified in 7A.
7C Materials
None.
7D Software
7D001 "Software" specially designed or modified for the "development" or "production" of
7D002 "Source code" for the "use" of any inertial navigation equipment including inertial
equipment not controlled by 7A003 or 7A004, or Attitude and Heading Reference
AHRS generally differ from inertial navigation systems (INS) in that an AHRS provides attitude and heading information and normally does not provide the acceleration, velocity and position information associated with an INS.
7D003 Other "software", as follows:
a. "Software" specially designed or modified to improve the operational performance or reduce the navigational error of systems to the levels specified in 7A003 or 7A004;
b. "Source code" for hybrid integrated systems which improves the operational performance or reduces the navigational error of systems to the level specified in 7A003 by continuously combining inertial data with any of the following navigation data:
1. Doppler radar velocity;
2. Global navigation satellite systems (i.e., GPS or GLONASS) reference data; or
3. Terrain data from data bases;
c. "Source code" for integrated avionics or mission systems which combine sensor data and employ "expert systems";
d. "Source code" for the "development" of any of the following:
1. Digital flight management systems for "total control of flight";
3. Fly-by-wire or fly-by-light control systems;
5. Airborne automatic direction finding equipment;
7. Raster-type head-up displays or three dimensional displays;
e. Computer-aided-design (CAD) "software" specially designed for the "development" of "active flight control systems", helicopter multi-axis fly-by-wire or fly-by-light controllers or helicopter "circulation controlled anti-torque or circulation-controlled direction control systems" whose "technology" is specified in 7E004.b., 7E004.c.1. or 7E004.c.2.
7A001 to 7A006, 7A101 to 7A106, 7A115, 7A116.a., 7A116.b., 7B001, 7B002,
7B003, 7B102 or 7B103.
7D102 Integration "software" as follows:
a. Integration "software" for the equipment specified in 7A103.b.;
b. Integration "software" specially designed for the equipment specified in 7A003 or 7A103.a.
7D103 "Software" specially designed for modelling or simulation of the "guidance sets"
Note: "Software" specified in 7D103 remains controlled when combined with specially designed hardware specified in 4A102.
7E Technology
7E001 "Technology" according to the General Technology Note for the "development" of
equipment specified in 7A or 7B.
7E003 "Technology" according to the General Technology Note for the repair, refurbishing or
Note: 7E003 does not control maintenance "technology" directly associated with calibration, removal or replacement of damaged or unserviceable LRUs and SRAs of a "civil aircraft" as described in Maintenance Level I or Maintenance Level II.
N.B.: See Technical Notes to 7B001.
7E004 Other "technology", as follows:
2. Air data systems based on surface static data only, i.e., which dispense with conventional air data probes;
4. Inertial navigation systems or gyro-astro compasses containing accelerometers or gyros specified in 7A001 or 7A002;
6. "Flight control optical sensor array" specially designed for implementing "active flight control systems";
b. "Development" "technology", as follows, for "active flight control systems" (including fly-by-wire or fly-by-light):
1. Configuration design for interconnecting multiple microelectronic processing elements (on-board computers) to achieve "real time processing" for control law implementation;
3. Electronic management of data redundancy or systems redundancy for fault detection, fault tolerance, fault isolation or reconfiguration;
Note: 7E004.b.3. does not control" technology" for the design of physical redundancy.
7E004 b. continued
5. Integration of digital flight control, navigation and propulsion control data into a digital flight management system for "total control of flight";
Note: 7E004.b.5. does not control:
a. "Development" "technology" for integration of digital flight control, navigation and propulsion control data into a digital flight management system for "flight path optimisation";
b. "Development" "technology" for "aircraft" flight instrument systems integrated solely for VOR, DME, ILS or MLS navigation or approaches.
6. Full authority digital flight control or multisensor mission management systems employing "expert systems";
N.B.: For "technology" for Full Authority Digital Engine Control ("FADEC"), see 9E003.a.9.
c. "Technology" for the "development" of helicopter systems, as follows:
1. Multi-axis fly-by-wire or fly-by-light controllers which combine the functions of at least two of the following into one controlling element:
a. Collective controls;
b. Cyclic controls;
c. Yaw controls;
2. "Circulation-controlled anti-torque or circulation-controlled directional control systems";
3. Rotor blades incorporating "variable geometry airfoils" for use in systems using individual blade control.
7E101 "Technology" according to the General Technology Note for the "use" of equipment
specified in 7A001 to 7A006, 7A101 to 7A106, 7A115 to 7A117, 7B001, 7B002, 7B003, 7B102, 7B103, 7D101 to 7D103.
pulse (EMP) and electromagnetic interference (EMI) hazards, from external sources, as follows:
a. Design "technology" for shielding systems;
c. Design "technology" for the determination of hardening criteria of 7E102.a. and 7E102.b.
7E104 "Technology" for the integration of the flight control, guidance, and propulsion data
into a flight management system for optimization of rocket system trajectory.
CATEGORY 8 - MARINE
8A Systems, Equipment and Components
8A001 Submersible vehicles and surface vessels, as follows:
Note: For the control status of equipment for submersible vehicles, see:
Category 6 for sensors;
Category 8A for underwater equipment.
a. Manned, tethered submersible vehicles designed to operate at depths exceeding 1,000 m;
1. Designed to 'operate autonomously' and having a lifting capacity of all the following:
a. 10% or more of their weight in air; and
b. 15 kN or more;
2. Designed to operate at depths exceeding 1,000 m; or
3. Having all of the following:
a. Designed to carry a crew of 4 or more;
b. Designed to 'operate autonomously' for 10 hours or more;
c. Having a 'range' of 25 nautical miles or more; and
d. Having a length of 21 m or less;
Technical Notes:
2. For the purposes of 8A001.b., 'range' means half the maximum distance a submersible vehicle can cover.
c. Unmanned, tethered submersible vehicles designed to operate at depths exceeding 1,000 m, having any of the following:
1. Designed for self-propelled manoeuvre using propulsion motors or thrusters specified in 8A002.a.2.; or
2. Having a fibre optic data link;
d. Unmanned, untethered submersible vehicles, having any of the following:
2. Having an acoustic data or command link; or
3. Having a fibre optic data or command link exceeding 1,000 m;
8A001 continued
1. Dynamic positioning systems capable of position keeping within 20 m of a given point provided by the navigation system; or
2. Seafloor navigation and navigation integration systems for depths exceeding 1,000 m with positioning accuracies to within 10 m of a predetermined point;
1. A maximum design speed, fully loaded, exceeding 30 knots in a significant wave height of 1.25 m (Sea State 3) or more;
2. A cushion pressure exceeding 3,830 Pa; and
3. A light-ship-to-full-load displacement ratio of less than 0.70;
g. Surface-effect vehicles (rigid sidewalls) with a maximum design speed, fully loaded, exceeding 40 knots in a significant wave height of 3.25 m (Sea State 5) or more;
h. Hydrofoil vessels with active systems for automatically controlling foil systems, with a maximum design speed, fully loaded, of 40 knots or more in a significant wave height of 3.25 m (Sea State 5) or more;
i. 'Small waterplane area vessels' having any of the following:
2. A full load displacement exceeding 1,500 tonnes with a maximum design speed, fully loaded, exceeding 25 knots in a significant wave height of 4 m (Sea State 6) or more.
Technical Note:
1. Pressure housings or pressure hulls with a maximum inside chamber diameter exceeding 1.5 m;
3. Umbilical cables, and connectors therefor, using optical fibre and having synthetic strength members;
8A002 continued
b. Systems specially designed or modified for the automated control of the motion of submersible vehicles specified in 8A001 using navigation data and having closed loop servo-controls:
2. Maintaining the position of the vehicle within 10 m of a predetermined point in the water column; or
1. Television systems and television cameras, as follows:
b. Underwater television cameras having a limiting resolution when measured in air of more than 1,100 lines;
1. Image intensifier tubes specified in 6A002.a.2.a.; and
Technical Note:
Limiting resolution in television is a measure of horizontal resolution usually expressed in terms of the maximum number of lines per picture height discriminated on a test chart, using IEEE Standard 208/1960 or any equivalent standard.
e. Photographic still cameras specially designed or modified for underwater use below 150 m having a film format of 35 mm or larger, and having any of the following:
1. Annotation of the film with data provided by a source external to the camera;
2. Automatic back focal distance correction; or
3. Automatic compensation control specially designed to permit an underwater camera housing to be usable at depths exceeding 1,000 m;
f. Electronic imaging systems, specially designed or modified for underwater use, capable of storing digitally more than 50 exposed images;
g. Light systems, as follows, specially designed or modified for underwater use:
1. Stroboscopic light systems capable of a light output energy of more than 300 J per flash and a flash rate of more than 5 flashes per second;
2. Argon arc light systems specially designed for use below 1,000 m;
h. "Robots" specially designed for underwater use, controlled by using a dedicated "stored programme controlled" computer, having any of the following:
2. The ability to exert a force of 250 N or more or a torque of 250 Nm or more and using titanium based alloys or "fibrous or filamentary" "composite" materials in their structural members;
i. Remotely controlled articulated manipulators specially designed or modified for use with submersible vehicles, having any of the following:
2. Controlled by proportional master-slave techniques or by using a dedicated "stored programme controlled" computer, and having 5 degrees of freedom of movement or more;
j. Air independent power systems, specially designed for underwater use, as follows:
1. Brayton or Rankine cycle engine air independent power systems having any of the following:
a. Chemical scrubber or absorber systems specially designed to remove carbon dioxide, carbon monoxide and particulates from recirculated engine exhaust;
c. Devices or enclosures specially designed for underwater noise reduction in frequencies below 10 kHz, or special mounting devices for shock mitigation; or
d. Systems specially designed:
1. To pressurise the products of reaction or for fuel reformation;
2. To store the products of the reaction; and
2. Diesel cycle engine air independent systems, having all of the following:
b. Systems specially designed to use a monoatomic gas;
c. Devices or enclosures specially designed for underwater noise reduction in frequencies below 10 kHz or special mounting devices for shock mitigation; and
8A002 j. continued
3. Fuel cell air independent power systems with an output exceeding 2 kW having any of the following:
b. Systems specially designed:
1. To pressurise the products of reaction or for fuel reformation;
3. To discharge the products of the reaction against a pressure of 100 kPa or more;
a. Devices or enclosures specially designed for underwater noise reduction in frequencies below 10 kHz or special mounting devices for shock mitigation; and
b. Specially designed exhaust systems which discharge the products of combustion against a pressure of 100 kPa or more;
k. Skirts, seals and fingers, having any of the following:
1. Designed for cushion pressures of 3,830 Pa or more, operating in a significant wave height of 1.25 m (Sea State 3) or more and specially designed for surface effect vehicles (fully skirted variety) specified in 8A001.f.; or
2. Designed for cushion pressures of 6,224 Pa or more, operating in a significant wave height of 3.25 m (Sea State 5) or more and specially designed for surface effect vehicles (rigid sidewalls) specified in 8A001.g.;
l. Lift fans rated at more than 400 kW specially designed for surface effect vehicles specified in 8A001.f. or 8A001.g.;
m. Fully submerged subcavitating or supercavitating hydrofoils specially designed for vessels specified in 8A001.h.;
n. Active systems specially designed or modified to control automatically the sea-induced motion of vehicles or vessels specified in 8A001.f., 8A001.g., 8A001.h. or 8A001.i.;
o. Propellers, power transmission systems, power generation systems and noise reduction systems, as follows:
a. Supercavitating, super-ventilated, partially-submerged or surface piercing propellers rated at more than 7.5 MW;
c. Systems employing pre-swirl or post-swirl techniques for smoothing the flow into a propeller;
d. Light-weight, high capacity (K factor exceeding 300) reduction gearing;
8A002 o. continued
2. Water-screw propeller, power generation systems or transmission systems designed for use on vessels, as follows:
b. Internally liquid-cooled electric propulsion engines with a power output exceeding 2.5 MW;
d. Power transmission shaft systems, incorporating "composite" material components, capable of transmitting more than 2 MW;
3. Noise reduction systems designed for use on vessels of 1,000 tonnes displacement or more, as follows:
b. Active noise reduction or cancellation systems, or magnetic bearings, specially designed for power transmission systems, and incorporating electronic control systems capable of actively reducing equipment vibration by the generation of anti-noise or anti-vibration signals directly to the source;
p. Pumpjet propulsion systems having a power output exceeding 2.5 MW using divergent nozzle and flow conditioning vane techniques to improve propulsive efficiency or reduce propulsion-generated underwater-radiated noise;
q. Self-contained, closed or semi-closed circuit (rebreathing) diving and underwater swimming apparatus.
8B Test, Inspection and Production Equipment
8B001 Water tunnels, having a background noise of less than 100 dB (reference 1 µPa, 1 Hz), in the frequency range from 0 to 500 Hz, designed for measuring acoustic fields generated by a hydro-flow around propulsion system models.
8C001 'Syntactic foam' designed for underwater use, having all of the following:
a. Designed for marine depths exceeding 1,000 m; and
'Syntactic foam' consists of hollow spheres of plastic or glass embedded in a resin matrix.
8D Software
8D001 "Software" specially designed or modified for the "development", "production" or"use"
of equipment or materials specified in 8A, 8B or 8C.
8D002 Specific "software" specially designed or modified for the "development", "production",
"production" of equipment or materials specified in 8A, 8B or 8C.
8E002 Other "technology", as follows:
b. "Technology" for the overhaul or refurbishing of equipment specified in 8A001, 8A002.b., 8A002.j., 8A002.o. or 8A002.p.
EQUIPMENT
9A Systems, Equipment and Components
N.B.: For propulsion systems designed or rated against neutron or transient ionizing radiation, see the Military Goods Controls.
9A001 Aero gas turbine engines incorporating any of the "technologies" specified in 9E003.a.,
N.B.: SEE ALSO 9A101.
a. Not certified for the specific "civil aircraft" for which they are intended;
c. Designed to cruise at speeds exceeding Mach 1.2 for more than thirty minutes.
9A002 'Marine gas turbine engines' with an ISO standard continuous power rating of
24,245 kW or more and a specific fuel consumption not exceeding 0.219 kg/kWh in the power range from 35 to 100%, and specially designed assemblies and components therefor.
Note: The term 'marine gas turbine engines' includes those industrial, or aero-derivative, gas turbine engines adapted for a ship's electric power generation or propulsion.
9A003 Specially designed assemblies and components, incorporating any of the "technologies"
b. Whose design or production origins are either non-"participating states" or unknown to the manufacturer.
9A004 Space launch vehicles and "spacecraft".
Note: 9A004 does not control payloads.
specified in 9A006 .
N.B.: SEE ALSO 9A105 and 9A119.
9A006 Systems and components specially designed for liquid rocket propulsion systems, as
N.B.: SEE ALSO 9A106 and 9A108.
a. Cryogenic refrigerators, flightweight dewars, cryogenic heat pipes or cryogenic systems specially designed for use in space vehicles and capable of restricting cryogenic fluid losses to less than 30% per year;
b. Cryogenic containers or closed-cycle refrigeration systems capable of providing temperatures of 100 K (-173°C) or less for "aircraft" capable of sustained flight at speeds exceeding Mach 3, launch vehicles or "spacecraft";
c. Slush hydrogen storage or transfer systems;
e. High-pressure (exceeding 10.6 MPa) thrust chambers and nozzles therefor;
f. Propellant storage systems using the principle of capillary containment or positive expulsion (i.e., with flexible bladders);
g. Liquid propellant injectors, with individual orifices of 0.381 mm or smaller in diameter (an area of 1.14 x 10-3 cm2 or smaller for non-circular orifices) specially designed for liquid rocket engines;
h. One-piece carbon-carbon thrust chambers or one-piece carbon-carbon exit cones with densities exceeding 1.4 g/cm3 and tensile strengths exceeding 48 MPa.
9A007 Solid rocket propulsion systems with any of the following:
N.B.: SEE ALSO 9A119.
a. Total impulse capacity exceeding 1.1 MNs;
c. Stage mass fractions exceeding 88% and propellant solid loadings exceeding 86%;
d. Any of the components specified in 9A008; or
e. Insulation and propellant bonding systems using direct-bonded motor designs to provide a 'strong mechanical bond' or a barrier to chemical migration between the solid propellant and case insulation material.
For the purposes of 9A007.e., a 'strong mechanical bond' means bond strength equal to or more than propellant strength.
9A008 Components, as follows, specially designed for solid rocket propulsion systems:
a. Insulation and propellant bonding systems using liners to provide a 'strong
mechanical bond' or a barrier to chemical migration between the solid propellant
and case insulation material;
Technical Note:
For the purposes of 9A008.a., a 'strong mechanical bond' means bond strength equal to or more than propellant strength.
Technical Note:
d. Movable nozzle or secondary fluid injection thrust vector control systems capable
of any of the following:
1. Omni-axial movement exceeding ± 5°;
2. Angular vector rotations of 20°/s or more; or
3. Angular vector accelerations of 40°/s2 or more.
9A009 Hybrid rocket propulsion systems with:
a. Total impulse capacity exceeding 1.1 MNs; or
b. Thrust levels exceeding 220 kN in vacuum exit conditions.
vehicle propulsion systems or "spacecraft", as follows:
Note: The weight cut-off is not relevant for nose cones.
b. Components and structures specially designed for launch vehicle propulsion systems specified in 9A005 to 9A009 manufactured using metal matrix, composite, organic composite, ceramic matrix or intermetallic reinforced materials specified in 1C007 or 1C010;
c. Structural components and isolation systems specially designed to control actively the dynamic response or distortion of "spacecraft" structures;
d. Pulsed liquid rocket engines with thrust-to-weight ratios equal to or more than 1 kN/kg and a response time (the time required to achieve 90% of total rated thrust from start-up) of less than 30 ms.
9A011 Ramjet, scramjet or combined cycle engines and specially designed components therefor.
in "missiles", other than those specified in 9A001, as follows;
a. Engines having both of the following characteristics:
2. Specific fuel consumption of 0.13 kg/N/hr or less (at sea level static and standard conditions); or
b. Engines designed or modified for use in "missiles".
9A104 Sounding rockets, capable of a range of at least 300 km.
N.B.: SEE ALSO 9A004.
9A105 Liquid propellant rocket engines, as follows:
Technical Note:
1. Flexible nozzle;
2. Fluid or secondary gas injection;
4. Deflection of exhaust gas stream (jet vanes or probes); or
9A106 continued
d. Liquid and slurry propellant (including oxidisers) control systems, and specially designed components therefor, designed or modified to operate in vibration environments of more than 10 g rms between 20 Hz and 2,000 Hz.
a. Servo valves designed for flow rates of 24 litres per minute or greater, at an absolute pressure of 7 MPa or greater, that have an actuator response time of less than 100 ms;
b. Pumps, for liquid propellants, with shaft speeds equal to or greater than 8,000 r.p.m. or with discharge pressures equal to or greater than 7 MPa.
9A107 Solid propellant rocket engines, usable in complete rocket systems or unmanned air
total impulse capacity of 0.841 MNs or greater.
N.B.: SEE ALSO 9A119.
9A108 Components, other than those specified in 9A008, usable in "missiles", as follows, specially designed for solid rocket propulsion systems:
a. Rocket motor cases, "interior lining" and "insulation" therefor;
b. Rocket nozzles;
Technical Note:
Examples of methods of achieving thrust vector control specified in 9A108.c. are:
1. Flexible nozzle;
2. Fluid or secondary gas injection;
4. Deflection of exhaust gas stream (jet vanes or probes); or
5. Thrust tabs.
9A109 Hybrid rocket motors, usable in "missiles", other than those specified in 9A009, and
specially designed components therefor.
N.B.: SEE ALSO 9A119.
in 9A010, specially designed for use in space launch vehicles specified in 9A004 or sounding rockets specified in 9A104 or the subsystems specified in 9A005, 9A007, 9A105.a., 9A106 to 9A108, 9A116 or 9A119.
N.B.: SEE ALSO 1A002.
9A111 Pulse jet engines, usable in "missiles", and specially designed components therefor.
9A115 Launch support equipment, designed or modified for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104, as follows:
a. Apparatus and devices for handling, control, activation or launching;
b. Vehicles for transport, handling, control, activation or launching.
9A116 Reentry vehicles, usable in "missiles", and equipment designed or modified therefor,
b. Heat shields and components therefor fabricated of ceramic or ablative materials;
c. Heat sinks and components therefor fabricated of light-weight, high heat capacity materials;
d. Electronic equipment specially designed for reentry vehicles.
9A117 Staging mechanisms, separation mechanisms, and interstages, usable in "missiles".
9A118 Devices to regulate combustion usable in engines, which are usable in "missiles",
specified in 9A011 or 9A111.
9A119 Individual rocket stages, usable in complete rocket systems or unmanned air vehicles,
capable of a range of 300 km, other than those specified in 9A005, 9A007, 9A009,
9A105, 9A107 and 9A109.
9B Test, Inspection and Production Equipment
9B001 Specially designed equipment, tooling and fixtures, as follows, for manufacturing
gas turbine blades, vanes or tip shroud castings:
a. Directional solidification or single crystal casting equipment;
b. Ceramic cores or shells;
9B002 On-line (real time) control systems, instrumentation (including sensors) or automated
designed to operate at tip speeds exceeding 335 m/s, and temperatures in excess of 773 K (500°C), and specially designed components or accessories therefor.
9B004 Tools, dies or fixtures for the solid state joining of "superalloy", titanium or
intermetallic airfoil-to-disk combinations described in 9E003.a.3. or 9E003.a.6. for gas turbines.
9B005 On-line (real time) control systems, instrumentation (including sensors) or automated
N.B.: SEE ALSO 9B105.
a. Wind tunnels designed for speeds of Mach 1.2 or more, except those specially designed for educational purposes and having a 'test section size' (measured laterally) of less than 250 mm;
Technical Note:
'Test section size' in 9B005.a. means the diameter of the circle, or the side of the square, or the longest side of the rectangle, at the largest test section location.
b. Devices for simulating flow-environments at speeds exceeding Mach 5, including hot-shot tunnels, plasma arc tunnels, shock tubes, shock tunnels, gas tunnels and light gas guns; or
c. Wind tunnels or devices, other than two-dimensional sections, capable of simulating Reynolds number flows exceeding 25 x 106.
9B006 Acoustic vibration test equipment capable of producing sound pressure levels of 160 dB
temperature exceeding 1,273 K (1,000°C), and specially designed quartz heaters therefor.
N.B.: SEE ALSO 9B106.
destructive test (NDT) techniques other than planar X-ray or basic physical or chemical analysis.