29 May 1997
Source: Paper document from Greg Broiles.

For background see ACDA statements on arms export controls and the Wassenaar Arrangement, and the Export Administration Regulations (EAR).

UNITED STATES ARMS CONTROL AND DISARMAMENT AGENCY

> > Washington, D.C. 20451

> April 25, 1997
> ACDA No. 97023

Greg Broiles
P.O. Box 897
Oakland, CA 94604

Dear Mr. Broiles:

Per your request, I have enclosed the Wassenaar Arrangement List of Dual-Use Goods and Technologies and Munitions List.

> Sincerely,

> [Signature]

> Michael S. Coffee
> Office of the General Counsel

Enclosure

[1]

## THE WASSENAAR ARRANGEMENT

ON

EXPORT CONTROLS FOR CONVENTIONAL ARMS AND

DUAL-USE GOODS AND TECHNOLOGIES

## LIST OF DUAL-USE GOODS AND

## TECHNOLOGIES

## AND

## MUNITIONS LIST

SUBMITTED TO THE

## PLENARY MEETING

## IN VIENNA

11th and 12th July, 1996

U.S. ARMS CONTROL AND DISARMAMENT AGENCY
Declass/Release (x) in whole ( ) in part
by F. Smith Date APR 25 1997

[2]

###

TABLE OF CONTENTS

LIST OF DUAL-USE GOODS AND TECHNOLOGIES | Page

> General Technology and General Software Notes

> 3

> Category 1 Advanced Materials (42K)

> 4

> Category 2 Materials Processing (59K)

> 21

> Category 3 Electronics (36K)

> 44

> Category 4 Computers (29K)

> 58

> Category 5 - Part 1 Telecommunications (17K)

> 69

> Category 5 - Part 2 "Information Security" (8K)

> 76

> Category 6 Sensors and "Lasers" (61K)

> 79

> Category 7 Navigation and Avionics (16K)

> 105

> Category 8 Marine (20K)

> 111

> Category 9 Propulsion (24K)

> 119

> Annex 1 (32K)

> 127

> Annex 2 (14K)

> 134

MUNITIONS LIST (61K) |

> General Technology Note

> 137

> Items 1 to 22

> 138

DEFINITIONS OF TERMS USED IN THESE LISTS (62K) | 170
ACRONYMS AND ABBREVIATIONS USED IN THESE LISTS (7K) | 195
STATEMENTS OF UNDERSTANDING AND VALIDITY NOTES (9K) | 197

These lists reflect the agreements recorded in Appendix 5 to the Initial Elements dated 19th December, 1995, and appropriate drafting changes agreed by the Drafting Group on the 16th March, 1996.

Category 2 of Annex 1 reflects the amendments of the Plenary Meeting dated 2nd and 3rd April, 1996.

[3]

###

DUAL-USE LIST

Note Terms in "quotations" are defined terms. Refer to 'Definition of Terms used in these Lists' annexed to this List.

###

GENERAL TECHNOLOGY NOTE

The export of "technology" which is "required" for the "development", "production" or "use" of items controlled in the Dual-Use List is controlled according to the provisions in each Category. This "technology" remains under control even when applicable to any uncontrolled item.

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

N.B. This does not release such "technology" controlled in entries 1.E.2.e. & 1.E.2.f. and 8.E.2.a. & 8.E.2.b.

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

### GENERAL SOFTWARE NOTE

The Lists do not control "software" which is either:

1. Generally available to the public by being:

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

> > 1. Over-the-counter transactions;
> > 2. Mail order transactions; or
> > 3. Telephone call transactions; and

> b. Designed for installation by the user without further suhstantial support by the supplier; or

2. "In the public domain".

[4]

###

DUAL-USE LIST

## CATEGORY 1 - ADVANCED MATERIALS

1. A. SYSTEMS, EQUIPMENT AND COMPONENTS

1.A.1. 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 1.C.9.b. or 1.C.9.c.;

> b. Piezoelectric polymers and copolymers made from vinylidene fluoride materials specified in 1.C.9.a.:

> > 1. In sheet or film form; and

> > 2. With a thickness exceeding 200 µm;

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

1.A.2. "Composite" structures or laminates, having any of the following:

> a. An organic "matrix" and made from materials specified in 1.C.10.c., 1.C.10.d. or 1.C.10.e.; or

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

> > 1. Sporting goods;

> > 2. Automotive industry;

> > 3. Machine tool industry;

> > 4. Medical applications.

> b. A metal or carbon "matrix" and made from:

> > 1. Carbon "fibrous or filamentary materials" with:

> > > a. A "specific modulus" exceeding 10.15 x 106m; and

> > > b. A "specific tensile" strength exceeding 17.7 x 104m; or

> > 2. Materials specified in 1.C.10.c.

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

> > > 1. Sporting goods;

> > > 2. Automotive industry;

> > > 3. Machine tool industry;

> > > 4. Medical applications.

[5]

> Technical Notes

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

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

> Note 1.A.2. does not control composite structures or laminates made from epoxy resin impregnated carbon "fibrous or filamentary matgerials" for the repair of aircraft structures or laminates, provided the size does not exceed 1 m2.

1.A.3. Manufactures of non-fluorinated polymeric substances specified in 1.C.8.a.3. in film, sheet, tape or ribbon form:

> a. With a thickness exceeding 0.254 mm; or

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

> Note: 1.A.3. does not control manufactures when coated or laminated with copper and designed for the production of electronic printed circuit boards.

1.A.4. Protective and detection equipment and components not specially designed for military use, as follows:

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

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

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

> Note: 1.A.4. does not control :

> > a. Personal radiation monitoring dosimeters;

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

[6]

1.A.5. Body armour, and specially designed components therefor, not manufactured to military standards or specifications or to their equivalents in performance.

Note 1 1.A.5. does not control individual suits of body armour and accessories therefor, when accompanying their users for his/her own personal protection.

Note 2 1.A.5. does not control body armour designed to provide frontal protection only from both fragment and blast from non-military explosive devices.

1.B. TEST, INSPECTION AND PRODUCTION EQUIPMENT

1. Equipment for the production of fibres, prepregs, preforms or "composites" controlled by 1.A.2. or 1.C.10., as follows, and specially designed components and accessories therefor:

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

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

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

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

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

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

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

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

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

[7]

> e. Equipment for producing prepregs specified in 1.C.10.e. by the hot melt method;

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

1.B.2. Systems and components therefor, specially designed to avoid contamination and specially designed for producing metal alloys, metal alloy powder or alloyed materials specified in 1.C.2.a.2., 1.C.2.b. or 1.C.2.c.

1.B.3. Tools, dies, moulds or fixtures, for "superplastic forming" or "diffusion bonding" titanium or aluminium or their alloys, specially designed for the manufacture of:

> a. Airframe or aerospace structures;

> b. "Aircraft" or aerospace engines; or

> c. Specially designed components for those structures or engines.

1.C. MATERIALS

Technical Note

Metals and alloys

Unless provision to the contrary is made, the words 'metals' and 'alloys' cover crude and semi-fabricated forms, as follows:

Crude forms

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

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

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

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

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

[8]
1.C.1. Materials specially designed for use as absorbers of electromagnetic waves, or intrinsically conductive polymers, as follows:

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

> > Notes 1 1.C.1.a. does not control:

> > a. Hair type absorbers, constructed of natural or synthetic fibres, with non-magnetic loading to provide absorption;

> > b. Absorbers having no magnetic loss and whose incident surface is non-planar in shape, including pyramids, cones, wedges and convoluted surfaces;

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

> > > 1. Made from any of the following:

> > > > a. Plastic foam materials (flexible or non-flexible) with carbon-loading, or organic materials, including binders, providing more than 5% echo compared with metal over a bandwidth exceeding ± 15% of the centre frequency of the incident energy, and not capable of withstanding temperatures exceeding 450 K (177°C); or

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

> > > > Technical Note

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

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

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

> > d. Planar absorbers made of sintered ferrite, having:

> > > 1. A specific gravity exceeding 4.4; and

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

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

[9]

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

> 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;

> > 3. Polythiophene;

> > 4. Poly phenylene-vinylene; or

> > 5. Poly thienylene-vinylene.

> > Technical Note:

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

1.C.2. Metal alloys, metal alloy powder and alloyed materials, as follows:

Note: 1.C.2. does not control metal alloys, metal alloy powder and alloyed materials for coating substrates.

> a. Metal alloys, as follows:

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

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

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

> > 2. Metal alloys, as follows, made from metal alloy powder or particulate material specified in 1.C.2.b.:

> > > a. Nickel alloys with:

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

> > > > 2. A low cycle fatigue life of 10,000 cycles or more at 823 K (550°C) at a maximum stress of 1,095 MPa;

> > > b. Niobium alloys with:

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

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

> > > c. Titanium alloys with:

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

> > > > 2. A low cycle fatigue life of 10,000 cycles or more at 723 K (450°C) at a maximum stress of 400 MPa;

> > > d. Aluminium alloys with a tensile strength of:

> > > > 1. 240 MPa or more at 473 K (200°C); or

> > > > 2. 415 MPa or more at 298 K (25°C);

[10]

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

> > Technical Notes

> > 1. The metal alloys in 1.C.2.a. are those containing a higher percentage by weight of the stated metal than of any other element.

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

> > 3. Low cycle fatigue life should be measured in accordance with ASTM Standard E-606 'Recommended Practice for Constant-Amplitude Low-Cycle Fatigue Testing' or national equivalents. Testing should be axial with an average stress ratio equal to 1 and a stress-concentration factor (Kt) equal to 1. The average stress is defined as maximum stress minus minimum stress divided by maximum stress.

> b. Metal alloy powder or particulate material for materials specified in 1.C.2.a., as follows:

> > 1. Made from any of the following composition systems:

> > > Technical Note

> > > X in the following equals one or more alloying elements.

> > > a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine engine parts or components, i.e. with less than 3 non-metallic particles (introduced during the manufacturing process) larger than 100 µm in 109 alloy particles;

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

> > > c. Titanium alloys (Ti-Al-X or Ti-X-Al);

> > > d. Aluminium alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn, Al-Fe-X or Al-X-Fe); or

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

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

> > > a. "Vacuum atomisation";

> > > b. "Gas atomisation";

> > > c. "Rotary atomisation";

> > > d. "Splat quenching";

> > > e. "Melt spinning" and "comminution";

> > > f. "Melt extraction" and "comminution"; or

> > > g. "Mechanical alloying";

> c. Alloyed materials, in the form of uncomminuted flakes, ribbons or thin rods produced in a controlled environment by "splat quenching", "melt spinning" or "melt extraction", used in the manufacture of metal alloy powder or particulate material specified in 1.C.2.b.

[11]

1.C.3. Magnetic metals, of all types and of whatever form, having any of the following characteristics:

> a. Initial relative permeability of 120,000 or more and a thickness of 0.05 mm or less;

> Technical Note

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

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

> > 1. A saturation magnetostriction of more than 5 x 10-4; or

> > 2. A magnetomechanical coupling factor (k) of more than 0.8; or

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

> > 1. A composition having a minimum of 75 weight percent of iron, cobalt or nickel;

> > 2. A saturation magnetic induction (Bs) of 1.6 T or more; and

> > 3. Any of the following:

> > > a. A strip thickness of 0.02 mm or less; or

> > > b. An electrical resistivity of 2 x 10-4 ohm cm or more.

> > Technical Note

> > 'Nanocrystalline' materials in 1.C.3.c. are those materials having a crystal grain size of 50 nm or less, as determined by X-ray diffraction.

1.C.4. Uranium titanium alloys or tungsten alloys with a "matrix" based on iron, nickel or copper, having all of the following:

> a. A density exceeding 17.5 g/cm3;

> b. An elastic limit exceeding 1,250 MPa;

> c. An ultimate tensile strength exceeding 1,270 MPa; and

> d. An elongation exceeding 8%.

1.C.5. "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);

[12]

> 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 (-268.96°C) when exposed to a magnetic field corresponding to a magnetic induction of 12 T.

1.C.6. Fluids and lubricating materials, as follows:

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

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

> > Note For the purpose of 1.C.6.a.1., silahydrocarbon oils contain exclusively silicon, hydrogen and carbon.

> > > a. A flash point exceeding 477 K (204°C);

> > > b. A pour point at 239 K (-34°C) or less;

> > > c. A viscosity index of 75 or more; and

> > > d. A thermal stability at 616 K (343°C); or

> > 2. Chlorofluorocarbons, having all of the following:

> > Note For the purpose of 1.C.6.a.2., chlorofluorocarbons contain exclusively carbon, fluorine and chlorine.

> > > a. No flash point;

> > > b. An autogenous ignition temperature exceeding 977 K (704°C);

> > > c. A pour point at 219 K (-54°C) or less;

> > > d. A viscosity index of 80 or more; and

> > > e. A boiling point at 473 K (200°C) or higher;

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

> > 1. Phenylene or alkylphenylene ethers or thio-ethers, or their mixtures, containing more than two ether or thio-ether functions or mixtures thereof; or

> > 2. Fluorinated silicone fluids with a kinematic viscosity of less than 5,000 mm2/s (5,000 centistokes) measured at 298 K (25°C);

> c. Damping or flotation fluids with a purity exceeding 99.8%, containing less than 25 particles of 200 µm or larger in size per 100 ml and made from at least 85% of any of the following compounds or materials:

> > 1. Dibromotetrafluoroethane;

> > 2. Polychlorotrifluoroethylene (oily and waxy modifications only); or

> > 3. Polybromotrifluoroethylene;

[13]

> 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;

> > > b. Perfluoroalkylamines;

> > > c. Perfluorocycloalkanes; or

> > > d. Perfluoroalkanes;

> > 2. Density at 298 K (25°C) of 1.5 g/ml or more;

> > 3. In a liquid state at 273 K (0°C); and

> > 4. Containing 60% or more by weight of fluorine.

> Technical Note

> For the purpose of 1.C.6.:

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

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

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

> > d. Thermal stability is determined by the following test procedure or national equivalents:

> > Twenty ml of the fluid under test is placed in a 46 ml type 317 stainless steel chamber containing one each of 12.5 mm (nominal) diameter balls of M-10 tool steel, 52100 steel and naval bronze (60% Cu, 39% Zn, 0.75% Sn);

> > The chamber is purged with nitrogen, sealed at atmospheric pressure and the temperature raised to and maintained at 644 ± 6 K (371 ± 6°C) for six hours;

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

> > > 1. The loss in weight of each ball is less than 10 mg/mm2 of ball surface;

> > > 2. The change in original viscosity as determined at 311 K (38°C) is less than 25%; and

> > > 3. The total acid or base number is less than 0.40;

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

[14]

1.C.7. Ceramic base materials, non-"composite" ceramic materials, ceramic-"matrix" "composite" materials and precursor materials, as follows:

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

> b. Non-"composite" ceramic materials in crude or semi-fabricated form, composed of borides of titanium with a density of 98% or more of the theoretical density;

> Note 1.C.7.b. does not control abrasives.

> c. Ceramic-ceramic "composite" materials with a glass or oxide-"matrix" and reinforced with fibres made from any of the following systems:

> > 1. Si-N;

> > 2. Si-C;

> > 3. Si-Al-O-N; or

> > 4. Si-O-N;

> having a specific tensile strength exceeding 12.7 x 103 m;

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

> e. Precursor materials (i.e., special purpose polymeric or metallo-organic materials) for producing any phase or phases of the materials specified in 1.C.7.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: 1.C.7.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.

[15]

1.C.8. Non-fluorinated polymeric substances, as follows:

> a.

> > 1. Bismaleimides;

> > 2. Aromatic polyamide-imides;

> > 3. Aromatic polyimides;

> > 4. Aromatic polyetherimides having a glass transition temperature (Tg) exceeding 513 K (240°C) determined using the dry method described in ASTM D 3418;

> > Note 1.C.8.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:

> > 1. Any of the following:

> > > a. Phenylene, biphenylene or naphthalene; or

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

> > 2. Any of the following acids:

> > > a. Terephthalic acid;

> > > b. 6-hydroxy-2 naphthoic acid; or

> > > c. 4-hydroxybenzoic acid;

> c. Polyarylene ether ketones, as follows:

> > 1. Polyether ether ketone (PEEK);

> > 2. Polyether ketone ketone (PEKK);

> > 3. Polyether ketone (PEK);

> > 4. Polyether ketone ether ketone ketone (PEKEKK);

> d. Polyarylene ketones;

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

> f. Polybiphenylenethersulphone.

> Technical Note

> The glass transition temperature (Tg) for 1.C.8. materials is determined using the method described in ASTM D 3418 using the dry method.

1.C.9. Unprocessed fluorinated compounds, as follows:

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

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

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

[16]

1.C.10. "Fibrous or filamentary materials" which may be used in organic "matrix", metallic "matrix" or carbon "matrix" "composite" structures or laminates, as follows:

> 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 1.C.10.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

> > 2. A specific tensile strength exceeding 23.5 x 104 m;

> > Technical Note

> > Properties for materials described in 1.C.10.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.

> > Note 1.C.10.b. does not control fabric made from "fibrous or filamentary materials" for the repair of aircraft structures or laminates, in which the size of individual sheets does not exceed 50 cm x 90 cm.

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

> > 1. A specific modulus exceeding 2.54 x 106 m; and

> > 2. A melting, softening, decomposition or sublimation point exceeding 1,922 K (1,649°C) in an inert environment;

> > Note 1.C.10.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;

> > > 2. Molybdenum and molybdenum alloy fibres;

> > > 3. Boron fibres;

> > > 4. Discontinuous ceramic fibres with a melting, softening, decomposition or sublimation point lower than 2,043 K (1,770°C) in an inert environment.

> d. "Fibrous or filamentary materials":

> > 1. Composed of any of the following:

> > > a. Polyetherimides specified in 1.C.8.a.; or

> > > b. Materials specified in 1.C.8.b. to 1.C.8.f.; or

> > 2. Composed of materials specified in 1.C.10.d.1.a. or 1.C.10.d.1.b. and "commingled" with other fibres specified in 1.C.10.a., 1.C.10.b. or 1.C.10.c.;

[17]

> 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 1.C.10.a., 1.C.10.b. or 1.C.10.c.;

> > 2. Made from organic or carbon "fibrous or filamentary materials":

> > > a. With a "specific tensile strength" exceeding 17.7 x 104 m;

> > > b. With a "specific modulus" exceeding 10.15 x 106 m;

> > > c. Not controlled by 1.C.10.a. or 1.C.10.b.; and

> > > d. When impregnated with materials specified in 1.C.8. or 1.C.9.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 1.C.10.e. does not control:

> > > 1. 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;

> > > 2. Prepregs when impregnated with phenolic or epoxy resins having a glass transition temperature (Tg) less than 433 K (160°C) and a cure temperature lower than the glass transition temperature.

> > Technical Note

> > The glass transition temperature (Tg) for 1.C.10.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.

> Technical Notes

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

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

[18]

1.C.11. Metals and compounds, as follows:

> a. Metals in particle sizes of less than 60 µm whether spherical, atomised, spheroidal, flaked or ground, manufactured from material consisting of 99% or more of zirconium, magnesium and alloys of these;

> N.B.: The metals or alloys listed in 1.C.11.a. are controlled whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium.

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

> N.B.: The metals or alloys listed in 1.C.11.b. are controlled whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium.

> c. Guanidine nitrate.

1.C.12. Materials for nuclear heat sources, as follows:

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

> Note 1.C.12.a. does not control:

> > 1. Shipments with a plutonium content of 1 g or less;

> > 2. Shipments of 3 "effective grammes" or less when contained in a sensing component in instruments.

> b. "Previously separated" neptunium-237 in any form.

> Note 1.C.12.b. does not control shipments with a neptunium-237 content of 1 g or less.

1.D. SOFTWARE

1.D.1. "Software" specially designed or modified for the "development", "production" or "use" of equipment specified in 1.B.

1.D.2. "Software" for the "development" of organic "matrix", metal "matrix" or carbon "matrix" laminates or "composites".

[19]

1.E. TECHNOLOGY

1.E.1. "Technology" according to the General Technology Note: for the "development" or "production" of equipment or materials specified in 1.A.1.b., 1.A.1.c., 1.A.2. to 1.A.5., 1.B. or 1.C.

1.E.2 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;

> 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:

> > > > 1. 1,000 ppm for single oxides or carbides; or

> > > > 2. 5,000 ppm for complex compounds or single nitrides;

> > > and

> > > c. Having any of the following:

> > > > 1. Average particle size equal to or less than 5 µm and no more than 10% of the particles larger than 10 µm; or

> > > > Note For zirconia, these limits are 1 µm and 5 µm respectively.

> > > > 2. 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 1.E.2.c.1;

> > Note 1.E.2.c.2. does not control technology for the design or production of abrasives.

> d. "Technology" for the "production" of aromatic polyamide fibres;

[20]

> e. "Technology" for the installation, maintenance or repair of materials specified in 1.C.1.;

> f. "Technology" for the repair of "composite" structures, laminates or materials specified in 1.A.2., 1.C.7.c. or 1.C.7.d.

> Note 1.E.2.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.

[21]

## CATEGORY 2 - MATERIALS PROCESSING

2.A. SYSTEMS, EQUIPMENT AND COMPONENTS

(For quiet running bearings, see Item 9 on the Munitions List.)*

2.A.1. Anti-friction bearings and bearing systems, as follows, and components therefor:

Note: 2.A.1. 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 ABEC 7, ABEC 7P, ABEC 7T or ISO Standard Class 4 or better (or national equivalents), and having rings, balls or rollers made from monel or beryllium;

> Note; 2.A.1.a. does not control tapered roller bearings.

> b. Other ball bearings and solid roller bearings having tolerances specified by the manufacturer in accordance with ABEC 9, ABEC 9P or ISO Standard Class 2 or better (or national equivalents);

> Note: 2.A.1.b. does not control tapered roller bearings.

> c. Active magnetic bearing systems using any of the following:

> > 1. Materials with flux densities of 2.0 T or greater and yield strengths greater than 414 MPa;

> > 2. All-electromagnetic 3D homopolar bias designs for actuators; or

> > 3. High temperature (450 K (177°C) and above) position sensors.

2.B. TEST, INSPECTION AND PRODUCTION EQUIPMENT

Technical Notes

1. Secondary parallel contouring axes, (e.g., the w-axis on horizontal boring mills or a secondary rotary axis the centre line of which is parallel to the primary rotary axis) are not counted in the total number of contouring axes.

> N.B. Rotary axes need not rotate over 360. A rotary axis can be driven by a linear device (e.g., a screw or a rack-and-pinion).

2. Axis nomenclature shall be in accordance with International Standard ISO 841, 'Numerical Control Machines - Axis and Motion Nomenclature'.
3. For the purposes of this Category a "tilting spindle" is counted as a rotary axis.

_________________

* France and the Russian Federation view this list as reference drawn up to help in the selection of dual-use goods which could contribute to the indigenous development, production or enhancement of conventional munitions capabilities.

[22]

4. Guaranteed positioning accuracy levels instead of individual test protocols may be used for each machine tool model using the agreed ISO test procedure.
5. The positioning accuracy of "numerically controlled" machine tools is to be determined and presented in accordance with ISO 230/2.

2.B.1. Machine tools, as follows, and any combination thereof, for removing (or cutting) metals, ceramics or "composites", which, according to the manufacturer's technical specification, can be equipped with electronic devices for "numerical control":

> a. Machine tools for turning, having all of the following characteristics:

> > 1. Positioning accuracy with all compensations available of less (better) than 6 µm along any linear axis (overall positioning); and

> > 2. Two or more axes which can be coordinated simultaneously for "contouring control";

> > Note 2.B.1.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.

> > > a. Positioning accuracy with all compensations available of less (better) than 6 µm along any linear axis (overall positioning); and

> > > b. Three linear axes plus one rotary axis which can be coordinated simultaneously for "contouring control";

> > 2. Five or more axes which can be coordinated simultaneously for "contouring control"; or

> > 3. A positioning accuracy for jig boring machines, with all compensations available, of less (better) than 4 µm along any linear axis (overall positioning);

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

> > 1.

> > > a. Positioning accuracy with all compensations available of less (better) than 4 µm along any linear axis (overall positioning); 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";
> > Note 2.B.1.c. does not control grinding machines, as follows:

> > > 1. Cylindrical external, internal, and external-internal grinding machines having all the following characteristics:

> > > > a. Limited to cylindrical grinding; and

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

> > > 2. Machines designed specifically as jig grinders having any of the following characteristics:

> > > > a. The c-axis is used to maintain the grinding wheel normal to the work surface; or

[23]

> > > > b. The a-axis is configured to grind barrel cams.

> > > 3. Tool or cutter grinding machines shipped as complete systems with "software" specially designed for the production of tools or cutters.

> > > 4. Crank shaft or cam shaft grinding machines.

> > > 5. Surface grinders.

> d. Electrical discharge machines (EDM) of the non-wire type which have two or more rotary axes which can be coordinated simultaneously for "contouring control";
> e. Machine tools for removing metals, ceramics or "composites":

> > 1. By means of:

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

> > > b. Electron beam; or

> > > c. "Laser" beam; and

> > 2. Having two or more rotary axes which:

> > > a. Can be coordinated simultaneously for "contouring control"; and

> > > b. Have a positioning accuracy of less (better) than 0.003°;

> f. Deep-hole-drilling machines and turning machines modified for deep-hole-drilling, having a maximum depth-of-bore capability exceeding 5,000 mm and specially designed components therefor.

2.B.2. Non-"numerically controlled" machine tools for generating optical quality surfaces, as follows, and specially designed components therefor:

> a. Turning machines using a single point cutting tool and having all of the following characteristics:

> > 1. Slide positioning accuracy less (better) than 0.0005 mm per 300 mm of travel;

> > 2. Bidirectional slide positioning repeatability less (better) than 0.00025 mm per 300 mm of travel;

> > 3. Spindle "run out" and "camming" less (better) than 0.0004 mm TIR;

> > 4. Angular deviation of the slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel; and

> > 5. Slide perpendicularity less (better) than 0.001 mm per 300 mm of travel;

> > Technical Note

> > The bidirectional slide positioning repeatability (R) of an axis is the maximum value of the repeatability of positioning at any position along or around the axis determined using the procedure and under the conditions specified in part 2.11 of ISO 230/2: 1988.

> b. Fly cutting machines having all of the following characteristics:

> > 1. Spindle "run out" and "camming" less (better) than 0.000 mm TIR; and

[24]

> > 2. Angular deviation of slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel.

2.B.3. "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).

2.B.4. Hot "isostatic presses", having all of the following, and specially designed dies, moulds, components, accessories and controls therefor:

> a. A controlled thermal environment within the closed cavity and possessing a chamber cavity with an inside diameter of 406 mm or more; and

> b. Any of the following:

> > 1. A maximum working pressure exceeding 207 MPa;

> > 2. A controlled thermal environment exceeding 1,773 K (1,500°C); or

> > 3. A facility for hydrocarbon impregnation and removal of resultant gaseous degradation products.

> Technical Note

> The inside chamber dimension is that of the chamber in which both the working temperature and the working pressure are achieved and does not include fixtures. That dimension will be the smaller of either the inside diameter of the pressure chamber or the inside diameter of the insulated furnace chamber, depending on which of the two chambers is located inside the other.

2.B.5. Equipment specially designed for the deposition, processing and in-process control of inorganic overlays, coatings and surface modifications, as follows, for non-electronic substrates, by processes shown in the Table and associated Notes following 2.E.3.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:

> > > a. Pulsating CVD;

> > > b. Controlled nucleation thermal decomposition (CNTD); or

> > > c. Plasma enhanced or plasma assisted CVD; and

> > 2. Any of the following:

> > > a. Incorporating high vacuum (equal to or less than 0.01 Pa) rotating seals; or

> > > b. Incorporating in situ coating thickness control;

> b. "Stored programme controlled" ion implantation production equipment having beam currents of 5 mA or more;

> c. "Stored programme controlled" electron beam physical vapour deposition (EB-PVD) production equipment incorporating all of the following:

[25]

> > 1. Power systems rated for over 80 kW;

> > 2. A liquid pool level "laser" control system which regulates precisely the ingots feed rate; and

> > 3. A computer controlled rate monitor operating on the principle of photo-luminescence of the ionised atoms in the evaporant stream to control the deposition rate of a coating containing two or more elements;

> d. "Stored programme controlled" plasma spraying production equipment having any of the following characteristics:

> > 1. Operating at reduced pressure controlled atmosphere (equal to or less than 10 kPa measured above and within 300 mm of the gun nozzle exit) in a vacuum chamber capable of evacuation down to 0.01 Pa prior to the spraying process; or

> > 2. Incorporating in situ coating thickness control;

> e. "Stored programme controlled" sputter deposition production equipment capable of current densities of 0.1 mA/mm2 or higher at a deposition rate of 15 µm/h or more;

> f. "Stored programme controlled" cathodic arc deposition production equipment incorporating a grid of electromagnets for steering control of the arc spot on the cathode;

> g. "Stored programme controlled" ion plating production equipment allowing for the in situ measurement of any of the following:

> > 1. Coating thickness on the substrate and rate control; or

> > 2. Optical characteristics.

> Note 2.B.5.a., 2.B.5.b., 2.B.5.e., 2.B.5.f., and 2.B.5.g. do not control chemical vapour deposition, cathodic arc, sputter deposition, ion plating or ion implantation equipment specially designed for cutting or machining tools.

2.B.6. 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;

> b. Linear and angular displacement measuring instruments, as follows:

> > 1. Linear measuring instruments having any of the following:

> > > a. Non-contact type measuring systems with a "resolution" equal to or less (better) than 0.2 µm within a measuring range up to 0.2 mm;

> > > b. Linear voltage differential transformer systems having all of the following characteristics:

> > > > 1. "Linearity" equal to or less (better) than 0.1% within a measuring range up to 5 mm; and

> > > > 2. Drift equal to or less (better) than 0.1% per day at a standard ambient test room temperature ± 1 K; or

> > > c. Measuring systems having all of the following:

[26]

> > > > 1. Containing a "laser"; and

> > > > 2. Maintaining, for at least 12 hours, over a temperature range of ± 1 K around a standard temperature and at a standard pressure, all of the following:

> > > > > a. A "resolution" over their full scale of 0.1 µm or less (better); and

> > > > > b. A "measurement uncertainty" equal to or less (better) than (0.2 + L/2,000) µm (L is the measured length in mm);

> > Note 2.B.6.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 2.B.6.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 2.B.6. is controlled if it exceeds the control threshold anywhere within its operating range.

2.B.7. "Robots" having any of the following characteristics and specially designed controllers and "end-effectors" therefor:

> a. Capable in real time of full three-dimensional image processing or full three-dimensional scene analysis to generate or modify "programmes" or to generate or modify numerical programme data;

> Note The scene analysis limitation does not include approximation of the third dimension by viewing at a given angle, or limited grey scale interpretation for the perception of depth or texture for the approved tasks (2 1/2 D).

> b. Specially designed to comply with national safety standards applicable to explosive munitions environments;

> c. Specially designed or rated as radiation-hardened to withstand greater than 5 x 103 Gy (Si) without operational degradation; or

> d. Specially designed to operate at altitudes exceeding 30,000 m.

[27]

2.B.8. Assemblies, units or inserts specially designed for machine tools, or for equipment specified in 2.B.6. or 2.B.7., as follows:

> a. Linear position feedback units (e.g., inductive type devices, graduated scales, infrared systems or "laser" systems) having an overall "accuracy" less (better) than (800 + (600 x L x 10-3)) nm (L equals the effective length in mm);

> Note For "laser" systems see also Note to 2.B.6.b.1.

> b. Rotary position feedback units (e.g., inductive type devices, graduated scales, infrared systems or "laser" systems) having an "accuracy" less (better) than 0.00025°;

> Note For "laser" systems see also Note to 2.B.6.b.1.

> c. "Compound rotary tables" and "tilting spindles", capable of upgrading, according to the manufacturer's specifications, machine tools to or above the levels specified in 2.B.

2.B.9. 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:

> a. Two or more controlled axes of which at least two can be coordinated simultaneously for "contouring control"; and
> b. A roller force more than 60 kN.

> Technical Note

> Machines combining the function of spin-forming and flow-forming are for the purpose of 2.B.9. regarded as flow-forming machines.

2.C. MATERIALS - None.

2.D. SOFTWARE

2.D.1. "Software" specially designed or modified for the "development", "production" or "use" of equipment specified in 2.A. or 2.B.

2.D.2. "Software" for electronic devices, even when residing in an electronic device or system, enabling such devices or systems to function as a "numerical control" unit, capable of any of the following:

> a. Coordinating simultaneously more than 4 axes for "contouring control"; or

> b. "Real time processing" of data to modify tool path, feed rate and spindle data, during the machining operation, by any of the following:

> > 1. Automatic calculation and modification of part program data for machining in two or more axes by means of measuring cycles and access to source data; or

> > 2. "Adaptive control" with more than one physical variable measured and processed by means of a computing model (strategy) to change one or more machining instructions to optimize the process.

[28]

> Note 2.D.2. does not control "software" specially designed or modified for the operation of machine tools not controlled by Category 2.

2.E. TECHNOLOGY

2.E.1. "Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 2.A., 2.B. or 2.D.

2.E.2. "Technology" according to the General Technology Note for the "production" of equipment specified in 2.A. or 2.B.

2.E.3. Other "technology", as follows:

> a. "Technology" for the "development" of interactive graphics as an integrated part in "numerical control" units for preparation or modification of part programmes;

> b. "Technology" for metal-working manufacturing processes, as follows:

> > 1. "Technology" for the design of tools, dies or fixtures specially designed for any of the following processes:

> > > a. "Superplastic forming";

> > > b. "Diffusion bonding"; or

> > > c. "Direct-acting hydraulic pressing";

> > 2. Technical data consisting of process methods or parameters as listed below used to control:

> > > a. "Superplastic forming" of aluminium alloys, titanium alloys or "superalloys":

> > > > 1. Surface preparation;

> > > > 2. Strain rate;

> > > > 3. Temperature;

> > > > 4. Pressure;

> > > b. "Diffusion bonding" of "superalloys" or titanium alloys:

> > > > 1. Surface preparation;

> > > > 2. Temperature;

> > > > 3. Pressure;

> > > c. "Direct-acting hydraulic pressing" of aluminium alloys or titanium alloys:

> > > > 1. Pressure;

> > > > 2. Cycle time;

[29]

> > > d. "Hot isostatic densification" of titanium alloys, aluminium alloys or "superalloys":

> > > > 1. Temperature;

> > > > 2. Pressure;

> > > > 3. Cycle time;

> c. "Technology" for the "development" or "production" of hydraulic stretch-forming machines and dies therefor, for the manufacture of airframe structures;

> d. "Technology" for the "development" of generators of machine tool instructions (e.g., part programmes) from design data residing inside "numerical control" units;

> e. "Technology for the development" of integration "software" for incorporation of expert systems for advanced decision support of shop floor operations into "numerical control" units;

> f. "Technology" for the application of inorganic overlay coatings or inorganic surface modification coatings (specified in column 3 of the following table) to non-electronic substrates (specified in column 2 of the following table), by processes specified in column 1 of the following table and defined in the Technical Note.

[30]

TABLE - DEPOSITION TECHNIQUES

    1. Coating Process (1)*  2. Substrate             3. Resultant Coating

    A. Chemical Vapour          "Superalloys"            Aluminides for internal
       Deposition (CVD)                                  passages

                                Ceramics and Low-        Silicides
                                expansion glasses(14)    Carbides
                                                         Dielectric layers (15)

                                Carbon-carbon,           Silicides
                                Ceramic and              Carbides
                                Metal "matrix"           Refractory metals
                                "composites"             Mixtures thereof (4)
                                                         Dielectric layers (15)
                                                         Aluminides
                                                         Alloyed aluminides (2)

                                Cemented tungsten        Carbides
                                carbide (16),            Tungsten
                                Silicon carbide          Mixtures thereof (4)
                                                         Dielectric layers (15)

                                Molybdenum and           Dielectric layers (15)
                                Molybdenum alloys
                                Beryllium and            Dielectric layers (15)
                                Beryllium alloys
                                Sensor window            Dielectric layers (15)
                                materials (9)

    ___________________________________________________________________________

    B. Thermal-Evaporation
       Physical Vapour
       Deposition (TE-PVD)

       1. Physical Vapour       "Superalloys"            Alloyed silicides
          Deposition (PVD):                              Alloyed aluminides (2)
          Electron-Beam                                  MCrAlX (5)
          (EB-PVD)                                       Modified zirconia (12)
                                                         Silicides
                                                         Aluminides
                                                         Mixtures thereof (4)

    * The numbers in parenthesis refer to the Notes following this Table.

    [31]

                           TABLE - DEPOSITION TECHNIQUES

    1. Coating Process (1)    2. Substrate              3. Resultant Coating

    B.1.  (continued)            Ceramics and Low-         Dielectric layers (15)
                                 expansion glasses
                                 (14)

                                 Corrosion resistant       MCrAlX (5)
                                 steel (7)                 Modified zirconia (12)
                                                           Mixtures thereof (4)

                                 Carbon-carbon,            Silicides
                                 Ceramic and               Carbides
                                 Metal "matrix"            Refractory metals
                                 "composites"              Mixtures thereof (4)
                                                           Dielectric layers (15)

                                 Cemented tungsten         Carbides
                                 carbide (16),             Tungsten
                                 Silicon carbide           Mixtures thereof (4)
                                                           Dielectric layers (15)

                                 Molybdenum and            Dielectric layers (15)
                                 Molybdenum alloys
                                 Beryllium and             Dielectric layers (15)
                                 Beryllium alloys          Borides
                                 Sensor window             Dielectric layers (15)
                                 materials (9)
                                 Titanium alloys (13)      Borides
                                                           Nitrides

    _____________________________________________________________________________

    B.2. Ion assisted            Ceramics and Low-         Dielectric layers (15)
         resistive heating       expansion glasses (14)
         Physical Vapour
         Deposition (lon
         Plating)
                                 Carbon-carbon,            Dielectric layers (15)
                                 Ceramic and
                                 Metal "matrix"
                                 "composites"

    [32]

                           TABLE - DEPOSITION TECHNIQUES

    1. Coating Process (1)    2. Substrate              3. Resultant Coating

    B.2.  (continued)            Cemented tungsten         Dielectric layers (15)
                                 carbide (16),
                                 Silicon carbide

                                 Molybdenum and
                                 Molybdenum alloys         Dielectric layers (15)

                                 Beryllium and
                                 Beryllium alloys          Dielectric layers (15)

                                 Sensor window             Dielectric layers (15)
                                 materials (9)

    _____________________________________________________________________________

    B.3. Physical Vapour         Ceramics and Low-         Silicides
         Deposition:             expansion glasses (14)    Dielectric layers (15)
         "laser" evaporation
                                 Carbon-carbon,            Dielectric layers (15)
                                 Ceramic and
                                 Metal "matrix"
                                 "composites

                                 Cemented tungsten         Dielectric layers (15)
                                 carbide (16),
                                 Silicon carbide

                                 Molybdenum and            Dielectric layers (15)
                                 Molybdenum alloys

                                 Beryllium and             Dielectric layers (15)
                                 Beryllium alloys

                                 Sensor window             Dielectric layers (15)
                                 materials (9)             Diamond-like carbon

    _____________________________________________________________________________

    B.4. Physical                "Superalloys"             Alloyed silicides
         Vapour Deposition:                                Alloyed aluminides (2)
         cathodic arc discharge                            MCrAlX (5)

                                 Polymers (11) and         Borides
                                 Organic"matrix"           Carbides
                                 "composites"              Nitrides

    [33]

                           TABLE - DEPOSITION TECHNIQUES

    1. Coating Process (1)    2. Substrate              3. Resultant Coating

    C. Pack cementation          Carbon-carbon,            Silicides
       (see A above for          Ceramic and               Carbides
       out-of-pack               Metal "matrix"            Mixtures thereof (4)
       cementation) (10)         "composites"

                                 Titanium alloys (13)      Silicides
                                                           Aluminides
                                                           Alloyed aluminides (2)

                                 Refractory metals         Silicides
                                 and alloys (8)            Oxides

    _____________________________________________________________________________

    D. Plasmaspraying            "Superalloys"             MCrAlX (5)
                                                           Modified zirconia (12)
                                                           Mixtures thereof (4)
                                                           Abradable Nickel-
                                                           Graphite
                                                           Abradable
                                                           Ni-Cr-AI-Bentonite
                                                           Abradable Al-Si-
                                                           Polyester
                                                           Alloyed aluminides (2)

                                 Aluminium alloys (6)      MCrAlX (5)
                                                           Modified zirconia (12)
                                                           Silicides
                                                           Mixtures thereof (4)

                                 Refractory metals         Aluminides
                                 and alloys (8)            Silicides
                                                           Carbides

                                 Corrosion resistant
                                 steel (7)                 Modified zirconia (12)
                                                           Mixtures thereof (4)

    [34]

                           TABLE - DEPOSITION TECHNIQUES

    1. Coating Process (1)    2. Substrate              3. Resultant Coating

    D. (continued)               Titanium alloys (13)      Carbides
                                                           Aluminides
                                                           Silicides
                                                           Alloyed aluminides (2)
                                                           Abradable Nickel-
                                                           Graphite
                                                           Abradable
                                                           Ni-Cr-AI-Bentonite
                                                           Abradable Al-Si-Polyester
                                                           Polyester

    _____________________________________________________________________________

    E. Slurry Deposition         Refractory metals         Fused silicides
       and alloys (8)                                      Fused aluminides
                                                           except for resistance
                                                           heating elements

                                 Carbon-carbon,            Silicides
                                 Ceramic and               Carbides
                                 Metal "matrix"            Mixtures thereof (4)
                                 "composites "

    ______________________________________________________________________________

    F. Sputter Deposition        "Superalloys"             Alloyed silicides
                                                           Alloyed aluminides (2)
                                                           Noble metal modified
                                                           aluminides (3)
                                                           MCrAlX (5)
                                                           Modified zirconia (12)
                                                           Platinum
                                                           Mixtures thereof (4)

                                  Ceramics and Low-        Silicides
                                  expansion glasses        Platinum
                                  (14)                     Mixtures thereof (4)
                                                           Dielectic layers (15)

                                  Titanium alloys (13)     Borides
                                                           Nitrides
                                                           Oxides
                                                           Silicides
                                                           Aluminides
                                                           Alloyed aluminides (2)
                                                           Carbides

    [35]

                           TABLE - DEPOSITION TECHNIQUES

    1. Coating Process (1)    2. Substrate              3. Resultant Coating

    F. (continued)               Carbon-carbon,            Silicides
                                 Ceramic and               Carbides
                                 Metal "matrix"            Refractory metals
                                 "composites"              Mixtures thereof (4)
                                                           Dielectric layers (15)

                                 Cemented tungsten         Carbides
                                 carbide (16),             Tungsten
                                 Silicon carbide           Mixtures thereof (4)
                                                           Dielectric layers (15)

                                 Molybdenum and
                                 Molybdenum alloys         Dielectric layers (15)
                                 Beryllium and             Borides
                                 Beryllium alloys          Dielectric layers (15)
                                 Sensor window             Dielectric layers (15)
                                 materials (9)

                                 Refractory metals         Aluminides
                                 and alloys (8)            Silicides
                                                           Oxides
                                                           Carbides

    ____________________________________________________________________________

    G. Ion Implantation          High temperature          Additions of
                                 bearing steels            Chromium
                                                           Tantalum or
                                                           Niobium (Columbium)

                                 Titanium alloys (13)      Borides
                                                           Nitrides

                                 Beryllium and             Borides
                                 Beryllium alloys

                                 Cemented tungsten         Carbides
                                 carbide (16)              Nitrides

[36]

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. Mixtures consist of infiltrated material, graded compositions, co-deposits and multilayer deposits and are obtained by one or more of the coating processes specified in the Table.

5. MCrAlX refers to a coating alloy where M equals cobalt, iron, nickel or combinations thereof and X equals hafnium, yttrium, silicon, tantalum in any amount or other intentional additions over 0.01 weight percent in various proportions and combinations, except:

> a. CoCrAlY coatings which contain less than 22 weight percent of chromium, less than 7 weight percent of aluminium and less than 2 weight percent of yttrium;

> b. CoCrAlY coatings which contain 22 to 24 weight percent of chromium, 10 to 12 weight percent of aluminium and 0.5 to 0.7 weight percent of yttrium; or

> c. NiCrAlY coatings which contain 21 to 23 weight percent of chromium, 10 to 12 weight percent of aluminium and 0.9 to1.1 weight percent of yttrium.

6. The term 'aluminium alloys' refers to alloys having an ultimate tensile strength of 190 MPa or more measured at 293 K (20°C).

7. The term 'corrosion resistant steel' refers to AISI (American Iron and Steel Institute) 300 series or equivalent national standard steels.

8. Refractory metals consist of 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 and the following metal halides: potassium iodide, potassium fluoride, or sensor window materials of more than 40 mm diameter for thallium bromide and thallium chlorobromide.

10. "Technology" for single-step pack cementation of solid airfoils is not controlled by Category 2.

[37]

11. Polymers, as follows: polyimide, polyester, polysulphide, polycarbonates and polyurethanes.

12. Modified zirconia refers to additions of other metal oxides (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) to zirconia in order to stabilise certain crystallographic phases and phase compositions. Thermal barrier coatings made of zirconia, modified with calcia or magnesia by mixing or fusion, are not controlled.

13. Titanium alloys refers 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.

16. Cemented tungsten carbide does not include cutting and forming tool materials consisting of tungsten carbide/(cobalt, nickle), titanium carbide/(cobalt, nickle), chromium carbide/nickle-chromium and chromium carbide/nickle.

[38]

TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE

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

> a. Chemical Vapour Deposition (CVD) is an overlay coating or surface modification coating process wherein a metal, alloy, "composite", dielectric or ceramic is deposited upon a heated substrate. Gaseous reactants are decomposed or combined in the vicinity of a substrate resulting in the deposition of the desired elemental, alloy or compound material-on the substrate. Energy for this decomposition or chemical reaction process may be provided by the heat of the substrate, a glow discharge plasma, or "laser" irradiation.

> > N.B.1 CVD includes the following processes: directed gas flow out-of-pack deposition, pulsating CVD, controlled nucleation thermal decomposition (CNTD), plasma enhanced or plasma assisted CVD processes.

> > N.B.2 Pack denotes a substrate immersed in a powder mixture.

> > N.B.3 The gaseous reactants used in the out-of-pack process are produced using the same basic reactions and parameters as the pack cementation process, except that the substrate to be coated is not in contact with the powder mixture.

> b. Thermal Evaporation-Physical Vapour Deposition (TE-PVD) is an overlay coating process conducted in a vacuum with a pressure less than 0.1 Pa wherein a source of thermal energy is used to vaporize the coating material. This process results in the condensation, or deposition, of the evaporated species onto appropriately positioned substrates.
> The addition of gases to the vacuum chamber during the coating process to synthesize compound coatings is an ordinary modification of the process.
> The use of ion or electron beams, or plasma to activate or assist the coating's deposition is also a common modification in this technique. The use of monitors to provide in-process measurement of optical characteristics and thickness of coatings can be a feature of these processes.

[39]

TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE

Processes specified in Column 1 of the Table - continued:

> b. 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. Resistive Heating PVD employs electrically resistive heating sources capable of producing a controlled and uniform flux of evaporated coating species;

> > 3. "Laser" Evaporation uses either pulsed or continuous wave "laser" beams to heat the material which forms the coating;

> > 4. Cathodic Arc Deposition employs a consumable cathode of the material which forms the coating and has an arc discharge established on the surface by a momentary contact of a ground trigger. Controlled motion of arcing erodes the cathode surface creating a highly ionized plasma. The anode can be either a cone attached to the periphery of the cathode, through an insulator, or the chamber. Substrate biasing is used for non line-of-sight deposition.

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

> c. Ion Plating is a special modification of a general TE-PVD process in which a plasma or an ion source is used to ionize the species to be deposited, and a negative bias is applied to the substrate in order to facilitate the extraction of the species to be deposited from the plasma. The introduction of reactive species, evaporation of solids within the process chamber, and the use of monitors to provide in-process measurement of optical characteristics and thicknesses of coatings are ordinary modifications of the process.
> d. Pack Cementation is a surface modification coating or overlay coating process wherein a substrate is immersed in a powder mixture (a pack), that consists of:

> > 1. The metallic powders that are to be deposited (usually aluminium, chromium, silicon or combinations thereof);

> > 2. An activator (normally a halide salt); and

> > 3. An inert powder, most frequently alumina.
> > The substrate and powder mixture is contained within a retort which is heated to between 1,030 K (757°C) and 1,375 K (1,102°C) for sufficient time to deposit the coating.

[40]

TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE

Processes specified in Column 1 of the Table - continued:

> e. Plasma Spraying is an overlay coating process wherein a gun (spray torch) which produces and controls a plasma accepts powder or wire coating materials, melts them and propels them towards a substrate, whereon an integrally bonded coating is formed. Plasma spraying constitutes either low pressure plasma spraying or high velocity plasma spraying carried out under-water.

> > N.B. 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.

> f. 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.
> g. 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 vapourisation of non-metallic coating materials.

> > N.B.2 Low-energy ion beams (less than 5 keV) can be used to activate the deposition.

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

[41]

TABLE - DEPOSITION TECHNIQUES - STATEMENT OF UNDERSTANDING

It is understood that the following technical information, accompanying the table of deposition techniques, is for use as appropriate.

1. "Technology" for pretreatments of the substrates listed in the Table, as follows:

> a. Chemical stripping and cleaning bath cycle parameters, as follows:

> > 1. Bath composition

> > > a. For the removal of old or defective coatings, corrosion product or foreign deposits;

> > > b. For preparation of virgin substrates;

> > 2. Time in bath;

> > 3 . Temperature of bath;

> > 4. Number and sequences of wash cycles;

> b. Visual and macroscopic criteria for acceptance of the cleaned part;

> c. Heat treatment cycle parameters, as follows:

> > 1. Atmosphere parameters, as follows:

> > > a. Composition of the atmosphere;

> > > b. Pressure of the atmosphere;

> > 2. Temperature for heat treatment;

> > 3. Time of heat treatment;

> d. Substrate surface preparation parameters, as follows:

> > 1. Grit blasting parameters, as follows:

> > > a. Grit composition;

> > > b. Grit size and shape;

> > > c. Grit velocity;

> > 2. Time and sequence of cleaning cycle after grit blast;

> > 3. Surface finish parameters;

> e. Masking technique parameters, as follows:

> > 1. Material of mask;

> > 2. Location of mask;

2. "Technology" for in situ quality assurance techniques for evaluation of the coating processes listed in the Table, as follows:

> a. Atmosphere parameters, as follows:

> > 1. Composition of the atmosphere;

> > 2. Pressure of the atmosphere;

> b . Time parameters;

> c. Temperature parameters;

> d. Thickness parameters;

> e. Index of refraction parameters;

[42]

TABLE - DEPOSITION TECHNIQUES - STATEMENT OF UNDERSTANDING

3. "Technology" for post deposition treatments of the coated substrates listed in the Table, as follows:

> a. Shot peening parameters, as follows:

> > 1. Shot composition;

> > 2. Shot size;

> > 3. Shot velocity;

> b. Post shot peening cleaning parameters;

> c. Heat treatment cycle parameters, as follows:

> > 1. Atmosphere parameters, as follows:

> > > a. Composition of the atmosphere;

> > > b. Pressure of the atmosphere;

> > 2. Time-temperature cycles;

> d. Post heat treatment visual and macroscopic criteria for acceptance of the coated substrates;

4. "Technology" for quality assurance techniques for the evaluation of the coated substrates listed in the Table, as follows:

> a. Statistical sampling criteria;

> b. Microscopic criteria for:

> > 1. Magnification;

> > 2. Coating thickness uniformity;

> > 3. Coating integrity;

> > 4. Coating composition;

> > 5. Coating and substrates bonding;

> > 6 . Microstructural uniformity.

> c. Criteria for optical properties assessment:

> > 1. Reflectance;

> > 2. Transmission;

> > 3. Absorption;

> > 4. Scatter;

5. "Technology" and parameters related to specific coating and surface modification processes listed in the Table, as follows:

> a. For Chemical Vapour Deposition:

> > 1. Coating source composition and formulation;

> > 2. Carrier gas composition;

> > 3 . Substrate temperature;

> > 4. Time-temperature-pressure cycles;

> > 5. Gas control and part manipulation;

> b. For Thermal Evaporation - Physical Vapour Deposition:

> > 1. Ingot or coating material source composition;

> > 2 . Substrate temperature;

> > 3. Reactive gas composition;

> > 4 Ingot feed rate or material evaporation rate;

> > 5. Time-temperature pressure cycles;

> > 6. Beam and part manipulation;

[43]

TABLE - DEPOSITION TECHNIQUES - STATEMENT OF UNDERSTANDING

5. b.

> > 7. "Laser" parameters, as follows:

> > > a. Wave length;

> > > b. Power density;

> > > c. Pulse length;

> > > d . Repetition ratio;

> > > e. Source;

> > > f. Substrate orientation;

> c. For Pack Cementation:

> > 1. Pack composition and formulation;

> > 2. Carrier gas composition;

> > 3. Time-temperature-pressure cycles;

> d. For Plasma Spraying:

> > 1. Powder composition, preparation and size distributions;

> > 2. Feed gas composition and parameters;

> > 3. Substrate temperature;

> > 4. Gun power parameters;

> > 5. Spray distance;

> > 6. Spray angle;

> > 7. Cover gas composition, pressure and flow rates;

> > 8. Gun control and part manipulation;

> e. For Sputter Deposition:

> > 1. Target composition and fabrication;

> > 2. Geometrical positioning of part and target;

> > 3. Reactive gas composition;

> > 4. Electrical bias;

> > 5. Time-temperature-pressure cycles;

> > 6. Triode power;

> > 7. Part manipulation;

> f. For Ion Implantation:

> > 1. Beam control and part manipulation;

> > 2. Ion source design details;

> > 3. Control techniques for ion beam and deposition rate parameters;

> > 4. Time-temperature-pressure cycles.

> g. For Ion Plating:

> > 1. Beam control and part manipulation;

> > 2. Ion source design details;

> > 3. Control techniques for ion beam and deposition rate parameters;

> > 4. Time-temperature-pressure cycles;

> > 5. Coating material feed rate and vaporisation rate;

> > 6. Substrate temperature;

> > 7. Substrate bias parameters.

[44]

## CATEGORY 3 - ELECTRONICS

3.A. SYSTEMS, EQUIPMENT AND COMPONENTS

> Note 1 The control status of equipment and components described in 3.A., other than those described in 3.A.1.a.3. to 3.A.1.a.10. or 3.A.1.a.12., which are specially designed for or which have the same functional characteristics as other equipment is determined by the control status of the other equipment.

> Note 2 The control status of integrated circuits described in 3.A.1.a.3. to 3.A.1.a.9. or 3.A.1.a.12. which are unalterably programmed or designed for a specific function for another equipment is determined by the control status of the other equipment.

> > N.B. When the manufacturer or applicant cannot determine the control status of the other equipment, the control status of the integrated circuits is determined in 3.A.1.a.3. to 3.A.1.a.9. and 3.A.1.a.12.

> > If the integrated circuit is a silicon-based "microcomputer microcircuit" or microcontroller microcircuit described in 3.A.1.a.3. having an operand (data) word length of 8 bit or less, the control status of the integrated circuit is determined in 3.A.1.a.3.

3.A.1. Electronic components, as follows:

> a. General purpose integrated circuits, as follows:

> > Note 1 The control status of wafers (finished or unfinished), in which the function has been determined, is to be evaluated against the parameters of 3.A.1.a.

> > Note 2 Integrated circuits include the following types:

> > > "Monolithic integrated circuits";

> > > "Hybrid integrated circuits";

> > > "Multichip integrated circuits";

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

> > > "Optical integrated circuits".

> > 1. Integrated circuits, designed or rated as radiation hardened to withstand any of the following:

> > > a. A total dose of 5 x 103 Gy (Si) or higher; or

> > > b. A dose rate upset of 5 x 106 Gy (Si)/s or higher;

[45]

> > 2. Integrated circuits described in 3.A.1.a.3. to 3.A.1.a.10. or 3.A.1.a.12., EEPROMs, flash memories and 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 (-55C); or

> > > c. Rated for operation over the entire ambient temperature range from 218 K (-55C) to 398 K (+125°C);
> > > Note: 3.A.1.a.2. does not apply to integrated circuits for civil automobiles or railway train applications.

> > 3. "Microprocessor microcircuits", "micro-computer microcircuits" and microcontroller microcircuits, having any of the following characteristics:

> > Note: 3.A.1.a.3. includes digital signal processors, digital array processors and digital coprocessors.

> > > a. A "composite theoretical performance" ("CTP") of 260 million theoretical operations per second (Mtops) or more and an arithmetic logic unit with an access width of 32 bit or more;

> > > b. Manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz; or

> > > c. More than one data or instruction bus or serial communication port for external interconnection in a parallel processor with a transfer rate exceeding 2.5 Mbyte/s;

> > 4. Storage integrated circuits manufactured from a compound semiconductor;

[46]

> > 5. Analogue-to-digital and digital-to-analogue converter integrated circuits, as follows:

> > > a. Analogue-to-digital converters having any of the following:

> > > > 1. A resolution of 8 bit or more, but less than 12 bit, with a total conversion time to maximum resolution of less than 10 ns;

> > > > 2. A resolution of 12 bit with a total conversion time to maximum resolution of less than 200 ns; or

> > > > 3. A resolution of more than 12 bit with a total conversion time to maximum resolution of less than 2 µs;

> > > b. Digital-to-analogue converters with a resolution of 12 bit or more, and a "settling time" of less than 10 ns;

> > 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 gate arrays having any of the following:

> > > a. An equivalent usable gate count of more than 30,000 (2 input gates); or

> > > b. A typical "basic gate propagation delay time" of less than 0.4 ns;

> > 8. Field programmable logic arrays having any of the following:

> > > a. An equivalent usable gate count of more than 30,000 (2 input gates); or

> > > b. A toggle frequency exceeding 133 MHz;

> > 9. Neural network integrated circuits;

> > 10. Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following:

> > > a. More than 208 terminals;

> > > b. A typical "basic gate propagation delay time" of less than 0.35 ns; or

> > > c. An operating frequency exceeding 3 GHz;

> > 11. Digital integrated circuits, other than those described in 3.A.1.a.3 to 3.A.1.a.10. and 3.A.1.a.12., based upon any compound semiconductor and having any of the following:

> > > a. An equivalent gate count of more than 300 (2 input gates); or

> > > b. A toggle frequency exceeding 1.2 GHz;

[47]

> > 12. Fast Fourier Transform (FFT) processors having any of the following:

> > > a. A rated execution time for a 1,024 point complex FFT of less than 1 ms;

> > > b. A rated execution time for an N-point complex FFT of other than 1,024 points of less than N log2 N /10,240 ms, where N is the number of points; or

> > > c. A butterfly throughput of more than 5.12 MHz;

3.A.1.b. Microwave or millimetre wave components, as follows:

> > 1. Electronic vacuum tubes and cathodes, as follows:

> > > Note: 3.A.1.b.1. does not control tubes designed or rated to operate in the ITU allocated bands at frequencies not exceeding 31 GHz.

> > > a. Travelling wave tubes, pulsed or continuous wave, as follows:

> > > > 1. Operating at frequencies higher than 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 an "instantaneous bandwidth" of more than 7% or a peak power exceeding 2.5 kW;

> > > > 4. Helix tubes, or derivatives thereof, with any of the following characteristics:

> > > > > a. An "instantaneous bandwidth" of more than one octave, and average power (expressed in kW) times frequency (expressed in GHz) of more than 0.5;

> > > > > b. An "instantaneous bandwidth" of one octave or less, and average power (expressed in kW) times frequency (expressed in GHz) of more than 1; or

> > > > > c. Being"space qualified";

> > > b. Crossed-field amplifier tubes with a gain of more than 17 dB;

> > > c. Impregnated cathodes designed for electronic tubes, with any of the following:

> > > > 1. A turn on time to rated emission of less than 3 seconds; or

> > > > 2. Producing a continuous emission current density at rated operating conditions exceeding 5 A/cm2;

> > 2. Microwave integrated circuits or modules containing "monolithic integrated circuits" operating at frequencies exceeding 3 GHz;

> > Note: 3.A.1.b.2. does not control circuits or modules for equipment designed or rated to operate in the ITU allocated bands at frequencies not exceeding 31 GHz.

> > 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;

[48]

> > 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;

> > 7. Mixers and converters designed to extend the frequency range of equipment described in 3.A.2.c., 3.A.2.e. or 3.A.2.f. beyond the limits stated therein;

> > 8. Microwave power amplifiers containing tubes specified in 3.A.1.b. and having all of the following:

> > > a. Operating frequencies above 3 GHz;

> > > b. An average output power density exceeding 80 W/kg; and

> > > c. A volume of less than 400 cm3;

> > > Note: 3.A.1.b.8. does not control equipment designed or rated for operation in an ITU allocated band.

> c. Acoustic wave devices, as follows, and specially designed components therefor:

> > 1. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices (i.e., "signal processing" devices employing elastic waves in materials), having any of the following:

> > > a. A carrier frequency exceeding 2.5 GHz;

> > > b. A carrier frequency exceeding 1 GHz, but not exceeding 2.5 GHz, and having any of the following:

> > > > 1. A frequency side-lobe rejection exceeding 55 dB;

> > > > 2. A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100;

> > > > 3. A bandwidth greater than 250 MHz; or

> > > > 4. A dispersive delay of more than 10 µs; or

> > > c. A carrier frequency of 1 GHz or less, having any of the following:

> > > > 1. A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100;

> > > > 2. A dispersive delay of more than 10 µs; or

> > > > 3. A frequency side-lobe rejection exceeding 55 dB and a bandwidth greater than 50 MHz;

[49]

> > 2. Bulk (volume) acoustic wave devices (i.e., "signal processing" devices employing elastic waves) which permit the direct processing of signals at frequencies exceeding 1 GHz;

> > 3. Acoustic-optic "signal processing" devices employing interaction between acoustic waves (bulk wave or surface wave) and light waves which permit the direct processing of signals or images, including spectral analysis, correlation or convolution;

> d. Electronic devices and circuits containing components, manufactured from "superconductive" materials specially designed for operation at temperatures below the "critical temperature" of at least one of the "superconductive" constituents, with any of the following:

> > 1. Electromagnetic amplification:

> > > a. At frequencies equal to or less than 31 GHz with a noise figure of less than 0.5 dB; or

> > > b. At frequencies exceeding 31 GHz;

> > 2. Current switching for digital circuits using "superconductive" gates with a product of delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10-14 J; or

> > 3. 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 3.A.1.e.1. does not control batteries with volumes equal to or less than 27 cm3 (e.g., standard C-cells or R14 batteries).

> > > a. Primary cells and batteries having an energy density exceeding 480 Wh/kg and rated for operation in the temperature range from below 243 K (-30°C) to above 343 K (70°C);

> > > b. Rechargeable cells and batteries having an energy density exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge current equal to C/5 hours (C being the nominal capacity in ampere hours) when operating in the temperature range from below 253 K (-20°C) to above 333 K (60°C);

> > > Technical Note

> > > Energy density is obtained by multiplying the average power in watts (average voltage in volts times average current in amperes) by the duration of the discharge in hours to 75% of the open circuit voltage divided by the total mass of the cell (or battery) in kg.

[50]

> > > c. "Space qualified" and radiation hardened photovoltaic arrays with a specific power exceeding 160 W/m2 at an operating temperature of 301 K (28°C) under a tungsten illumination of 1 kW/m2 at 2,800 K (2,527°C);

> > 2. High energy storage capacitors, as follows:

> > > a. Capacitors with a repetition rate of less than 10 Hz (single shot capacitors) having all of the following:

> > > > 1. A voltage rating equal to or more than 5 kV;

> > > > 2. An energy density equal to or more than 250 J/kg; and

> > > > 3. A total energy equal to or more 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:

> > > a. Energy delivered during the discharge exceeding 10 kJ in the first second;

> > > b. Inner diameter of the current carrying windings of more than 250 mm; and

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

> > > Note 3.A.1.e.3. does not control "superconductive" electromagnets or solenoids specially designed for Magnetic Resonance Imaging (MRI) medical equipment.

> f. Rotary input type shaft absolute position encoders having any of the following:

> > 1. 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.

[51]

3.A.2. General purpose electronic equipment, as follows:

> a. Recording equipment, as follows, and specially designed test tape therefor:

> > 1. Analogue instrumentation magnetic tape recorders, including those permitting the recording of digital signals (e.g., using a high density digital recording (HDDR) module), having any of the following:

> > > a. A bandwidth exceeding 4 MHz per electronic channel or track;

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

> > > c. A time displacement (base) error, measured in accordance with applicable IRIG or EIA documents, of less than ± 0.1 µs;

> > > Note: Analogue magnetic tape recorders specially designed for civilian video purposes are not considered to be instrumentation tape recorders.

> > 2. Digital video magnetic tape recorders having a maximum digital interface transfer rate exceeding 180 Mbit/s;

> > > Note 3.A.2.a.2. does not control digital video magnetic tape recorders specially designed for television recording using a signal format standardised or recommended by the CCIR or the IEC for civil television applications.

> > 3. Digital instrumentation magnetic tape data recorders employing helical scan techniques or fixed head techniques, having any of the following:

> > > a. A maximum digital interface transfer rate exceeding 175 Mbit/s; or

> > > b. Being "space qualified";

> > > Note 3.A.2.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;

[52]

> > 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

> > > b. A continuous throughput of 2 Gbit/s or more;

> > > Technical Note

> > > For those instruments with a parallel bus architecture, the continuous throughput rate is the highest word rate multiplied by the number of bits in a word.

> > > Continuous throughput is the fastest data rate the instrument can output to mass storage without the loss of any information whilst sustaining the sampling rate and analogue-to-digital conversion.

> b. "Frequency synthesiser" "electronic assemblies" having a "frequency switching time" from one selected frequency to another of less than 1 ms;
> c. "Signal analysers", as follows:

> > 1. "Signal analysers" capable of analysing frequencies exceeding 31 GHz;

> > 2. "Dynamic signal analysers" having a "real-time bandwidth" exceeding 25.6 kHz;

> > > Note 3.A.2.c.2. does not control those "dynamic signal analysers" using only constant percentage bandwidth filters.

> > > > Technical Note:

> > > > Constant percentage bandwidth filters are also known as octave or fractional octave filters.

> d. Frequency synthesised signal generators producing output frequencies, the accuracy and short term and long term stability of which are controlled, derived from or disciplined by the internal master frequency, and having any of the following:

> > 1. A maximum synthesised frequency exceeding 31 GHz;

> > 2. A "frequency switching time" from one selected frequency to another of less than 1 ms; or

> > 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;

> > Note 3.A.2.d. does not control equipment in which the output frequency is either produced by the addition or subtraction of two or more crystal oscillator frequencies, or by an addition or subtraction followed by a multiplication of the result.

> e. Network analysers with a maximum operating frequency exceeding 40 GHz;

[53]

> f. Microwave test receivers having all of the following:

> > 1. A maximum operating frequency exceeding 40 GHz; and

> > 2. Being capable of measuring amplitude and phase simultaneously;

> g. Atomic frequency standards having any of the following:

> > 1. Long-term stability (aging) less (better) than 1 x 10-11/month; or

> > 2. Being "space qualified".
> > Note: 3.A.2.g.1. does not control non-"space qualified" rubidium standards.

3.B. TEST, INSPECTION AND PRODUCTION EQUIPMENT

3.B.1. Equipment for the manufacturing of semiconductor devices or materials, as follows, and specially designed components and accessories therefor:

> a. "Stored programme controlled" equipment designed for epitaxial growth, as follows:

> > 1. Equipment capable of producing a layer thickness uniform to less than ± 2.5% across a distance of 75 mm or more;

> > 2. Metal organic chemical vapour deposition (MOCVD) reactors specially designed for compound semiconductor crystal growth by the chemical reaction between materials specified in 3.C.3. or 3.C.4.;

> > 3. Molecular beam epitaxial growth equipment using gas sources;

> b. "Stored programme controlled" equipment designed for ion implantation, having any of the following:

> > 1. An accelerating voltage exceeding 200 keV;

> > 2. Being specially designed and optimised to operate at an accelerating voltage of less than 10 keV;

> > 3. Direct write capability; or

> > 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:

> > 1. Equipment with cassette-to-cassette operation and load-locks, and having any of the following:

> > > a. Magnetic confinement; or

> > > b. Electron cyclotron resonance (ECR);

> > 2. Equipment specially designed for equipment specified in 3. B001.e. and having any of the following:

> > > a. Magnetic confinement; or

> > > b. ECR;

[54]

> d. "Stored programme controlled" plasma enhanced CVD equipment, as follows:

> > 1. Equipment with cassette-to-cassette operation and load-locks, and having any of the following:

> > > a. Magnetic confinement; or

> > > b. ECR;

> > 2. Equipment specially designed for equipment specified in 3.B.1.e. and having any of the following:

> > > a. Magnetic confinement; or

> > > b. ECR;

> e. "Stored programme controlled" automatic loading multi-chamber central wafer handling systems, having all of the following:

> > 1. Interfaces for wafer input and output, to which more than two pieces of semiconductor processing equipment are to be connected; and

> > 2. Designed to form an integrated system in a vacuum environment for sequential multiple wafer processing;

> > Note: 3.B.1.e. does not control automatic robotic wafer handling systems not designed to operate in a vacuum environment.

> f. "Stored programme controlled" lithography equipment, as follows:

> > 1. Align and expose step and repeat equipment for wafer processing using photo-optical or X-ray methods, having any of the following:

> > > a. A light source wavelength shorter than 400 nm; or

> > > b. Capable of producing a pattern with a minimum resolvable feature size of 0.7 µm or less;

> > > Note: The minimum resolvable feature size is calculated by the following formula:

> > >     MRF = (an exposure light source wavelength in µm) x (Kfactor)
> > >                             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 m; or

> > > c. An overlay accuracy of better than ± 0.20 µm (3 sigma);

> g. Masks and reticles designed for integrated circuits specified in 3.A.1.;

> h. Multi-layer masks with a phase shift layer.

[55]

3.B.2. "Stored programme controlled" test equipment, specially designed for testing finished or unfinished semiconductor devices, as follows, and specially designed components and accessories therefor:

> a. For testing S-parameters of transistor devices at frequencies exceeding 31 GHz;

> b. For testing integrated circuits capable of performing functional (truth table) testing at a pattern rate of more than 60 MHz;

> > Note 3.B.2.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.

> c. For testing microwave integrated circuits at frequencies exceeding 3 GHz;

> > Note 3.B.2.c. does not control test equipment specially designed for testing microwave integrated circuits for equipment designed or rated to operate in the ITU allocated bands at frequencies not exceeding 31 GHz.

> d. Electron beam systems designed for operation at 3 keV or below, or "laser" beam systems, for the non-contactive probing of powered-up semiconductor devices, having all of the following:

> > 1. Stroboscopic capability with either beam-blanking or detector strobing; and

> > 2. An electron spectrometer for voltage measurement with a resolution of less than 0.5 V.

> > Note 3.B.2.d. does not control scanning electron microscopes, except when specially designed and instrumented for the non-contactive probing of powered-up semiconductor devices.

3.C. MATERIALS

3.C.1. Hetero-epitaxial materials consisting of a "substrate" having stacked epitaxially grown multiple layers of any of the following:

> a. Silicon;

> b. Germanium; or

> c. III/V compounds of gallium or indium.

> Technical Note

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

[56]

3.C.2. 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 370 nm ;

> b. All resists designed for use with electron beams or ion beams, with a sensitivity of 0.01 µcoulomb/mm2 or better;

> c. All resists designed for use with X-rays, with a sensitivity of 2.5 mJ/mm2 or better;

> d. All resists optimised for surface imaging technologies, including silylated resists.

> Technical Note

> Silylation techniques are defined as processes incorporating oxidation of the resist surface to enhance performance for both wet and dry developing.

3.C.3. Organo-inorganic compounds, as follows:

> a. Organo-metallic compounds of aluminium, gallium or indium having a purity (metal basis) better than 99.999%;

> b. Organo-arsenic, organo-antimony and organo-phosphorus compounds having a purity (inorganic element basis) better than 99.999%.

> Note 3.C.3. only controls compounds whose metallic, partly metallic or non-metallic element is directly linked to carbon in the organic part of the molecule.

3.C.4. Hydrides of phosphorus, arsenic or antimony, having a purity better than 99.999%, even diluted in inert gases or hydrogen.

> Note: 3.C.4. does not control hydrides containing 20% molar or more of inert gases or hydrogen.

3.D. SOFTWARE

3.D.1. "Software" specially designed for the "development" or "production" of equipment specified in 3.A.1.b. to 3.A.2.g. or 3.B.

3.D.2. "Software" specially designed for the "use" of "stored programme controlled" equipment specified in 3.B.

[57]

3.D.3. Computer-aided-design (CAD) "software" designed for semiconductor devices or integrated circuits, having any of the following:

> a. Design rules or circuit verification rules;

> b. Simulation of the physically laid out circuits; or

> c. Lithographic processing simulators for design.

> > Technical Note

> > A lithographic processing simulator is a "software" package used in the design phase to define the sequence of lithographic, etching and deposition steps for translating masking patterns into specific topographical patterns in conductors, dielectrics or semiconductor material.

> Note 3.D.3. does not control "software" specially designed for schematic entry, logic simulation, placing and routing, layout verification or pattern generation tape.

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

3.E. TECHNOLOGY

3.E.1. "Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 3.A., 3.B. or 3.C.;

> Note 3.E.1. does not control "technology" for the "development" or "production" of:

> a. Microwave transistors operating at frequencies below 31 GHz;

> b. Integrated circuits specified in 3.A.1.a.3. to 3.A.1.a.12., having all of the following:

> > 1. Using "technology" of 1 µm or more, and

> > 2. Not incorporating multi-layer structures.

> > > N.B.: The term multi-layer structures in Note b.2. to 3.E.1. does not include devices incorporating a maximum of two metal layers and two polysilicon layers.

3.E.2. Other "technology" for the "development" or "production" of:

> a. Vacuum microelectronic devices;

> b. Hetero-structure semiconductor devices such as high electron mobility transistors (HEMT), hetero-bipolar transistors (HBT), quantum well and super lattice devices;

> c. "Superconductive" electronic devices;

> d. Substrates of films of diamond for electronic components.

[58]

## CATEGORY 4 - COMPUTERS

Notes 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).

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

> N.B. 2. For the control status of "software" specially designed for packet switching, see Item 5.D.1. (Telecommunications).

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

4.A.1. Electronic computers and related equipment, as follows, and "electronic assemblies" and specially designed components therefor:

> a. Specially designed to have any of the following characteristics:

> > 1. Rated for operation at an ambient temperature below 228 K (-45°C) or above 358 K (85°C);

> > Note: 4.A.1.a.1. does not apply to computers specially designed for civil automobile or railway train applications.

> > 2. Radiation hardened to exceed any of the following specifications:

> > > a. Total Dose 5 x 103 Gy (Si);

> > > b. Dose Rate Upset 5 x 106 Gy (Si)/sec; or

> > > 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").

[59]

4.A.2. "Hybrid computers", as follows, and "electronic assemblies" and specially designed components therefor:

> a. Containing "digital computers" specified in 4.A.3.;

> b. Containing analogue-to-digital converters having all of the following characteristics:

> > 1. 32 channels or more; and

> > 2. A resolution of 14 bits (plus sign bit) or more with a conversion rate of 200,000 conversions/s or more.

4.A.3. "Digital computers", "electronic assemblies", and related equipment therefor, as follows, and specially designed components therefor:

> Note 1 4.A.3. includes the following:

> > a. Vector processors;

> > b. Array processors;

> > c. Digital signal processors;

> > d. Logic processors;

> > e. Equipment designed for "image enhancement";

> > f. Equipment designed for "signal processing".

> Note 2 The control status of the "digital computers" and related equipment described in 4.A.3. is determined by the control status of other equipment or systems provided:

> > a. The "digital computers" or related equipment are essential for the operation of the other equipment or systems;

> > b. The "digital computers" or related equipment are not a "principal element" of the other equipment or systems; and

> > > N.B. 1 The control status of "signal processing" or "image enhancement" equipment specially designed for other equipment with functions limited to those required for the other equipment is determined by the control status of the other equipment even if it exceeds the "principal element" criterion.

> > > N.B. 2 For the control status of "digital computers" or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications).

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

> a. Designed or modified for "fault tolerance";

> > Note: For the purposes of 4.A.3.a., "digital computers" and related equipment are not considered to be designed or modified for "fault tolerance" if they utilise any of the following:

> > > 1. Error detection or correction algorithms in "main storage";

> > > 2. The interconnection of two "digital computers" so that, if the active central processing unit fails, an idling but mirroring central processing unit can continue the system's functioning;

[60]

> > > 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 710 million theoretical operations per second (Mtops);

> c. "Electronic assemblies" specially designed or modified to be capable of enhancing performance by aggregation of "computing elements" ("CEs") so that the "CTP" of the aggregation exceeds the limit in 4.A.3.b.;

> > Note 1 4.A.3.c. applies only to "electronic assemblies" and programmable interconnections not exceeding the limit in 4.A.3.b. when shipped as unintegrated "electronic assemblies". It does not apply to "electronic assemblies" inherently limited by nature of their design for use as related equipment specified in 4.A.3.d., 4.A.3.e. or 4.A.3.f.

> > Note 2 4.A.3.c. does not control "electronic assemblies" specially designed for a product or family of products whose maximum configuration does not exceed the limit of 4.A.3.b.

> d. Graphics accelerators and graphics coprocessors exceeding a "three dimensional Vector Rate" of 3,000,000;

> e. Equipment performing analogue-to-digital conversions exceeding the limits in 3.A.1.a.5.;

> f. Equipment containing "terminal interface equipment" exceeding the limits in 5.A.1.b.3.;

> > Note For the purposes of 4.A.3.f., "terminal interface equipment" includes "local area network" interfaces and other communications interfaces. "Local area network" interfaces are evaluated as "network access controllers".

> g. Equipment specially designed to provide external interconnection of "digital computers" or associated equipment which allows communications at data rates exceeding 80 Mbyte/s.

> > Note: 4.A.3.g. does not control internal interconnection equipment (e.g., backplanes, buses) or passive interconnection equipment.

4.A.4. Computers, as follows, and specially designed related equipment, "electronic assemblies" and components therefor:

> a. "Systolic array computers";

> b. "Neural computers";

> c. "Optical computers".

[61]

4.B. TEST, INSPECTION AND PRODUCTION EQUIPMENT - None

4.C. MATERIALS - None.

4.D. SOFTWARE

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

4.D.1 "Software" specially designed or modified for the "development", "production" or "use" of equipment or "software" specified in 4.A. or 4.D.

4.D.2 "Software" specially designed or modified to support "technology" specified in 4.E.

4.D.3. 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. "Expert systems" or "software" for "expert system" inference engines providing both:

> > 1. Time dependent rules; and

> > 2. Primitives to handle the time characteristics of the rules and the facts;

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

> d. Operating systems specially designed for "real time processing" equipment which guarantees a "global interrupt latency time" of less than 20 µs.

4.E. TECHNOLOGY

4.E.1. "Technology" according to the General Technology Note, for the "development", "production" or "use" of equipment or "software" specified in 4.A. or 4.D.

[61]

TECHNICAL NOTE ON "COMPOSITE THEORETICAL PERFORMANCE" ("CTP")

Abbreviations used in this Technical Note

"CE" | "CE" "computing element" (typically an arithmetic logical unit)
FP | floating point
XP | fixed 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
L | word length adjustment
* | multiply

Execution time 't' is expressed in microseconds, TP and "CTP" are expressed in millions of theoretical operations per second (Mtops) and WL is expressed in bits.

Outline of "CTP" calculation method

> "CTP" is a measure of computational performance given in Mtops. In calculating the "CTP" of an aggregation of "CEs" the following three steps are required:

> > 1. Calculate the effective calculating rate R for each "CE";

> > 2. Apply the word length adjustment (L) to the effective calculating rate (R), resulting in a Theoretical Performance (TP) for each "CE";

> > 3. If there is more than one "CE", combine the TPs, resulting in a "CTP" for the aggregation.

> Details for these steps are given in the following sections.

> Note 1 For aggregations of multiple "CEs" which have both shared and unshared memory subsystems, the calculation of "CTP" is completed hierarchically, in two steps: first, aggregate the groups of "CEs" sharing memory; second, calculate the "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.

[63]

TECHNICAL NOTE ON "CTP"

The following table shows the method of calculating the Effective Calculating Rate R for each "CE":

Step 1: The effective calculating rate R

For "CEs" Implementing: Note Every "CE" must be evaluated independently. | Effective calculating Rate, R
XP only (R xp) | 1 3*(t xp add) if no add is implemented use: 1 (t xp mult)

If neither add nor mulitply is implemented use the fastest available arithmetic operation as follows:

1
3 *t xp

See Notes X & Z

FP only (R fp) |

max | 1 , t fp add | 1 t fp mult

See Notes X & Y

Both FP and XP (R) | Calculate both R xp, R fp
For simple logic processors not implementing any of the specified arithmetic operations. | 1 3 *t log Where t log is the execute time of the XOR, or for logic hardware not implementing the XOR, the fastest simple logic operation. See Notes X & Z
For special logic processors not using any of the specified arithmetic or logic operations. | R = R' * WL/64 Where R' is the number of results per second, WL is the number of bits upon which the logic operation occurs, and 64 is a factor to normalize to a 64 bit operation.

[64]

TECHNICAL NOTE ON "CTP"

Note W

> For a pipelined "CE" capable of executing up to one arithmetic or logic operation every clock cycle after the pipeline is full, a pipelined rate can be established. The effective calculating rate (R) for such a "CE" is the faster of the pipelined rate or non-pipelined execution rate.

Note X

> For a "CE" which performs multiple operations of a specific type in a single cycle (e.g., two additions per cycle or two identical logic operations per cycle), the execution time t is given by:

t = | cycle time the number of identical operations per machine cycle

> "CEs" which perform different types of arithmetic or logic operations in a single machine cycle are to be treated as multiple separate "CEs" performing simultaneously (e.g., a "CE" performing an addition and a multiplication in one cycle is to be treated as two "CEs", the first performing an addition in one cycle and the second performing a multiplication in one cycle).

> If a single "CE" has both scalar function and vector function, use the shorter execution time value.

Note Y

> For the "CE" that does not implement FP add or FP multiply, but that performs FP divide:

Rfp = | 1 t fpdivide

> If the "CE" implements FP reciprocal but not FP add, FP multiply or FP divide, then

Rfp = | 1 t fpreciprocal

> If none of the specified instructions is implemented, the effective FP rate is 0.

Note Z

> In simple logic operations, a single instruction performs a single logic manipulation of no more than two operands of given lengths.

> In complex logic operations, a single instruction performs multiple logic manipulations to produce one or more results from two or more operands.

[65]

TECHNICAL NOTE ON "CTP"

Note Z

> Rates should be calculated for all supported operand lengths considering both pipelined operations (if supported), and non-pipelined operations using the fastest executing instruction for each operand length based on:

> > 1. Pipelined or register-to-register operations. Exclude extraordinarily short execution times generated for operations on a predetermined operand or operands (for example, multiplication by 0 or 1). If no register-to-register operations are implemented, continue with (2).

> > 2. The faster of register-to-memory or memory-to-register operations; if these also do not exist, then continue with (3).

> > 3. Memory-to-memory.

> In each case above, use the shortest execution time certified by the manufacturer.

Step 2: TP for each supported operand length WL

> Adjust the effective rate R (or R') by the word length adjustment L as follows:

> TP = R * L,

> where L = (1/3 + WL/96)

> > Note The word length WL used in these calculations is the operand length in bits. (If an operation uses operands of different lengths, select the largest word length.)

> > The combination of a mantissa ALU and an exponent ALU of a floating point processor or unit is considered to be one "CE" with a Word Length (WL) equal to the number of bits in the data representation (typically 32 or 64) for purposes of the "CTP" calculation.

> This adjustment is not applied to specialized logic processors which do not use XOR instructions. In this case TP = R.
> Select the maximum resulting value of TP for:

> > Each XP-only "CE" (Rxp);

> > Each FP-only "CE" (Rfp);

> > Each combined FP and XP "CE" (R);

> > Each simple logic processor not implementing any of the specified arithmetic operations; and

> > Each special logic processor not using any of the specified arithmetic or logic operations.

[66]

TECHNICAL NOTE ON "CTP"

Step 3: "CTP" for aggregations of "CEs", including CPUs

> > For a CPU with a single "CE",

> > > "CTP" = TP

> > (for "CEs" performing both fixed and floating point operations

> > > TP = max (TPfp, TPxp))

> "CTP" for aggregations of multiple "CEs" operating simultaneously is calculated as follows:

> > Note 1 For aggregations that do not allow all of the "CEs" to run simultaneously, the possible combination of "CEs" that provides the largest "CTP" should be used. The TP of each contributing "CE" is to be calculated at its maximum value theoretically possible before the "CTP" of the combination is derived.

> > > N.B. To determine the possible combinations of simultaneously operating "CEs", generate an instruction sequence that initiates operations in multiple "CEs", beginning with the slowest "CE" (the one needing the largest number of cycles to complete its operation) and ending with the fastest "CE". At each cycle of the sequence, the combination of "CEs" that are in operation during that cycle is a possible combination. The instruction sequence must take into account all hardware and/or architectural constraints on overlapping operations.

> > Note 2 A single integrated circuit chip or board assembly may contain multiple "CEs".

> > Note 3 Simultaneous operations are assumed to exist when the computer manufacturer claims concurrent, parallel or simultaneous operation or execution in a manual or brochure for the computer.
> > Note 4 "CTP" values are not to be aggregated for "CE" combinations (inter)connected by "Local Area Networks", Wide Area Networks, I/O shared connections/devices, I/O controllers and any communication interconnection implemented by software.

[67]

TECHNICAL NOTE ON "CTP"

> > Note 5 "CTP" values must be aggregated for multiple "CEs" specially designed to enhance performance by aggregation, operating simultaneously and sharing memory,- or multiple memory/"CE"- combinations operating simultaneously utilising specially designed hardware.

> > This aggregation does not apply to "electronic assemblies" described by 4.A.3.d.

> > > "CTP" = TP1 + C2 * TP2 + ... + Cn * TP n,

> > where the TPs are ordered by value, with TP1 being the highest, TP2 being the second highest, ..., and TPn being the lowest. Ci is a coefficient determined by the strength of the interconnection between "CEs", as follows:

> For multiple "CEs" operating simultaneously and sharing memory:

> > C2 = C3 = C4 = ... = Cn = 0.75

> > Note 1 When the "CTP" calculated by the above method does not exceed 194 Mtops, the following formula may be used to calculate Ci:

> > Ci = | 0.75 square root m | (i = 2, ... , n)

> > where m = the number of "CEs" or groups of "CEs" sharing access.
> > provided:

> > > 1. The TPi of each "CE" or group of "CEs" does not exceed 30 Mtops;

> > > 2. The "CEs" or groups of "CEs" share access to main memory (excluding cache memory) over a single channel; and

> > > 3. Only one "CE" or group of "CEs" can have use of the channel at any given time.

> > > > N.B. This does not apply to items controlled under Category 3.

> > Note 2 "CEs" share memory if they access a common segment of solid state memory. This memory may include cache memory, main memory or other internal memory. Peripheral memory devices such as disk drives, tape drives or RAM disks are not included.

[68]

TECHNICAL NOTE ON "CTP"

> For Multiple "CEs" or groups of "CEs" not sharing memory, interconnected by one or more data channels:

> > Ci | = 0.75 * ki (i = 2, ... , 32) (see Note below)
> > | = 0.60 * ki (i = 33, ... , 64)
> > | = 0.45 * ki (i = 65, ... , 256)
> > | = 0.30 * ki (i > 256)

> > The value of Ci is based on the number of "CE"s, not the number of nodes.

> where

> > ki | = min (Si/Kr, 1), and
> > Kr | = normalizing factor of 20 MByte/s.
> > 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.

> Aggregation (of "CEs" or groups of "CEs") should be from the fastest-to-slowest; i.e.:

> > TP1 >/= TP2 >/= .... TPn , and

> in the case of TPi = TPi + 1, from the largest to smallest; i.e.:

> > Ci >/= Ci + 1

> > Note The ki factor is not to be applied to "CEs" 2 to 12 if the TPi of the "CE" or group of "CEs" is more than 50 Mtops; i.e., Ci for "CEs" 2 to 12 is 0.75.

[69]

## CATEGORY 5 - PART 1 - TELECOMMUNICATIONS

### Part 1 - TELECOMMUNICATIONS

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

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.

5.A.1. SYSTEMS, EQUIPMENT AND COMPONENTS

> 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 5.A.1.a.3. applies only to electronic equipment.

> > Note 5.A.1.a.2. and 5.A.1.a.3. do not apply to equipment on board satellites.

[70]

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

> Note Telecommunication transmission equipment:

> > a. Categorised as follows, or combinations thereof:

> > > 1. Radio equipment (e.g., transmitters, receivers and transceivers);

> > > 2. Line terminating equipment;

> > > 3. Intermediate amplifier equipment;

> > > 4. Repeater equipment;

> > > 5. Regenerator equipment;

> > > 6. Translation encoders (transcoders);

> > > 7. Multiplex equipment (statistical mutiplex included);

> > > 8. Modulators/demodulators (modems);

> > > 9. Transmultiplex equipment (see CCITT Rec. G701);

> > > 10. "Stored programme controlled" digital crossconnection equipment;

> > > 11. "Gateways" and bridges;

> > > 12. "Media access units"; and

> > b. Designed for use in single or multi-channel communication via any of the following:

> > > 1. Wire (line);

> > > 2. Coaxial cable;

> > > 3. Optical fibre cable;

> > > 4. Electromagnetic radiation; or

> > > 5. Underwater acoustic wave propagation.

> > 1. Employing digital techniques, including digital processing of analogue signals, and designed to operate at a "digital transfer rate" at the highest multiplex level exceeding 45 Mbit/s or a "total digital transfer rate" exceeding 90 Mbit/s;

> > Note: 5.A.1.b.1. does not control equipment specially designed to be integrated and operated in any satellite system for civil use.

> > 2. Being underwater communications systems having any of the following characteristics:

> > > 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;

[71]

> > 3. Being equipment containing any of the following:

> > > a. "Network access controllers" and their related common medium having a "digital transfer rate" exceeding 156 Mbit/s; or

> > > b. "Communication channel controllers" with a digital output having a "data signalling rate" exceeding 2.1 Mbit/s per channel;

> > > Note If any uncontrolled equipment contains a "network access controller", it cannot have any type of telecommunications interface except Those described in, but not specified in 5.A.1.b.3.

> > 4. Employing a "laser" and having any of the following characteristics:

> > > a. A transmission wavelength exceeding 1,000 nm; or

> > > b. Employing analogue techniques and having a bandwidth exceeding 45 MHz.

> > > Note 5.A.1.b.4.b. does not control commercial TV systems.

> > > c. Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques);

> > > d. Employing wavelength division multiplexing techniques; or

> > > e. Performing "optical amplification";

> > 5. Being radio equipment operating at input or output frequencies exceeding 31 GHz;

> > Note 5.A.1.b.5. does not specify equipment designed or modified for operation in any ITU allocated band.

> > 6. Being radio equipment employing any of the following:

> > > a. Quadrature-amplitude-modulation (QAM) techniques above level 4 if the "total digital transfer rate" exceeds 8.5 Mbit/s;

> > > b. QAM techniques above level 16 if the "total digital transfer rate" is equal to or less than 8.5 Mbit/s; or

> > > c. Other digital modulation techniques and having a "spectral efficiency" exceeding 3 bit/sec/Hz;

> > > Note 1 5.A.1.b.6. does not control equipment specially designed to be integrated and operated in any satellite system for civil use.

> > > Note 2 5.A.1.b.6. does not control radio relay equipment for operation in an ITU allocated band:

> > > > a.

> > > > > 1. Not exceeding 960 MHz; or

> > > > > 2. With a "total digital transfer rate" not exceeding 8.5 Mbit/s; and

> > > > b. Having a "spectral efficiency" not exceeding 4 bit/sec/Hz.

[72]

> > 7. Being radio equipment operating in the 1.5 MHz to 87.5 MHz band and having any of the following characteristics:

> > > a. Incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal; or

> > > b. Having all of the following:

> > > > 1. Automatically predicting and selecting frequencies and "total digital transfer rates" per channel to optimise the transmission; and

> > > > 2. Incorporating a linear power amplifier configuration having a capability to support multiple signals simultaneously at an output power of 1 kW or more in the 1.5 MHz to 30 MHz frequency range or 250 W or more in the 30 MHz to 87.5 MHz frequency range, over an "instantaneous bandwidth" of one octave or more and with an output harmonic and distortion content of better than -80 dB;

> > 8. Being radio equipment employing "spread spectrum" or "frequency agility" (frequency hopping) techniques having any of the following characteristics:

> > > 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;

> > > Note 5.A.1.b.8.b. does not control cellular radio equipment operating in civil bands.

> > Note: 5A001.b.8. does not control equipment operating at an output power of 1.0 Watt or less.

> > 9. Being digitally controlled radio receivers having all of the following:

> > > a. More than 1,000 channels;

> > > b. A "frequency switching time" of less than 1 ms;

> > > c. Automatic searching or scanning of a part of the electromagnetic spectrum; and

> > > d. Identification of the received signals or the type of transmitter; or

> > Note 5.A.1.b.9. does not control cellular radio equipment operating in civil bands.

> > 10. Employing functions of digital "signal processing" to provide voice coding at rates of less than 2,400 bit/s.

> c. "Stored programme controlled" switching equipment and related signalling systems, having any of the following characteristics, functions or features, and specially designed components and accessories therefor:

> Note Statistical multiplexers with digital input and digital output which provide switching are treated as "stored programme controlled" switches.

[73]

> > 1. "Common channel signalling" operating in either non-associated or quasi- associated mode of operation;

> > 2. "Dynamic adaptive routing";

> > Note 5.A.1.c.2. does not control packet switches or routers with ports or lines not exceeding the limits in 5.A.1.c.3.

> > 3. Being packet switches, circuit switches and routers with ports or lines exceeding any of the following:

> > > a. A "data signalling rate" of 2.1 Mbit/s per channel for a "communications channel controller"; or

> > > Note 5.A.1.c.3.a. does not control multiplexed composite links composed only of communication channels not individually controlled by 5.A.1.c.3.a.

> > > b. A "digital transfer rate" of 156 Mbit/s for a "network access controller" and related common medium;

> > 4. "Optical switching";

> > 5. Employing "Asynchronous Transfer Mode" ("ATM") techniques.

> d. Optical fibre communication cables, optical fibres and accessories, as follows:

> > 1. Optical fibres and optical fibre cables of more than 50 m in length having any of the following characteristics:

> > > a. Designed for single mode operation; or

> > > b. For optical fibres, specified by the manufacturer as being capable of withstanding a proof test tensile stress of 2 x 109 N/m2 or more;

> > > Technical Note

> > > Proof Test: on-line or off-line production screen testing that dynamically applies a prescribed tensile stress over a 0.5 to 3 m length of fibre at a running rate of 2 to 5 m/s while passing between capstans approximately 150 mm in diameter. The ambient temperature is a nominal 293 K (20°C) and relative humidity 40%.

> > > N.B. Equivalent national standards may be used for executing the proof test.

> > 2. Optical fibre cables and accessories designed for underwater use.

> > Note 5.A.1.d.2. does not control standard civil telecommunication cables and accessories.

> > N.B. For fibre-optic hull penetrators or connectors, see 8.A.2.c.

> e. "Electronically steerable phased array antennae" operating above 31 GHz.

> Note: 5.A.1.e. does not control "electronically steerable phased array antennae" for landing systems with instruments meeting ICAO standards covering microwave landing systems (MLS).

[74]

5.B.1. TEST, INSPECTION AND PRODUCTION EQUIPMENT

> a. Equipment and specially designed components or accessories therefor, specially designed for the "development", "production" or "use" of equipment, materials, functions or features controlled by Category 5 - Part 1.

> Note 5.B.1.a. does not control optical fibres and "optical fibre preform" characterization equipment not using semiconductor "lasers".

5.C.1. MATERIALS

> a. Preforms of glass or of any other material optimised for the manufacture of optical fibres specified in 5.A.1.d.

5.D.1. SOFTWARE

> a. "Software" specially designed or modified for the "development", "production" or "use" of equipment, functions or features controlled by category 5 - Part 1.

> b. "Software" specially designed or modified to support "technology" specified in 5.E.1.

> c. Specific "software" as follows:

> > 1. "Software", other than in machine-executable form, specially designed or modified for the "use" of digital cellular radio equipment or systems;

> > 2. "Software" specially designed or modified to provide characteristics, functions or features of equipment specified in 5.A.1. or 5.B.1.;

> > 3. "Software" which provides the capability of recovering "source code" of telecommunications "software" controlled by Category 5 - Part 1;

> > 4. "Software", other than in machine-executable form, specially designed for "dynamic adaptive routing".

> N.B. For "software" for "signal processing" see also 4.D. and 6.D.

[75]

5.E.1. TECHNOLOGY

> a. "Technology" according to the General Technology Note for the "development", "production" or "use" (excluding operation) of equipment, functions or features, materials or "software" controlled by Category 5 - Part 1.

> b. Specific "technologies", as follows:

> > 1. "Required" "technology" for the "development" or "production" of telecommunications equipment specially designed to be used on board satellites;

> > 2. "Technology" for the "development" or "use" of "laser" communication techniques with the capability of automatically acquiring and tracking signals and maintaining communications through exoatmosphere or sub-surface (water) media;

> > 3. "Technology" for the processing and application of coatings to optical fibre specially designed to make it suitable for underwater use;

> > 4. "Technology" for the "development" of equipment employing "Synchronous Digital Hierarchy" ("SDH") or "Synchronous Optical Network" ("SONET") techniques;

> > 5. "Technology" for the "development" of "switch fabric" exceeding 64,000 bit/s per information channel other than for digital cross connect integrated in the switch;

> > 6. "Technology" for the "development" of centralized network control or "dynamic adaptive routing";

> > 7. "Technology" for the "development" of digital cellular radio systems;

> > 8. "Technology" for the "development" of broadband "Integrated Services Digital Network" ("ISDN");

> > 9. "Technology" for the "development" of QAM techniques, for radio equipment, above level 4;

> > 10. "Technology" for the "development" of "spread spectrum" or "frequency agility" (frequency hopping) techniques.

[76]

## CATEGORY 5 - PART 2 - "INFORMATION SECURITY"

### Part 2 - "INFORMATION SECURITY"

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

5.A.2. SYSTEMS, EQUIPMENT AND COMPONENTS

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

> N.B: For the control of global navigation satellite systems receiving equipment containing or employing decryption (i.e. GPS or GLONASS), see 7.A.5.

> > 1. Designed or modified to use "cryptography" employing digital techniques to ensure "information security";

> > 2. Designed or modified to perform cryptanalytic functions;

> > 3. Designed or modified to use "cryptography" employing analogue techniques to ensure "information security";

> > Note 5.A.2.a.3. does not control the following:

> > > 1. Equipment using "fixed" band scrambling not exceeding 8 bands and in which the transpositions change not more frequently than once every second;

> > > 2. Equipment using "fixed" band scrambling exceeding 8 bands and in which the transpositions change not more frequently than once every ten seconds;

> > > 3. Equipment using "fixed" frequency inversion and in which the transpositions change not more frequently than once every second;

> > > 4. Facsimile equipment;

> > > 5. Restricted audience broadcast equipment;

> > > 6. Civil television equipment.

> > 4. Designed or modified to suppress the compromising emanations of information-bearing signals;

> > Note 5.A.2.a.4. does not control equipment specially designed to suppress emanations for reasons of health and safety.

[77]

> > 5. Designed or modified to use cryptographic techniques to generate the spreading code for "spread spectrum" or the hopping code for "frequency agility" systems;

> > 6. Designed or modified to provide certified or certifiable "multilevel security" or user isolation at a level exceeding Class B2 of the Trusted Computer System Evaluation Criteria (TCSEC) or equivalent;

> > 7. Communications cable systems designed or modified using mechanical, electrical or electronic means to detect surreptitious intrusion.

> Note 5.A.2. does not control:

> > a. "Personalized smart cards" or specially designed components therefor, with any of the following characteristics:

> > > 1. Not capable of message traffic encryption or encryption of user-supplied data or related key management functions therefor; or

> > > 2. When restricted for use in equipment or systems excluded from control under entries 1. to 6. of the Note to 5.A.2.a.3. or under entries b. to h. of this Note;

> > b. Equipment containing "fixed" data compression or coding techniques;

> > c. Receiving equipment for radio broadcast, pay television or similar restricted audience television of the consumer type, without digital encryption and where digital decryption is limited to the video, audio or management functions;

> > d. 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;

> > e. Decryption functions specially designed to allow the execution of copy-protected "software", provided the decryption functions are not user-accessible;

> > f. Access control equipment, such as automatic teller machines, self-service statement printers or point of sale terminals, which protects password or personal identification numbers (PIN) or similar data to prevent unauthorized access to facilities but does not allow for encryption of files or text, except as directly related to the password or PIN protection;

> > g. Data authentication equipment which calculates a Message Authentication Code (MAC) or similar result to ensure no alteration of text has taken place, or to authenticate users, but does not allow for encryption of data, text or other media other than that needed for the authentication;

> > h. Cryptographic equipment specially designed and limited for use in machines for banking or money transactions, such as automatic teller machines, self-service statement printers or point of sale terminals.

[78]

5.B.2. TEST, INSPECTION AND PRODUCTION EQUIPMENT

> a. Equipment specially designed for:

> > 1. The "development" of equipment or functions controlled by Category 5 - Part 2, including measuring or test equipment;

> > 2. The "production" of equipment or functions controlled by Category 5 - Part 2, including measuring, test, repair or production equipment;

> b. Measuring equipment specially designed to evaluate and validate the "information security" functions specified in 5.A.2 or 5.D.2.

5.C.2. MATERIALS - None.

5.D.2. SOFTWARE

> a. "Software" specially designed or modified for the "development", "production" or "use" of equipment or "software" controlled by Category 5 - Part 2;

> b. "Software" specially designed or modified to support "technology" specified in 5.E.2.;

> c. Specific "software", as follows:

> > 1. "Software" having the characteristics, or performing or simulating the functions of the equipment specified in 5.A.2. or 5.B.2.;

> > 2. "Software" to certify "software" specified in 5.D.2.c.1.

> Note 5.D.2. does not control:

> > a. "Software" required for the "use" of equipment excluded from control under the Note to 5.A.2.;

> > b. "Software" providing any of the functions of equipment excluded from control under the Note to 5.A.2.

5.E.2. TECHNOLOGY

> a. "Technology" according to the General Technology Note for the "development", "production" or "use" of equipment or "software" controlled by Category 5 - Part 2.

[79]

## CATEGORY 6 - SENSORS AND "LASERS"

6.A. SYSTEMS, EQUIPMENT AND COMPONENTS

6.A.1. 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 6.A.1.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:

> > > > 1. Acoustic emergency beacons;

> > > > 2. Pingers specially designed for relocating or returning to an underwater position.

> > > a. Wide-swath bathymetric survey systems designed for sea bed topographic mapping, having all of the following:

> > > > 1. Being designed to take measurements at an angle exceeding 20° from the vertical;

> > > > 2. Being designed to measure depths exceeding 600 m below the water surface; and

> > > > 3. Being designed to provide any of the following:

> > > > > a. Incorporation of multiple beams any of which is less than 1.9°; or

> > > > > b. Data accuracies of better than 0.3% of water depth across the swath averaged over the individual measurements within the swath;

> > > b. Object detection or location systems having any of the following:

> > > > 1. A transmitting frequency below 10 kHz;

> > > > 2. Sound pressure level exceeding 224 dB (reference 1 µPa at 1 m) for equipment with an operating frequency in the band from 10 kHz to 24 kHz inclusive;

> > > > 3. Sound pressure level exceeding 235 dB (reference 1 µPa at 1 m) for equipment with an operating frequency in the band between 24 kHz and 30 kHz;

> > > > 4. Forming beams of less than 1° on any axis and having an operating frequency of less than 100 kHz;

> > > > 5. Designed to operate with an unambiguous display range exceeding 5,120 m; or

[80]

6.A.1.a.1.b.

> > > > 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;

6.A.1.a.1.

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

> > > > 1. An instantaneous radiated acoustic power density exceeding 0.01 mW/mm2/Hz for devices operating at frequencies below 10 kHz;

> > > > 2. A continuously radiated acoustic power density exceeding 0.001 mW/mm2/Hz for devices operating at frequencies below 10 kHz;

> > > > > Technical Note

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

> > > > 3. Designed to withstand pressure during normal operation at depths exceeding 1,000 m; or

> > > > 4. Side-lobe suppression exceeding 22 dB;

> > > d. Acoustic systems, equipment and specially designed components for determining the position of surface vessels or underwater vehicles having any of the following:

> > > > Note: 6.A.1.a.1.d. includes:

> > > > > a. Equipment using coherent "signal processing" between two or more beacons and the hydrophone unit carried by the surface vessel or underwater vehicle;

> > > > > b.. Equipment capable of automatically correcting speed-of-sound propagation errors for calculation of a point.

[81]

6.A.1.a.1.d.

> > > > 1. Designed to operate at a range exceeding 1,000 m with a positioning accuracy of less than 10 m rms (root mean square) when measured at a range of 1,000 m; or

> > > > 2. Designed to withstand pressure at depths exceeding 1,000 m;

6.A.1.a.

> > 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 (transducers) having any of the following characteristics:

> > > > 1. Incorporating continuous flexible sensors or assemblies of discrete sensor elements with either a diameter or length less than 20 mm and with a separation between elements of less than 20 mm;

> > > > 2. Having any of the following sensing elements:

> > > > > a. Optical fibres;

> > > > > b. Piezoelectric polymers; or

> > > > > c. Flexible piezoelectric ceramic materials;

> > > > 3. A hydrophone sensitivity better than -180 dB at any depth with no acceleration compensation;

> > > > 4. When designed to operate at depths not exceeding 35 m, a hydrophone sensitivity better than - 186 dB with acceleration compensation;

> > > > 5. When designed for normal operation at depths exceeding 35 m, a hydrophone sensitivity better than -192 dB with acceleration compensation;

> > > > 6. When designed for normal operation at depths exceeding 100 m, a hydrophone sensitivity better than -204 dB; or

> > > > 7. Designed for operation at depths exceeding 1,000 m;

> > > > Technical Note

> > > > Hydrophone sensitivity is defined as twenty times the logarithm to the base 10 of the ratio of rms output voltage to a 1 V rms reference, when the hydrophone sensor, without a pre-amplifier, is placed in a plane wave acoustic field with an rms pressure of 1 µPa. For example, a hydrophone of -160 dB (reference 1 V per µPa) would yield an output voltage of 10-8 V in such a field, while one of -180 dB sensitivity would yield only 10-9 V output. Thus, -160 dB is better than -180 dB.

[82]

6.A.1.a.2.

> > > b. Towed acoustic hydrophone arrays having any of the following:

> > > > 1. Hydrophone group spacing of less than 12.5 m;

> > > > 2. Hydrophone group spacing of 12.5 m to less than 25 m and designed or able to be modified to operate at depths exceeding 35 m;

> > > > > Technical Note:

> > > > > 'Able to be modified' in 6.A.1.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.

> > > > 3. Hydrophone group spacing of 25 m or more and designed to operate at depths exceeding 100 m;

> > > > 4. Heading sensors specified in 6.A.1.a.2.d.;

> > > > 5. Longitudinally reinforced array hoses;

> > > > 6. An assembled array of less than 40 mm in diameter;

> > > > 7. Multiplexed hydrophone group signals designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m; or

> > > > 8. Hydrophone characteristics specified in 6.A.1.a.2.a.;

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

> > > d. Heading sensors having all of the following:

> > > > 1. An accuracy of better than ± 0.5°; and

> > > > 2. Any of the following:

> > > > > a. Designed to be incorporated within the array hosing and to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m; or

> > > > > b. Designed to be mounted external to the array hosing and having a sensor unit capable of operating with 360° roll at depths exceeding 35 m;

[83]

6.A.1.a.2.

> > > e. Bottom or bay cable systems having any of the following:

> > > > 1. Incorporating hydrophones specified in 6.A.1.a.2.a.;

> > > > 2. Incorporating multiplexed hydrophone group signals designed to operate at depths exceeding 35 m or having an adjustable or removable depth sensing device in order to operate at depths exceeding 35 m; or

> > > > 3. Processing equipment, specially designed for bottom or bay cable systems, having "user accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes;

6.A.1.

> b. Correlation-velocity sonar log equipment designed to measure the horizontal speed of the equipment carrier relative to the sea bed at distances between the carrier and the sea bed exceeding 500 m.

6.A.2. OPTICAL SENSORS

> a. Optical detectors, as follows:

> > Note 6.A.2.a. does not control germanium or silicon photodevices.

> > 1. "Space-qualified" solid-state detectors, as follows:

> > > a. "Space-qualified" solid-state detectors, having all of the following:

> > > > 1. A peak response in the wavelength range exceeding 10 nm but not exceeding 300 nm; and

> > > > 2. A response of less than 0.1% relative to the peak response at a wavelength exceeding 400 nm;

> > > b. "Space-qualified" solid-state detectors, having all of the following:

> > > > 1. A peak response in the wavelength range exceeding 900 nm but not exceeding 1,200 nm; and

> > > > 2. A response "time constant" of 95 ns or less;

> > > c. "Space-qualified" solid-state detectors having a peak response in the wavelength range exceeding 1,200 nm but not exceeding 30,000 nm;

> > 2. Image intensifier tubes and specially designed components therefor, as follows:

> > > a. Image intensifier tubes having all of the following:

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

> > > > 2. A microchannel plate for electron image amplification with a hole pitch (centre-to-centre spacing) of 15 µm or less; and

[84]

6.A.2.a.2.a.

> > > > 3. Photocathodes, as follows:

> > > > > 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 6.A.2.a.2.a.3.c. does not control compound semiconductor photocathodes with a maximum radiant sensitivity of 10 mA/W or less.

6.A.2.a.2.

> > > b. Specially designed components, as follows:

> > > > 1. Microchannel plates having a hole pitch (centre-to-centre spacing) of 15 µm or less;

> > > > 2. GaAs or GaInAs photocathodes;

> > > > 3. Other III-V compound semiconductor photocathodes;

> > > > > Note 6.A.2.a.2.b.3. does not control compound semiconductor photocathodes with a maximum radiant sensitivity of 10 mA/W or less.

6.A.2.a.

> > 3. Non-"space-qualified" "focal plane arrays", as follows:

> > > Technical Note

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

> > > Note 1 6.A.2.a.3. includes photoconductive arrays and photovoltaic arrays.

> > > Note 2 6.A.2.a.3. does not control silicon "focal plane arrays", multi-element (not to exceed 16 elements) encapsulated photoconductive cells or pyroelectric detectors using any of the following:

> > > > a. Lead sulphide;

> > > > b. Triglycine sulphate and variants;

> > > > c. Lead-lanthanum-zirconium titanate and variants;

> > > > d. Lithium tantalate;

> > > > e. Polyvinylidene fluoride and variants;

> > > > f. Strontium barium niobate and variants; or

> > > > g. Lead selenide.

> > > 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;

[85]

6.A.2.a.3.

> > > b. Non-"space-qualified" "focal plane arrays", having all of the following:

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

> > > > 2. A response "time constant" of 95 ns or less;

> > > c. Non-"space-qualified" "focal plane arrays", having individual elements with a peak response in the wavelength range exceeding 1,200 nm but not exceeding 30,000 nm.

6.A.2.

> 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 µr (microradians); or

> > 2. Being specified for operation in the wavelength range exceeding 400 nm but not exceeding 30,000 nm and having all the following;

> > > a. Providing output imaging data in digital format; and

> > > b. Being any of the following:

> > > > 1. "Space-qualified"; or

> > > > 2. Designed for airborne operation, using other than silicon detectors, and having an IFOV of less than 2.5 mrad (milliradians).

> c. Direct view imaging equipment operating in the visible or infrared spectrum, incorporating any of the following:

> > 1. Image intensifier tubes specified in 6.A.2.a.2.a. ; or

> > 2. "Focal plane arrays" specified in 6.A.2.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 6.A.2.c. does not control the following equipment incorporating other than GaAs or GaInAs photocathodes:

> > > a. Industrial or civilian intrusion alarm, traffic or industrial movement control or counting systems;

> > > b. Medical equipment;

> > > c. Industrial equipment used for inspection, sorting or analysis of the properties of materials;

> > > d. Flame detectors for industrial furnaces;

> > > e. Equipment specially designed for laboratory use.

[86]

6.A.2.

> d. Special support components for optical sensors, as follows:

> > 1. "Space-qualified" cryocoolers;

> > 2. Non-"space-qualified" cryocoolers, having a cooling source temperature below 218 K (-55°C), as follows:

> > > a. Closed cycle type with a specified Mean-Time-To-Failure (MTTF), or Mean-Time-Between-Failures (MTBF), exceeding 2,500 hours;

> > > b. Joule-Thomson (JT) self-regulating minicoolers having bore (outside) diameters of less than 8 mm;

> > 3. Optical sensing fibres specially fabricated either compositionally or structurally, or modified by coating, to be acoustically, thermally, inertially, electromagnetically or nuclear radiation sensitive.

> e. "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.

6.A.3. CAMERAS

> N.B. For cameras specially designed or modified for underwater use, see 8.A.2.d. and 8.A.2.e.

> a. Instrumentation cameras, as follows:

> > 1. High-speed cinema recording cameras using any film format from 8 mm to 16 mm inclusive, in which the film is continuously advanced throughout the recording period, and that are capable of recording at framing rates exceeding 13,150 frames/s;

> > > Note 6.A.3.a.1. does not control cinema recording cameras for normal civil purposes.

> > 2. Mechanical high speed cameras, in which the film does not move, capable of recording at rates exceeding 1,000,000 frames/s for the full framing height of 35 mm film, or at proportionately higher rates for lesser frame heights, or at proportionately lower rates for greater frame heights;

> > 3. Mechanical or electronic streak cameras having writing speeds exceeding 10 mm/s;

> > 4. Electronic framing cameras having a speed exceeding 1,000,000 frames/µs;

> > 5. Electronic cameras, having all of the following:

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

> > > b. A read out time allowing a framing rate of more than 125 full frames per second.

[87]

6.A.3.

> b. Imaging cameras, as follows:

> > Note 6.A.3.b. does not control television or video cameras specially designed for television broadcasting.

> > 1. Video cameras incorporating solid state sensors, having any of the following:

> > > a. More than 4 x 106 "active pixels" per solid state array for monochrome (black and white) cameras;

> > > b. More than 4 x 106 "active pixels" per solid state array for colour cameras incorporating three solid state arrays; or

> > > c. More than 12 x 106 "active pixels" for solid state array colour cameras incorporating one solid state array;

> > 2. Scanning cameras and scanning camera systems, having all of the following:

> > > a. Linear detector arrays with more than 8,192 elements per array; and

> > > b. Mechanical scanning in one direction;

> > 3. Imaging cameras incorporating image intensifiers specified in 6.A.2.a.2.a.;

> > 4. Imaging cameras incorporating "focal plane arrays" specified in 6.A.2.a.3.

6.A.4. 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;

> > 2. Lightweight monolithic mirrors having an average "equivalent density" of less than 30 kg/m2 and a total mass exceeding 10 kg;

> > 3. Lightweight "composite" or foam mirror structures having an average "equivalent density" of less than 30 kg/m2 and a total mass exceeding 2 kg;

> > 4. Beam steering mirrors more than 100 mm in diameter or length of major axis, which maintain a flatness of lambda/2 or better (lambda is equal to 633 nm) having a control bandwidth exceeding 100 Hz.

[88]

6.A.4.

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

> > 1. Exceeding 100 cm3 in volume; or

> > 2. Exceeding 80 mm in diameter or length of major axis and 20 mm in thickness (depth).

> c. "Space-qualified" components for optical systems, as follows:

> > 1. Lightweighted to less than 20% "equivalent density" compared with a solid blank of the same aperture and thickness;

> > 2. Substrates, substrates having surface coatings (single-layer or multi-layer, metallic or dielectric, conducting, semiconducting or insulating) or having protective films;

> > 3. Segments or assemblies of mirrors designed to be assembled in space into an optical system with a collecting aperture equivalent to or larger than a single optic 1 m in diameter;

> > 4. Manufactured from "composite" materials having a coefficient of linear thermal expansion equal to or less than 5 x 10-6 in any coordinate direction.

> d. Optical control equipment, as follows:

> > 1. Specially designed to maintain the surface figure or orientation of the "space-qualified" components specified in 6.A.4.c.1. or 6.A.4.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°;

> > > b. A bandwidth of 100 Hz or more;

> > > c. Angular pointing errors of 200 rad (microradians) or less; and

> > > d. Having any of the following:

> > > > 1. Exceeding 0.15 m but not exceeding 1 m in diameter or major axis length and capable of angular accelerations exceeding 2 rad (radians)/s2; or

> > > > 2. Exceeding 1 m in diameter or major axis length and capable of angular accelerations exceeding 0.5 rad (radians)/s2;

> > 4. Specially designed to maintain the alignment of phased array or phased segment mirror systems consisting of mirrors with a segment diameter or major axis length of 1 m or more.

[89]

6.A.5. LASERS

"Lasers", components and optical equipment, as follows:

> Note 1 Pulsed "lasers" include those that run in a continuous wave (CW) mode with pulses superimposed.

> Note 2 Pulse-excited "lasers" include those that run in a continuously excited mode with pulse excitation superimposed.

> Note 3 The control status of Raman "lasers" is determined by the parameters of the pumping source "lasers". The pumping source "lasers" can be any of the "lasers" described below.

> a. Gas "lasers", as follows:

> > 1. Excimer "lasers", having any of the following:

> > > a. An output wavelength not exceeding 150 nm and having any of the following:

> > > > 1. An output energy exceeding 50 mJ per pulse; or

> > > > 2. An average or CW output power exceeding 1 W;

> > > b. An output wavelength exceeding 150 nm but not exceeding 190 nm and having any of the following:

> > > > 1. An output energy exceeding 1.5 J per pulse; or

> > > > 2. An average or CW output power exceeding 120 W;

> > > c. An output wavelength exceeding 190 nm but not exceeding 360 nm and having any of the following:

> > > > 1. An output energy exceeding 10 J per pulse; or

> > > > 2. An average or CW output power exceeding 500 W; or

> > > d. An output wavelength exceeding 360 nm and having any of the following:

> > > > 1. An output energy exceeding 1.5 J per pulse; or

> > > > 2. An average or CW output power exceeding 30 W;

> > 2. Metal vapour "lasers", as follows:

> > > a. Copper (Cu) "lasers" having an average or CW output power exceeding 20 W;

> > > b. Gold (Au) "lasers" having an average or CW output power exceeding 5 W;

> > > c. Sodium (Na) "lasers" having an output power exceeding 5 W;

> > > d. Barium (Ba) "lasers" having an average or CW output power exceeding 2 W;

> > 3. Carbon monoxide (CO) "lasers" having any of the following:

> > > a. An output energy exceeding 2 J per pulse and a pulsed "peak power" exceeding 5 kW; or

> > > b. An average or CW output power exceeding 5 kW;

[90]

6.A.5.a.

> > 4. Carbon dioxide (CO2) "lasers" having any of the following:

> > > a. A CW output power exceeding 15 kW;

> > > b. A pulsed output having a "pulse duration" exceeding 10 s and having any of the following:

> > > > 1. An average output power exceeding 10 kW; or

> > > > 2. A pulsed "peak power" exceeding 100 kW; or

> > > c. A pulsed output having a "pulse duration" equal to or less than 10 s; and having any of the following:

> > > > 1. A pulse energy exceeding 5 J per pulse; or

> > > > 2. An average output power exceeding 2.5 kW;

> > 5. "Chemical lasers", as follows:

> > > a. Hydrogen Fluoride (HF) "lasers";

> > > b. Deuterium Fluoride (DF) "lasers";

> > > c. "Transfer lasers", as follows:

> > > > 1. Oxygen Iodine (O2-I) "lasers";

> > > > 2. Deuterium Fluoride-Carbon dioxide (DF-CO2) "lasers";

> > 6. Gas discharge and ion "lasers" (i.e., krypton ion or argon ion "lasers") having any of the following:

> > > a. An output energy exceeding 1.5 J per pulse and a pulsed "peak power" exceeding 50 W; or

> > > b. An average or CW output power exceeding 50 W;

> > 7. Other gas "lasers", having any of the following:

> > > Note 6.A.5.a.7. does not control nitrogen "lasers".

> > > a. An output wavelength not exceeding 150 nm and having any of the following:

> > > > 1. An output energy exceeding 50 mJ per pulse and a pulsed "peak power" exceeding 1 W; or

> > > > 2. An average or CW output power exceeding 1 W;

> > > b. An output wavelength exceeding 150 nm but not exceeding 800 nm and having any of the following:

> > > > 1. An output energy exceeding 1.5 J per pulse and a pulsed "peak power" exceeding 30 W; or

> > > > 2. An average or CW output power exceeding 30 W;

> > > c. An output wavelength exceeding 800 nm but not exceeding 1,400 nm and having any of the following:

> > > > 1. An output energy exceeding 0.25 J per pulse and a pulsed "peak power" exceeding 10 W; or

> > > > 2. An average or CW output power exceeding 10 W; or

> > > d. An output wavelength exceeding 1,400 nm and an average or CW output power exceeding 1 W.

[91]

6.A.5.

> b. Individual, multiple-transverse mode semiconductor "lasers" and arrays of individual semiconductor "lasers", having any of the following:

> > 1. An output energy exceeding 500 µJ per pulse and a pulsed "peak power" exceeding 10 W; or

> > 2. An average or CW output power exceeding 10 W.

> > Technical Note

> > Semiconductor "lasers" are commonly called "laser" diodes.

> > > Note 1 6.A.5.b. includes semiconductor "lasers" having optical output connectors (e.g. fibre optic pigtails).

> > > Note 2 The control status of semiconductor "lasers" specially designed for other equipment is determined by the control status of the other equipment.

> c. Solid state "lasers", as follows:

> > 1. "Tunable" "lasers" having any of the following:

> > > Note 6.A.5.c.1. includes titanium - sapphire(Ti: Al2O3), thulium - YAG (Tm: YAG), thulium - YSGG (Tm: YSGG), alexandrite (Cr: BeAl2O4) and colour centre "lasers".

> > > a. An output wavelength less than 600 nm and having any of the following:

> > > > 1. An output energy exceeding 50 mJ per pulse and a pulsed "peak power" exceeding 1 W; or

> > > > 2. An average or CW output power exceeding 1 W;

> > > b. An output wavelength of 600 nm or more but not exceeding 1,400 nm and having any of the following:

> > > > 1. An output energy exceeding 1 J per pulse and a pulsed "peak power" exceeding 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;

[92]

6.A.5.c.

> > 2. Non-"tunable" "lasers", as follows:

> > > Note 6.A.5.c.2. includes atomic transition solid state "lasers".

> > > a. Neodymium glass "lasers", as follows:

> > > > 1. "Q-switched lasers" having any of the following:

> > > > > a. An output energy exceeding 20 J but not exceeding 50 J per pulse and an average output power exceeding 10 W; or

> > > > > b. An output energy exceeding 50 J per pulse;

> > > > 2. Non-"Q-switched lasers" having any of the following:

> > > > > a. An output energy exceeding 50 J but not exceeding 100 J per pulse and an average output power exceeding 20 W; or

> > > > > b. An output energy exceeding 100 J per pulse;

> > > b. Neodymium-doped (other than glass) "lasers", having an output wavelength exceeding 1,000 nm but not exceeding 1,100 nm, as follows:

> > > > N.B. For neodymium-doped (other than glass) "lasers" having an output wavelength not exceeding 1,000 nm or exceeding 1,100 nm, see 6.A.5.c.2.c.

> > > > 1. Pulse-excited, mode-locked, "Q-switched lasers" having a "pulse duration" of less than 1 ns and having any of the following:

> > > > > a. A "peak power" exceeding 5 GW;

> > > > > b. An average output power exceeding 10 W; or

> > > > > c. A pulsed energy exceeding 0.1 J;

> > > > 2. Pulse-excited, "Q-switched lasers" having a pulse duration equal to or more than 1 ns, and having any of the following:

> > > > > a. A single-transverse mode output having:

> > > > > > 1. A "peak power" exceeding 100 MW;

> > > > > > 2. An average output power exceeding 20 W; or

> > > > > > 3. A pulsed energy exceeding 2 J; or

> > > > > b. A multiple-transverse mode output having:

> > > > > > 1. A "peak power" exceeding 400 MW;

> > > > > > 2. An average output power exceeding 2 kW; or

> > > > > > 3. A pulsed energy exceeding 2 J;

[93]

6.A.5.c.2.b.

> > > > 3. Pulse-excited, non-"Q-switched lasers", having:

> > > > > a. A single-transverse mode output having:

> > > > > > 1. A "peak power" exceeding 500 kW; or

> > > > > > 2. An average output power exceeding 150 W; or

> > > > > b. A multiple-transverse mode output having:

> > > > > > 1. A "peak power" exceeding 1 MW; or

> > > > > > 2. An average power exceeding 2 kW;

> > > > 4. Continuously excited "lasers" having:

> > > > > a. A single-transverse mode output having:

> > > > > > 1. A "peak power" exceeding 500 kW; or

> > > > > > 2. An average or CW output power exceeding 150 W; or

> > > > > b. A multiple-transverse mode output having:

> > > > > > 1. A "peak power" exceeding 1 MW; or

> > > > > > 2. An average or CW output power exceeding 2 kW;

6.A.5.c.2.

> > > c. Other non-"tunable" "lasers", having any of the following:

> > > > 1. A wavelength less than 150 nm and having any of the following:

> > > > > a. An output energy exceeding 50 mJ per pulse and a pulsed "peak power" exceeding 1 W; or

> > > > > b. An average or CW output power exceeding 1 W;

> > > > 2. A wavelength of 150 nm or more but not exceeding 800 nm and having any of the following:

> > > > > a. An output energy exceeding 1.5 J per pulse and a pulsed "peak power" exceeding 30 W; or

> > > > > b. An average or CW output power exceeding 30 W;

> > > > 3. A wavelength exceeding 800 nm but not exceeding 1,400 nm, as follows:

> > > > > a. "Q-switched lasers" having:

> > > > > > 1. An output energy exceeding 0.5 J per pulse and a pulsed "peak power" exceeding 50 W; or

> > > > > > 2. An average output power exceeding:

> > > > > > > a. 10 W for single-mode "lasers";

> > > > > > > b. 30 W for multimode "lasers";

> > > > > b. Non-"Q-switched lasers" having:

> > > > > > 1. An output energy exceeding 2 J per pulse and a pulsed "peak power" exceeding 50 W; or

> > > > > > 2. An average or CW output power exceeding 50 W; or

[94]

6.A.5.c.2.c.

> > > > 4. A wavelength exceeding 1,400 nm and having any of the following:

> > > > > a. An output energy exceeding 100 mJ per pulse and a pulsed "peak power" exceeding 1 W; or

> > > > > b. An average or CW output power exceeding 1 W;

6.A.5.

> d. Dye and other liquid "lasers", having any of the following:

> > 1. A wavelength less than 150 nm and:

> > > a. An output energy exceeding 50 mJ per pulse and a pulsed "peak power" exceeding 1 W; or

> > > b. An average or CW output power exceeding 1 W;

> > 2. A wavelength of 150 nm or more but not exceeding 800 nm and having any of the following:

> > > a. An output energy exceeding 1.5 J per pulse and a pulsed "peak power" exceeding 20 W;

> > > b. An average or CW output power exceeding 20 W; or

> > > c. A pulsed single longitudinal mode oscillator having an average output power exceeding 1 W and a repetition rate exceeding 1 kHz if the "pulse duration" is less than 100 ns;

> > 3. A wavelength exceeding 800 nm but not exceeding 1,400 nm and having any of the following:

> > > a. An output energy exceeding 0.5 J per pulse and a pulsed "peak power" exceeding 10 W; or

> > > b. An average or CW output power exceeding 10 W; or

> > 4. A wavelength exceeding 1,400 nm and having any of the following:

> > > a. An output energy exceeding 100 mJ per pulse and a pulsed "peak power" exceeding 1 W; or

> > > b. An average or CW output power exceeding 1 W;

> e. Components, as follows:

> > 1. Mirrors cooled either by active cooling or by heat pipe cooling;

> > > Technical Note

> > > Active cooling is a cooling technique for optical components using flowing fluids within the subsurface (nominally less than 1 mm below the optical surface) of the optical component to remove heat from the optic.

> > 2. Optical mirrors or transmissive or partially transmissive optical or electro-optical components specially designed for use with controlled "lasers";

[95]

6.A.5.

> f. Optical equipment, as follows:

> > (For shared aperture optical elements, capable of operating in "Super-High Power Laser" ("SHPL") applications, see Item 23. Note 2.d. on the Munitions List.)*

> > 1. Dynamic wavefront (phase) measuring equipment capable of mapping at least 50 positions on a beam wavefront having any of the following:

> > > a. Frame rates equal to or more than 100 Hz and phase discrimination of at least 5% of the beam's wavelength; or

> > > b. Frame rates equal to or more than 1,000 Hz and phase discrimination of at least 20% of the beam's wavelength;

> > 2. "Laser" diagnostic equipment capable of measuring "SHPL" system angular beam steering errors of equal to or less than 10 rad;

> > 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.

6.A.6. MAGNETOMETERS

"Magnetometers", "magnetic gradiometers", "intrinsic magnetic gradiometers" and compensation systems, and specially designed components therefor, as follows:

> Note 6.A.6 does not control instruments specially designed for biomagnetic measurements for medical diagnostics.

> a. "Magnetometers" using "superconductive", optically pumped or nuclear precession (proton/Overhauser) "technology" having a "noise level" (sensitivity) lower (better) than 0.05 nT rms per square root Hz;

> b. Induction coil "magnetometers" having a "noise level" (sensitivity) lower (better) than any of the following:

> > 1. 0.05 nT rms/square root Hz at frequencies of less than 1 Hz;

> > 2. 1 x 10-3 nT rms/square root Hz at frequencies of 1 Hz or more but not exceeding 10 Hz; or

> > 3. 1 x 10-4 nT rms/square root Hz at frequencies exceeding 10 Hz;

> 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 6.A.6.a., 6.A.6.b. or 6.A.6.c.;

_________________

* France and the Russian Federation view this list as reference drawn up to help in the selection of dual-use goods which could contribute to the indigenous development, production or enhancement of conventional munitions capabilities.

[96]

6.A.6.

> e. Fibre optic "intrinsic magnetic gradiometers" having a magnetic gradient field "noise level" (sensitivity) lower (better) than 0.3 nT/m rms per square root Hz;

> f. "Intrinsic magnetic gradiometers", using "technology" other than fibre-optic "technology", having a magnetic gradient field "noise level" (sensitivity) lower (better) than 0.015 nT/m rms per square root Hz;

> g. Magnetic compensation systems for magnetic sensors designed for operation on mobile platforms;

> h. "Superconductive" electromagnetic sensors, containing components manufactured from "superconductive" materials:

> > 1. Designed for operation at temperatures below the "critical temperature" of at least one of their "superconductive" constituents (including Josephson effect devices or "superconductive" quantum interference devices (SQUIDS));

> > 2. Designed for sensing electromagnetic field variations at frequencies of 1 kHz or less; and:

> > 3. Having any of the following characteristics:

> > > 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;

> > > c. Designed to function without magnetic shielding in the earth's ambient magnetic field; or

> > > d. Having a temperature coefficient less (smaller) than 0.1 magnetic flux quantum/K.

6.A.7. GRAVIMETERS

Gravity meters (gravimeters) and gravity gradiometers, as follows:

> a. Gravity meters for ground use having a static accuracy of less (better) than 10 µgal;

> > Note 6.A.7.a. does not control ground gravity meters of the quartz element (Worden) type.

> b. Gravity meters for mobile platforms for ground, marine, submersible, space or airborne use, having all of the following:

> > 1. A static accuracy of less (better) than 0.7 mgal; and

> > 2. An in-service (operational) accuracy of less (better) than 0.7 mgal having a time-to-steady-state registration of less than 2 minutes under any combination of attendant corrective compensations and motional influences;

> c. Gravity gradiometers.

[97]

6.A.8. RADAR

Radar systems, equipment and assemblies having any of the following characteristics, and specially designed components therefor:

> Note 6.A.8. does not control:

> > a. Secondary surveillance radar (SSR);

> > b. Car radar designed for collision prevention;

> > c. Displays or monitors used for air traffic control (ATC) having no more than 12 resolvable elements per mm;

> > d. Meteorological (weather) radar.

> a. Operating at frequencies from 40 GHz to 230 GHz and having an average output power exceeding 100 mW;

> b. Having a tunable bandwidth exceeding ± 6.25% of the centre operating frequency;

> > Technical Note:

> > The centre operating frequency equals one half of the sum of the highest plus the lowest specified operating frequencies.

> c. Capable of operating simultaneously on more than two carrier frequencies;

> d. Capable of operating in synthetic aperture (SAR), inverse synthetic aperture (ISAR) radar mode, or sidelooking airborne (SLAR) radar mode;

> e. Incorporating "electronically steerable phased array antennae";

> f. Capable of heightfinding non-cooperative targets;

> > Note 6.A.8.f. does not control precision approach radar (PAR) equipment conforming to ICAO standards.

> g. Specially designed for airborne (balloon or airframe mounted) operation and having Doppler "signal processing" for the detection of moving targets;

> h. Employing processing of radar signals using any of the following:

> > 1. "Radar spread spectrum" techniques; or

> > 2. "Radar frequency agility" techniques;

[98]

6.A.8.

> i. Providing ground-based operation with a maximum "instrumented range" exceeding 185 km;

> > Note 6.A.8.i. does not control:

> > > a. Fishing ground surveillance radar;

> > > b. Ground radar equipment specially designed for enroute air traffic control, provided that all the following conditions are met:

> > > > 1. It has a maximum "instrumented range" of 500 km or less;

> > > > 2. It is configured so that radar target data can be transmitted only one way from the radar site to one or more civil ATC centres;

> > > > 3. It contains no provisions for remote control of the radar scan rate from the enroute ATC centre; and

> > > > 4. It is to be permanently installed;

> > > c. Weather balloon tracking radars.

> j. Being "laser" radar or Light Detection and Ranging (LIDAR) equipment, having any of the following:

> > 1. "Space-qualified"; or

> > 2. Employing coherent heterodyne or homodyne detection techniques and having an angular resolution of less (better) than 20 rad (microradians);

> > > Note 6.A.8.j. does not control LIDAR equipment specially designed for surveying or for meteorological observation.

> k. Having "signal processing" sub-systems using "pulse compression", with any of the following:

> > 1. A "pulse compression" ratio exceeding 150; or

> > 2. A pulse width of less than 200 ns; or

> l. Having data processing sub-systems with any of the following:

> > 1. "Automatic target tracking" providing, at any antenna rotation, the predicted target position beyond the time of the next antenna beam passage;

> > > Note 6.A.8.l.1. does not control conflict alert capability in ATC systems, or marine or harbour radar.

> > 2. Calculation of target velocity from primary radar having non-periodic (variable) scanning rates;

> > 3. Processing for automatic pattern recognition (feature extraction) and comparison with target characteristic data bases (waveforms or imagery) to identify or classify targets; or

> > 4. Superposition and correlation, or fusion, of target data from two or more "geographically dispersed" and "interconnected radar sensors" to enhance and discriminate targets.

> > > Note 6.A.8.l.4. does not control systems, equipment and assemblies used for marine traffic control.

[99]

6.B. TEST, INSPECTION AND PRODUCTION EQUIPMENT

6.B.1. ACCOUSTICS - None

6.B.2. OPTICAL SENSORS - None

6.B.3. CAMERAS - None

6.B.4. OPTICS

Optical equipment, as follows:

> a. Equipment for measuring absolute reflectance to an accuracy of ± 0.1% of the reflectance value;

> b. Equipment other than optical surface scattering measurement equipment, having an unobscured aperture of more than 10 cm, specially designed for the non-contact optical measurement of a non-planar optical surface figure (profile) to an "accuracy" of 2 nm or less (better) against the required profile.

> Note: 6.B.4 does not control microscopes.

6.B.5. LASERS None

6.B.6. MAGNETOMETERS - None

6.B.7. GRAVIMETERS

Equipment to produce, align and calibrate land-based gravity meters with a static accuracy of better than 0.1 mgal.

6.B.8 RADAR

Pulse radar cross-section measurement systems having transmit pulse widths of 100 ns or less and specially designed components therefor.

[100]

6.C. MATERIALS

6.C.1. ACOUSTICS - None

6.C.2. OPTICAL SENSORS

Optical sensor materials, as follows:

> a. Elemental tellurium (Te) of purity levels of 99.9995% or more;

> b. Single crystals of cadmium telluride (CdTe), cadmium zinc telluride (CdZnTe) or mercury cadmium telluride (HgCdTe) of any purity level, including epitaxial wafers thereof.

6.C.3. CAMERAS None

6.C.4. OPTICS

Optical materials, as follows:

> a. Zinc selenide (ZnSe) and zinc sulphide (ZnS) "substrate blanks" produced by the chemical vapour deposition process, having any of the following:

> > 1. A volume greater than 100 cm3; or

> > 2. A diameter greater than 80 mm having a thickness of 20 mm or more;

> b. Boules of the following electro-optic materials:

> > 1. Potassium titanyl arsenate (KTA);

> > 2. Silver gallium selenide (AgGaSe2);

> > 3. Thallium arsenic selenide (Tl3AsSe3, also known as TAS);

> c. Non-linear optical materials, having all of the following:

> > 1. Third order susceptibility (chi 3) of 10-6 m2/V2 or more; and

> > 2. A response time of less than 1 ms;

> d. "Substrate blanks" of silicon carbide or beryllium beryllium (Be/Be) deposited materials exceeding 300 mm in diameter or major axis length;

> e. Glass, including fused silica, phosphate glass, fluorophosphate glass, zirconium fluoride (ZrF4) and hafnium fluoride (HfF4), having all of the following:

> > 1. A hydroxyl ion (OH-) concentration of less than 5 ppm;

> > 2. Integrated metallic purity levels of less than 1 ppm; and

> > 3. High homogeneity (index of refraction variance) less than 5 x 10-6;

> f. Synthetically produced diamond material with an absorption of less than 10-5 cm-1 for wavelengths exceeding 200 nm but not exceeding 14,000 nm.

[101]

6.C.5. LASERS

Synthetic crystalline "laser" host material in unfinished form, as follows:

> a. Titanium doped sapphire;

> b. Alexandrite.

6.C.6. MAGNETOMETERS - None

6.C.7. GRAVIMETERS - None

6.C.8. RADAR - None

6.D. SOFTWARE

6.D.1. "Software" specially designed for the "development" or "production" of equipment specified in 6.A.4., 6.A.5., 6.A.8. or 6.B.8.

6.D.2. "Software" specially designed for the "use" of equipment specified in 6.A.2.b., 6.A.8 or 6.B.8.

6.D.3 Other "software", as follows:

> a. ACOUSTICS

> "Software" as follows:

> > 1. "Software" specially designed for acoustic beam forming for the "real time processing" of acoustic data for passive reception using towed hydrophone arrays;

> > 2. "Source code" for the "real time processing" of acoustic data for passive reception using towed hydrophone arrays;

> > 3. "Software" specially designed for bottom or bay cable systems and having beamforming or "source code" for "real time processing" of acoustic data for passive reception;

> b. OPTICAL SENSORS - None

> c. CAMERAS - None

> d. OPTICS - None

> e. LASERS - None

[102]

6.D.3.

> f. MAGNETOMETERS

> > 1. "Software" specially designed for magnetic compensation systems for magnetic sensors designed to operate on mobile platforms;

> > 2. "Software" specially designed for magnetic anomaly detection on mobile platforms;

> g. GRAVIMETERS

> "Software" specially designed to correct motional influences of gravity meters or gravity gradiometers;

> h. RADAR

> > 1. Air Traffic Control "software" application "programmes" hosted on general purpose computers located at Air Traffic Control centres and capable of any of the following:

> > > a. Processing and displaying more than 150 simultaneous "system tracks"; or

> > > b. Accepting radar target data from more than four primary radars;

> > 2. "Software" for the design or "production" of radomes which:

> > > a. Are specially designed to protect the "electronically steerable phased array antennae" specified in 6.A.8.e.; and

> > > b. Result in an antenna pattern having an 'average side lobe level' more than 40 dB below the peak of the main beam level.

> > > Technical Note:

> > > 'Average side lobe level' in 6.D.3.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.

[103]

6.E. TECHNOLOGY

6.E.1. "Technology" according to the General Technology Note for the "development" of equipment, materials or "software" specified in 6.A., 6.B., 6.C. or 6.D.

6.E.2. "Technology" according to the General Technology Note for the "production" of equipment or materials specified in 6.A., 6.B. or 6.C.

6.E.3. Other "technology", as follows:

> a. ACOUTICS - None

> b. OPTICAL SENSORS - None

> c. CAMERAS - None

> d. OPTICS

> "Technology" as follows:

> > 1. Optical surface coating and treatment "technology" "required" to achieve uniformity of 99.5% or better for optical coatings 500 mm or more in diameter or major axis length and with a total loss (absorption and scatter) of less than 5 x 10-3;

> > > N.B. See also 2.E.3.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;

> e. LASERS

> "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;

[104]

6.E.3.

> f. MAGNETOMETERS

> "Technology" "required" for the "development" or "production" of fluxgate "magnetometers" or fluxgate "magnetometer" systems, having any of the following:

> > 1. A "noise level" of less than 0.05 nT rms per square root Hz at frequencies of less than 1 Hz; or

> > 2. A "noise level" of less than 1 x 10-3 nT rms per square root Hz at frequencies of 1 Hz or more.

> g. GRAVIMETERS - None

> h. RADAR - None

[105]

## CATEGORY 7 - NAVIGATION AND AVIONICS

7.A. SYSTEMS, EQUIPMENT AND COMPONENTS

N.B. For automatic pilots for underwater vehicles, see Category 8. For radar, see Category 6.

7.A.1. Accelerometers designed for use in inertial navigation or guidance systems and having any of the following characteristics, and specially designed components therefor:

> a. A "bias" "stability" of less (better) than 130 micro g with respect to a fixed calibration value over a period of one year;

> b. A "scale factor" "stability" of less (better) than 130 ppm with respect to a fixed calibration value over a period of one year; or

> c. Specified to function at linear acceleration levels exceeding 100 g.

7.A.2. Gyros having any of the following characteristics, and specially designed components therefor:

> a. A "drift rate" "stability", when measured in a 1 g environment over a period of three months and with respect to a fixed calibration value, of:

> > 1. Less (better) than 0.1° per hour when specified to function at linear acceleration levels below 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

> b. Specified to function at linear acceleration levels exceeding 100 g.

7.A.3. Inertial navigation systems (gimballed or strapdown) and inertial equipment designed for "aircraft", land vehicle or "spacecraft" for attitude, guidance or control having any of the following characteristics, and specially designed components therefor:

> a. Navigation error (free inertial) subsequent to normal alignment of 0.8 nautical mile per hour (50% Circular Error Probable (CEP)) or less (better); or

> > Note 1 The parameters of 7.A.3.a. are applicable with any of the following environmental conditions:

> > 1. Input random vibration with an overall magnitude of 7.7 g rms in the first half hour and a total test duration of one and one half hour per axis in each of the three perpendicular axes, when the random vibration meets the following:

> > > a. A constant power spectral density (PSD) value 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

> > 2. A roll and yaw rate of equal to or more than +2.62 radian/s (150 deg/s); or

> > 3. According to national standards equivalent to 1. or 2. above.

[106]

> b. Specified to function at linear acceleration levels exceeding 10 g.

> Note 2 7.A.3 does not control inertial navigation systems which are certified for use on "civil aircraft" by civil authorities of a "participating state".

7.A.4. Gyro-astro compasses, and other devices which derive position or orientation by means of automatically tracking celestial bodies or satellites, with an azimuth accuracy of equal to or less (better) than 5 seconds of arc.

7.A.5. Global navigation satellite systems (i.e. GPS or GLONASS) receiving equipment having any of the following characteristics, and specially designed components therefor:

> a. Employing decryption; or

> b. A null-steerable antenna.

7.A.6. Airborne altimeters operating at frequencies other than 4.2 to 4.4 GHz inclusive, having any of the following characteristics:

> a. "Power management"; or

> b. Using phase shift key modulation.

7.A.7. Direction finding equipment operating at frequencies above 30 MHz and having all of the following characteristics, and specially designed components therefor:

> a. "Instantaneous bandwidth" of 1 MHz or more;

> b. Parallel processing of more than 100 frequency channels; and

> c. Processing rate of more than 1,000 direction finding results per second and per frequency channel.

(For inertial navigation equipment for ships and submersibles, see Item 9.e on the Munitions List.)*

_________________

* France and the Russian Federation view this list as reference drawn up to help in the selection of dual-use goods which could contribute to the indigenous development, production or enhancement of conventional munitions capabilities.

[107]

7.B. TEST, INSPECTION AND PRODUCTION EQUIPMENT

7.B.1. Test, calibration or alignment equipment specially designed for equipment specified in 7.A.

> Note 7.B.1. does not control test, calibration or alignment equipment for Maintenance Level I or Maintenance Level II.

> Technical Notes

> > 1. Maintenance Level I

> > The failure of an inertial navigation unit is detected on the aircraft by indications from the control and display unit (CDU) or by the status message from the corresponding sub-system. By following the manufacturer's manual, the cause of the failure may be localised at the level of the malfunctioning line replaceable unit (LRU). The operator then removes the LRU and replaces it with a spare.

> > 2. Maintenance Level II

> > The defective LRU is sent to the maintenance workshop (the manufacturer's or that of the operator responsible for level II maintenance). At the maintenance workshop, the malfunctioning LRU is tested by various appropriate means to verify and localise the defective shop replaceable assembly (SRA) module responsible for the failure. This SRA is removed and replaced by an operative spare. The defective SRA (or possibly the complete LRU) is then shipped to the manufacturer.

> > > N.B. Maintenance Level II does not include the removal of controlled accelerometers or gyro sensors from the SRA.

7.B.2. Equipment, as follows, specially designed to characterize mirrors for ring "laser" gyros:

> a. Scatterometers having a measurement accuracy of 10 ppm or less (better);

> b. Profilometers having a measurement accuracy of 0.5 nm (5 angstrom) or less (better).

7.B.3. Equipment specially designed for the "production" of equipment specified in 7.A.

> Note 7.B.3. includes:

> > a. Gyro tuning test stations;

> > b. Gyro dynamic balance stations;

> > c. Gyro run-in/motor test stations;

> > d. Gyro evacuation and fill stations;

> > e. Centrifuge fixtures for gyro bearings;

> > f. Accelerometer axis align stations.

7.C. MATERIALS - None.

[108]

7.D. SOFTWARE

7.D.1. "Software" specially designed or modified for the "development" or "production" of equipment specified in 7.A. or 7.B.

7.D.2. "Source code" for the "use" of any inertial navigation equipment or Attitude and Heading Reference Systems (AHRS) including inertial equipment not controlled by 7.A.3. or 7.A.4.

> Note 7.D.2. does not control "source code" for the "use" of gimballed AHRS.

> Technical Note

> AHRS generally differ from inertial navigation systems (INS) in that an AHRS provides attitude and heading information and normally does not provide the acceleration, velocity and position information associated with an INS.

7.D.3. 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 7.A.3. or 7.A.4.;

> b. "Source code" for hybrid integrated systems which improves the operational performance or reduces the navigational error of systems to the level specified in 7.A.3. 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";

> > 2. Integrated propulsion and flight control systems;

> > 3. Fly-by-wire or fly-by-light control systems;

> > 4. Fault-tolerant or self-reconfiguring "active flight control systems";

> > 5. Airborne automatic direction finding equipment;

> > 6. Air data systems based on surface static data; or

> > 7. Raster-type head-up displays or three dimensional displays;

> 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 7.E.4.b., 7.E.4.c.1. or 7.E.4.c.2.

[109]

7.E. TECHNOLOGY

7.E.1. "Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 7.A., 7.B. or 7.D.

7.E.2. "Technology" according to the General Technology Note for the "production" of equipment specified in 7.A. or 7.B.

7.E.3. "Technology" according to the General Technology Note for the repair, refurbishing or overhaul of equipment specified in 7.A.1. to 7.A.4.

> Note 7.E.3. 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 7.B.1.

7.E.4. Other "technology", as follows:

> a. "Technology" for the "development" or "production" of:

> > 1. Airborne automatic direction finding equipment operating at frequencies exceeding 5 MHz;

> > 2. Air data systems based on surface static data only, i.e., which dispense with conventional air data probes;

> > 3. Raster-type head-up displays or three dimensional displays for "aircraft";

> > 4. Inertial navigation systems or gyro-astro compasses containing accelerometers or gyros specified in 7.A.1. or 7.A.2.;

> > 5. Electric actuators (i.e., electromechanical, electrohydrostatic and integrated actuator package) specially designed for "primary flight control";

> > 6. "Flight control optical sensor array" specially designed for implementing "active flight control systems";

> b. "Development" "technology", as follows, for "active flight control systems" (including fly-by-wire or fly-by-light):

> > 1. Configuration design for interconnecting multiple microelectronic processing elements (on-board computers) to achieve "real time processing" for control law implementation;

> > 2. Control law compensation for sensor location or dynamic airframe loads, i.e., compensation for sensor vibration environment or for variation of sensor location from the centre of gravity;

> > 3. Electronic management of data redundancy or systems redundancy for fault detection, fault tolerance, fault isolation or reconfiguration;

> > > Note 7.E.4.b.3. does not control" technology" for the design of physical redundancy.

> > 4. Flight controls which permit inflight reconfiguration of force and moment controls for real time autonomous air vehicle control;

[110]

> > 5. Integration of digital flight control, navigation and propulsion control data into a digital flight management system for "total control of flight";

> > > Note 7.E.4.b.5. does not control:

> > > > 1. "Development" "technology" for integration of digital flight control, navigation and propulsion control data into a digital flight management system for "flight path optimisation";

> > > > 2. "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 9.E.3.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.

[111]

## CATEGORY 8 - MARINE

8.A. SYSTEMS, EQUIPMENT AND COMPONENTS

8.A.1. Submersible vehicles and surface vessels, as follows:

> N.B. For the control status of equipment for submersible vehicles, see:

> > Category 5, Part 2 "Information Security" for encrypted communication equipment;

> > Category 6 for sensors;

> > Categories 7 and 8 for navigation equipment;

> > Category 8.A. for underwater equipment.

> a. Manned, tethered submersible vehicles designed to operate at depths exceeding 1,000 m;

> b. Manned, untethered submersible vehicles, having any of the following:

> > 1. Designed to 'operate autonomously' and having a lifting capacity of all the following:

> > > a. 10% or more of their weight in air; and

> > > b. 15 kN or more;

> > 2. Designed to operate at depths exceeding 1,000 m; or

> > 3. Having all of the following:

> > > a. Designed to carry a crew of 4 or more;

> > > b. Designed to operate autonomously for 10 hours or more;

> > > c. Having a 'range' of 25 nautical miles or more; and

> > > d. Having a length of 21 m or less;

> > Technical Notes

> > > 1. For the purposes of 8.A.1.b., 'operate autonomously' means fully submerged, without snorkel, all systems working and cruising at minimum speed at which the submersible can safely control its depth dynamically by using its depth planes only, with no need for a support vessel or support base on the surface, sea-bed or shore, and containing a propulsion system for submerged or surface use.

> > > 2. For the purposes of 8.A.1.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 8.A.2.a.2.; or

> > 2. Having a fibre optic data link;

[112]

> d. Unmanned, untethered submersible vehicles, having any of the following:

> > 1. Designed for deciding a course relative to any geographical reference without real-time human assistance;

> > 2. Having an acoustic data or command link; or

> > 3. Having a fibre optic data or command link exceeding 1,000 m;

> e. Ocean salvage systems with a lifting capacity exceeding 5 MN for salvaging objects from depths exceeding 250 m and having any of the following:

> > 1. Dynamic positioning systems capable of position keeping within 20 m of a given point provided by the navigation system; or

> > 2. Seafloor navigation and navigation integration systems for depths exceeding 1,000 m with positioning accuracies to within 10 m of a predetermined point;

> f. Surface-effect vehicles (fully skirted variety) having all of the following characteristics:

> > 1. a maximum design speed, fully loaded, exceeding 30 knots in a significant wave height of 1.25 m (Sea State 3) or more;

> > 2. a cushion pressure exceeding 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:

> > 1. A full load displacement exceeding 500 tonnes with a maximum design speed, fully loaded, exceeding 35 knots in a significant wave height of 3.25 m (Sea State 5) or more; or

> > 2. A full load displacement exceeding 1,500 tonnes with a maximum design speed, fully loaded, exceeding 25 knots in a significant wave height of 4 m (Sea State 6) or more.

> > Technical Note

> > A small waterplane area vessel is defined by the following formula: waterplane area at an operational design draught less than 2 x (displaced volume at the operational design draught)2/3.

[113]

8.A.2. Systems and equipment, as follows:

> N.B. For underwater communications systems, see Category 5, Part 1 - Telecommunications.

> a. Systems and equipment, specially designed or modified for submersible vehicles, designed to operate at depths exceeding 1,000 m, as follows:

> > 1. Pressure housings or pressure hulls with a maximum inside chamber diameter exceeding 1.5 m;

> > 2. Direct current propulsion motors or thrusters;

> > 3. Umbilical cables, and connectors therefor, using optical fibre and having synthetic strength members;

> b. Systems specially designed or modified for the automated control of the motion of equipment for submersible vehicles specified in 8.A.1. using navigation data and having closed loop servo-controls:

> > 1. Enabling a vehicle to move within 10 m of a predetermined point in the water column;

> > 2. Maintaining the position of the vehicle within 10 m of a predetermined point in the water column; or

> > 3. Maintaining the position of the vehicle within 10 m while following a cable on or under the seabed;

> c. Fibre optic hull penetrators or connectors;

> d. Underwater vision systems, as follows:

> > 1. Television systems and television cameras, as follows:

> > > a. Television systems (comprising camera, monitoring and signal transmission equipment) having a limiting resolution when measured in air of more than 800 lines and specially designed or modified for remote operation with a submersible vehicle;

> > > b. Underwater television cameras having a limiting resolution when measured in air of more than 1,100 lines;

> > > c. Low light level television cameras specially designed or modified for underwater use containing all of the following:

> > > > 1. Image intensifier tubes specified in 6.A.2.a.2.a.; and

> > > > 2. More than 150,000 "active pixels" per solid state area array;

> > > Technical Note

> > > Limiting resolution in television is a measure of horizontal resolution usually expressed in terms of the maximum number of lines per picture height discriminated on a test chart, using IEEE Standard 208/1960 or any equivalent standard.

> > 2. Systems, specially designed or modified for remote operation with an underwater vehicle, employing techniques to minimise the effects of back scatter, including range-gated illuminators or "laser" systems;

[114]

> 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:

> > 1. Systems that control the "robot" using information from sensors which measure force or torque applied to an external object, distance to an external object, or tactile sense between the "robot" and an external object; or

> > 2. The ability to exert a force of 250 N or more or a torque of 250 Nm or more and using titanium based alloys or "fibrous or filamentary" "composite" materials in their structural members;

> i. Remotely controlled articulated manipulators specially designed or modified for use with submersible vehicles, having any of the following:

> > 1. Systems which control the manipulator using the information from sensors which measure the torque or force applied to an external object, or tactile sense between the manipulator and an external object; or

> > 2. Controlled by proportional master-slave techniques or by using a dedicated "stored programme controlled" computer, and having 5 degrees of freedom of movement or more;

> > > Note Only functions having proportional control using positional feedback or by using a dedicated "stored programme controlled" computer are counted when determining the number of degrees of freedom of movement.

[115]

> j. Air independent power systems, specially designed for underwater use, as follows:

> > 1. Brayton or Rankine cycle engine air independent power systems having any of the following:

> > > a. Chemical scrubber or absorber systems specially designed to remove carbon dioxide, carbon monoxide and particulates from recirculated engine exhaust;

> > > b. Systems specially designed to use a monoatomic gas;

> > > c. Devices or enclosures specially designed for underwater noise reduction in frequencies below 10 kHz, or special mounting devices for shock mitigation; or

> > > d. Systems specially designed:

> > > > 1. To pressurise the products of reaction or for fuel reformation;

> > > > 2. To store the products of the reaction; and

> > > > 3. To discharge the products of the reaction against a pressure of 100 kPa or more;

> > 2. Diesel cycle engine air independent systems, having all of the following:

> > > a. Chemical scrubber or absorber systems specially designed to remove carbon dioxide, carbon monoxide and particulates from recirculated engine exhaust;

> > > b. Systems specially designed to use a monoatomic gas;

> > > c. Devices or enclosures specially designed for underwater noise reduction in frequencies below 10 kHz or special mounting devices for shock mitigation; and

> > > d. Specially designed exhaust systems that do not exhaust continuously the products of combustion;

> > 3. Fuel cell air independent power systems with an output exceeding 2 kW having any of the following:

> > > a. Devices or enclosures specially designed for underwater noise reduction in frequencies below 10 kHz or special mounting devices for shock mitigation; or

> > > b. Systems specially designed:

> > > > 1. To pressurise the products of reaction or for fuel reformation;

> > > > 2. To store the products of the reaction; and

> > > > 3. To discharge the products of the reaction against a pressure of 100 kPa or more;

[116]

> > > > 4. Stirling cycle engine air independent power systems, having all of the following:

> > > > > a. Devices or enclosures specially designed for underwater noise reduction in frequencies below 10 kHz or special mounting devices for shock mitigation; and

> > > > > b. Specially designed exhaust systems which discharge the products of combustion against a pressure of 100 kPa or more;

> k. Skirts, seals and fingers, having any of the following:

> > 1. Designed for cushion pressures of 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 8.A.1.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 8.A.1.g.;

> l. Lift fans rated at more than 400 kW specially designed for surface effect vehicles specified in 8.A.1.f. or 8.A.1.g.;

> m. Fully submerged subcavitating or supercavitating hydrofoils specially designed for vessels specified in 8.A.1.h.;

> n. Active systems specially designed or modified to control automatically the sea-induced motion of vehicles or vessels specified in 8.A.1.f., 8.A.1.g., 8.A.1.h. or 8.A.1.i.;

> o. Propellers, power transmission systems, power generation systems and noise reduction systems, as follows:

> > 1. Water-screw propeller or power transmission systems, as follows, specially designed for surface effect vehicles (fully skirted or rigid sidewall variety), hydrofoils or small waterplane area vessels specified in 8.A.1.f., 8.A.1.g., 8.A.1.h. or 8.A.1.i.:

> > > a. Supercavitating, super-ventilated, partially-submerged or surface piercing propellers rated at more than 7.5 MW;

> > > b. Contrarotating propeller systems rated at more than 15 MW;

> > > c. Systems employing pre-swirl or post-swirl techniques for smoothing the flow into a propeller;

> > > d. Light-weight, high capacity (K factor exceeding 300) reduction gearing;

> > > e. Power transmission shaft systems, incorporating "composite" material components, capable of transmitting more than 1 MW;

[117]

8.A.2.o.

> > 2. Water-screw propeller, power generation systems or transmission systems designed for use on vessels, as follows:

> > > a. Controllable-pitch propellers and hub assemblies rated at more than 30 MW;

> > > b. Internally liquid-cooled electric propulsion engines with a power output exceeding 2.5 MW;

> > > c. "Superconductive" propulsion engines, or permanent magnet electric propulsion engines, with a power output exceeding 0.1 MW;

> > > d. Power transmission shaft systems, incorporating "composite" material components, capable of transmitting more than 2 MW;

> > > e. Ventilated or base-ventilated propeller systems rated at more than 2.5 MW;

> > 3. Noise reduction systems designed for use on vessels of 1,000 tonnes displacement or more, as follows:

> > > a. Systems that attenuate underwater noise at frequencies below 500 Hz and consist of compound acoustic mounts for the acoustic isolation of diesel engines, diesel generator sets, gas turbines, gas turbine generator sets, propulsion motors or propulsion reduction gears, specially designed for sound or vibration isolation, having an intermediate mass exceeding 30% of the equipment to be mounted;

> > > b. Active noise reduction or cancellation systems, or magnetic bearings, specially designed for power transmission systems, and incorporating electronic control systems capable of actively reducing equipment vibration by the generation of anti-noise or anti-vibration signals directly to the source;

> 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.

8.B. TEST, INSPECTION AND PRODUCTION EQUIPMENT

8.B.1. 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.

[118]

8.C. MATERIALS

8.C.1. Syntactic foam designed for underwater use, having all of the following:

> a. Designed for marine depths exceeding 1,000 m; and

> b. A density less than 561 kg/m3.

> Technical Note

> Syntactic foam consists of hollow spheres of plastic or glass embedded in a resin matrix.

8.D. SOFTWARE

8.D.1. "Software" specially designed or modified for the "development", "production" or "use" of equipment or materials specified in 8A, 8B or 8C.

8.D.2. Specific "software" specially designed or modified for the "development", "production", repair, overhaul or refurbishing (re-machining) of propellers specially designed for underwater noise reduction.

8.E. TECHNOLOGY

8.E.1. "Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 8.A., 8.B. or 8.C.

8.E.2. Other "technology", as follows:

> a. "Technology" for the "development", "production", repair, overhaul or refurbishing (re-machining) of propellers specially designed for underwater noise reduction;

> b. "Technology" for the overhaul or refurbishing of equipment specified in 8.A.1., 8.A.2.b., 8.A.2.j., 8.A.2.o. or 8.A.2.p.

[119]

## CATEGORY 9 - PROPULSION

9.A. SYSTEMS, EQUIPMENT AND COMPONENTS

(For propulsion systems designed or rated against neutron or transient ionizing radiation, see ML12.)*

9.A.1. Aero gas turbine engines incorporating any of the "technologies" specified in 9.E.3.a., as follows:

> a. Not certified for the specific "civil aircraft" for which they are intended;

> > Note For the purpose of the "civil aircraft" certification process, a number of up to 16 civil certified engines, assemblies or components including spares, is considered apprpriate.

> b. Not certified for civil use by the aviation authorities in a "participating state";

> c. Designed to cruise at speeds exceeding Mach 1.2 for more than thirty minutes.

9.A.2. 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.

9.A.3. Specially designed assemblies and components, incorporating any of the "technologies" specified in 9.E.3.a., for gas turbine engine propulsion systems, as follows:

> a. Specified in 9.A.1.;

> b. Whose design or production origins are either non-"participating states" or unknown to the manufacturer.

9.A.4. Space launch vehicles and "spacecraft".

> Note 1 9.A.4. does not control payloads.

> Note 2 For the control status of products contained in "spacecraft" payloads, see the appropriate Categories.

9.A.5. Liquid rocket propulsion systems containing any of the systems or components specified in 9.A.6.

9.A.6. Systems and components specially designed for liquid rocket propulsion systems, as follows:

> 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;

_________________

* France and the Russian Federation view this list as reference drawn up to help in the selection of dual-use goods which could contribute to the indigenous development, production or enhancement of conventional munitions capabilities.

[120]

9.A.6.

> b. Cryogenic containers or closed-cycle refrigeration systems capable of providing temperatures of 100 K (-173°C) or less for "aircraft" capable of sustained flight at speeds exceeding Mach 3, launch vehicles or "spacecraft";

> c. Slush hydrogen storage or transfer systems;

> d. High pressure (exceeding 17.5 MPa) turbo pumps, pump components or their associated gas generator or expander cycle turbine drive systems;

> e. High-pressure (exceeding 10.6 MPa) thrust chambers and nozzles therefor;

> f. Propellant storage systems using the principle of capillary containment or positive expulsion (i.e., with flexible bladders);

> g. Liquid propellant injectors, with individual orifices of 0.381 mm or smaller in diameter (an area of 1.14 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.

9.A.7. Solid rocket propulsion systems with any of the following:

> a. Total impulse capacity exceeding 1.1 MNs;

> b. Specific impulse of 2.4 kNs/kg or more when the nozzle flow is expanded to ambient sea level conditions for an adjusted chamber pressure of 7 MPa;

> c. Stage mass fractions exceeding 88% and propellant solid loadings exceeding 86%;

> d. Any of the components specified in 9.A.8 .; or

> e. Insulation and propellant bonding systems using direct-bonded motor designs to provide a 'strong mechanical bond' or a barrier to chemical migration between the solid propellant and case insulation material.

> > Technical Note

> > For the purposes of 9.A.7.e., a 'strong mechanical bond' means bond strength equal to or more than propellant strength.

9.A.8. 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 9.A.8.a., a 'strong mechanical bond' means bond strength equal to or more than propellant strength.

> b. Filament-wound "composite" motor cases exceeding 0.61 m in diameter or having structural efficiency ratios (PV/W) exceeding 25 km;

> > Technical Note

> > The structural efficiency ratio (PV/W) is the burst pressure (P) multiplied by the vessel volume (V) divided by the total pressure vessel weight (W).

> c. Nozzles with thrust levels exceeding 45 kN or nozzle throat erosion rates of less than 0.075 mm/s;

[121]

> 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.

9.A.9. Hybrid rocket propulsion systems with:

> a. Total impulse capacity exceeding 1.1 MNs; or

> b. Thrust levels exceeding 220 kN in vacuum exit conditions.

9.A.10. Specially designed components, systems and structures for launch vehicles, launch vehicle propulsion systems or "spacecraft", as follows:

> a. Components and structures each exceeding 10 kg, specially designed for launch vehicles manufactured using metal "matrix", "composite", organic "composite", ceramic "matrix" or intermetallic reinforced materials specified in 1.C.7. or 1.C.10.;

> > Note: The weight cut-off is not relevant for nose cones.

> b. Components and structures specially designed for launch vehicle propulsion systems specified in 9.A.5. to 9.A.9. manufactured using metal matrix, composite, organic composite, ceramic matrix or intermetallic reinforced materials specified in 1.C.7. or 1.C.10.;

> 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.

9.A.11. Ramjet, scramjet or combined cycle engines and specially designed components therefor.

9.B. TEST, INSPECTION AND PRODUCTION EQUIPMENT

9.B.1. Specially designed equipment, tooling and fixtures, as follows, for manufacturing or measuring gas turbine blades, vanes or tip shroud castings:

> a. Directional solidification or single crystal casting equipment;

> b. Ceramic cores or shells;

> c. Ceramic core manufacturing equipment or tools;

> d. Ceramic shell wax pattern preparation equipment.

9.B.2. On-line (real time) control systems, instrumentation (including sensors) or automated data acquisition and processing equipment, specially designed for the "development" of gas turbine engines, assemblies or components incorporating "technologies" specified in 9.E.3.a.

9.B.3. Equipment specially designed for the "production" or test of gas turbine brush seals designed to operate at tip speeds exceeding 335 m/s, and temperatures in excess of 773 K (500°C), and specially designed components or accessories therefor.

[122]

9.B.4. Tools, dies or fixtures for the solid state joining of "superalloy", titanium or intermetallic airfoil-to-disk combinations described in 9.E.3 .a.3. or 9.E.3 .a.6. for gas turbines.

9.B.5. On-line (real time) control systems, instrumentation (including sensors) or automated data acquisition and processing equipment, specially designed for use with any of the following wind tunnels or devices:

> 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 9.B.5.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.

9.B.6. Acoustic vibration test equipment capable of producing sound pressure levels of 160 dB or more (referenced to 20 µPa) with a rated output of 4 kW or more at a test cell temperature exceeding 1,273 K (1,000°C), and specially designed quartz heaters therefor.

9.B.7. Equipment specially designed for inspecting the integrity of rocket motors using non-destructive test (NDT) techniques other than planar X-ray or basic physical or chemical analysis.

9.B.8. Transducers specially designed for the direct measurement of the wall skin friction of the test flow with a stagnation temperature exceeding 833 K (560°C).

9.B.9 Tooling specially designed for producing turbine engine powder metallurgy rotor components capable of operating at stress levels of 60% of ultimate tensile strength (UTS) or more and metal temperatures of 873 K (600°C) or more.

9.C. MATERIALS - None.

9.D. SOFTWARE

9.D.1. "Software" required for the "development" of equipment or "technology" specified in 9.A., 9.B. or 9.E.3.

9.D.2. "Software" required for the "production" of equipment specified in 9.A. or 9.B.

[123]

9.D.3. "Software" required for the "use" of full authority digital electronic engine controls (FADEC) for propulsion systems specified in 9.A. or equipment specified in 9.B., as follows:

> a. "Software" in digital electronic controls for propulsion systems, aerospace test facilities or air breathing aero-engine test facilities;

> b. Fault-tolerant "software" used in "FADEC" systems for propulsion systems and associated test facilities.

9.D.4. Other "software", as follows:

> a. 2D or 3D viscous "software" validated with wind tunnel or flight test data required for detailed engine flow modelling;

> b. "Software" for testing aero gas turbine engines, assemblies or components, specially designed to collect, reduce and analyse data in real time, and capable of feedback control, including the dynamic adjustment of test articles or test conditions, as the test is in progress;

> c. "Software" specially designed to control directional solidification or single crystal casting;

> d. "Software" in "source code", "object code" or machine code required for the "use" of active compensating systems for rotor blade tip clearance control.

> > Note 9.D.4.d. does not control "software" embedded in uncontrolled equipment or required for maintenance activities associated with the calibration or repair or updates to the active compensating clearance control system.

9.E. TECHNOLOGY

9.E.1. "Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 9.A.1.c., 9.A.4 to 9.A.11., 9.B. or 9.D.

9.E.2. "Technology" according to the General Technology Note for the "production" of equipment specified in 9.A.1.c., 9.A.4 to 9.A.11., or 9.B.

> Note 1 For "technology" for the repair of controlled structures, laminates or materials, see 1.E.2.f.

> Note 2 "Development" or "production" "technology" specified in 9.E. for gas turbine engines remains controlled when used as "use" "technology" for repair, rebuild and overhaul. Excluded from control are: technical data, drawings or documentation for maintenance activities directly associated with calibration, removal or replacement of damaged or unserviceable line replaceable units, including replacement of whole engines or engine modules.

9.E.3. Other "technology", as follows:

> a. "Technology" "required" for the "development" or "production" of any of the following gas turbine engine components or systems:

> > 1. Gas turbine blades, vanes or tip shrouds made from directionally solidified (DS) or single crystal (SC) alloys having (in the 001 Miller Index Direction) a stress-rupture life exceeding 400 hours at 1,273 K (1,000°C) at a stress of 200 MPa, based on the average property values;

[124]

9.E.3.a.

> > 2. Multiple domed combustors operating at average burner outlet temperatures exceeding 1,813 K (1,540°C) or combustors incorporating thermally decoupled combustion liners, non-metallic liners or non-metallic shells;

> > 3. Components manufactured from organic "composite" materials designed to operate above 588 K (315°C), or from metal "matrix" "composite", ceramic "matrix", intermetallic or intermetallic reinforced materials controlled by 1A002 or 1C007;

> > 4. Uncooled turbine blades, vanes, tip-shrouds or other components designed to operate at gas path temperatures of 1,323 K (1,050°C) or more;

> > 5. Cooled turbine blades, vanes or tip-shrouds, other than those described in 9.E.3.a.1., exposed to gas path temperatures of 1,643 K (1,370°C) or more;

> > 6. Airfoil-to-disk blade combinations using solid state joining;

> > 7. Gas turbine engine components using "diffusion bonding" "technology" controlled by 2E003.b.;

> > 8. Damage tolerant gas turbine engine rotating components using powder metallurgy materials controlled by 1C002.b.;

> > 9. "FADEC" for gas turbine and combined cycle engines and their related diagnostic components, sensors and specially designed components;

> > 10. Adjustable flow path geometry and associated control systems for:

> > > a. Gas generator turbines;

> > > b. Fan or power turbines;

> > > c. Propelling nozzles;

> > > > Notes 1 Adjustable flow path geometry and associated control systems in 9.E.3.a.10. do not include inlet guide vanes, variable pitch fans, variable stators or bleed valves for compressors.

> > > > Note 2 9.E.3.a.10. does not control "development" or "production" "technology" for adjustable flow path geometry for reverse thrust.

> > 11. Rotor blade tip clearance control systems employing active compensating casing "technology" limited to a design and development data base; or

> > 12. Wide chord hollow fan blades without part-span support;

> b. "Technology" "required" for the "development" or "production" of any of the following:

> > 1. Wind tunnel aero-models equipped with non-intrusive sensors capable of transmitting data from the sensors to the data acquisition system; or

> > 2. "Composite" propeller blades or propfans capable of absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;

> c. "Technology" "required" for the "development" or "production" of gas turbine engine components using "laser", water jet, ECM or EDM hole drilling processes to produce holes having any of the following sets of characteristics:

> > 1. All of the following:

> > > a. Depths more than four times their diameter;

> > > b. Diameters less than 0.76 mm; and

> > > c. Incidence angles equal to or less than 25°; or

[125]

9.E.3.c.

> > 2. All of the following:

> > > a. Depths more than five times their diameter;

> > > b. Diameters less than 0.4 mm; and

> > > c. Incidence angles of more than 25°;

> > Technical Note

> > For the purposes of 9.E.3.c., incidence angle is measured from a plane tangential to the airfoil surface at the point where the hole axis enters the airfoil surface.

> d. "Technology" "required" for any of the following:

> > 1. The "development" of helicopter power transfer systems or tilt rotor or tilt wing "aircraft" power transfer systems; or

> > 2. The "production" of helicopter power transfer systems or tilt rotor or tilt wing "aircraft" power transfer systems;

> e.

> > 1. "Technology" for the "development" or "production" of reciprocating diesel engine ground vehicle propulsion systems having all of the following:

> > > a. A box volume of 1.2 m3 or less;

> > > b. An overall power output of more than 750 kW based on 80/1269/EEC, ISO 2534 or national equivalents; and

> > > c. A power density of more than 700 kW/m3 of box volume;

> > > Technical Note

> > > Box volume: the product of three perpendicular dimensions measured in the following way:

> > > > Length: The length of the crankshaft from front flange to flywheel face;

> > > > Width: The widest of the following:

> > > > > a. The outside dimension from valve cover to valve cover;

> > > > > b. The dimensions of the outside edges of the cylinder heads; or

> > > > > c. The diameter of the flywheel housing;

> > > > Height: The largest of the following:

> > > > > a. The dimension of the crankshaft centre-line to the top plane of the valve cover (or cylinder head) plus twice the stroke; or

> > > > > b. The diameter of the flywheel housing.

> > 2. "Technology" "required" for the "production" of specially designed components, as follows, for high output diesel engines:

> > > a. "Technology" "required" for the "production" of engine systems having all of the following components employing ceramics materials controlled by 1.C.7.:

> > > > 1. Cylinder liners;

> > > > 2. Pistons;

> > > > 3. Cylinder heads; and

> > > > 4. One or more other components (including exhaust ports, turbochargers, valve guides, valve assemblies or insulated fuel injectors);

[126]

9.E.3.e.2.

> > > b. "Technology" "required" for the "production" of turbocharger systems, with single-stage compressors having all of the following:

> > > > 1. Operating at pressure ratios of 4:1 or higher;

> > > > 2. A mass flow in the range from 30 to 130 kg per minute; and

> > > > 3. Variable flow area capability within the compressor or turbine sections;

> > > c. "Technology" "required" for the "production" of fuel injection systems with a specially designed multifuel (e.g., diesel or jet fuel) capability covering a viscosity range from diesel fuel (2.5 cSt at 310.8 K (37.8°C)) down to gasoline fuel (0.5 cSt at 310.8 K (37.8°C)), having both of the following:

> > > > 1. Injection amount in excess of 230 mm3 per injection per cylinder; and

> > > > 2. Specially designed electronic control features for switching governor characteristics automatically depending on fuel property to provide the same torque characteristics by using the appropriate sensors;

9.E.3.e.

> > 3. "Technology" "required" for the "development" or "production" of high output diesel engines for solid, gas phase or liquid film (or combinations thereof) cylinder wall lubrication, permitting operation to temperatures exceeding 723 K (450°C), measured on the cylinder wall at the top limit of travel of the top ring of the piston.

> > > Technical Note

> > > High output diesel engines: diesel engines with a specified brake mean effective pressure of 1.8 MPa or more at a speed of 2,300 r.p.m., provided the rated speed is 2,300 r.p.m. or more.

[127]

## ANNEX 1 OF THE LIST OF DUAL-USE GOODS AND TECHNOLOGIES

Note This Annex contains a sub-set of the Items controlled by the List of Dual-Use Goods and Technologies.

N.B. Where abbreviated entries are used, see the List of Dual-Use Goods and Technologies for full details. Text that differs from that in List of Dual-Use Goods and Technologies is printed here in bold type.

Category 1 |  |
1.A.2. | "Composite" structures or laminates.... |
1.C.1. | Materials specially designed for use as absorbers of electromagnetic waves... |
1.C.7.c. & 1.C.7.d. | Ceramic-ceramic "composite" materials..... |
1.C.10.c. & 1.C.10.d. | Fibrous or filamentary materials..... |
1.C.12. | Materials for nuclear heat sources... |
1.D.2. | "Software" for the "development" of organic "matrix", metal "matrix" or carbon "matrix" laminates or "composites" listed on this Annex. |
1.E.1. | "Technology" according to the General Technology Note for the "development" or "production" of equipment and materials in 1.A.2. or 1.C. of this Annex. |
1.E.2.e. & 1.E.2.f. | Other "technology"..... |
Category 2* |  |
2.B.1.a. | Machine tools for turning, having all of the following characteristics: 1. Positioning accuracy with all compensations available of less (better) than 4 µm along any linear axis (overall positioning); and 2. Two or more axes which can be coordinated simultaneously for "contouring control". |
2.B.1.b. | Machine tools for milling, having any of the following characteristics: 1.a. Positioning accuracy with all compensations available of less (better) than 4 µm along any linear axis (overall positioning); and b. Three linear axes plus one rotary axis which can be coordinated simultaneously for "contouring control"; or
2. Five or more axes which can be coordinated simultaneously for "contouring control" and have a positioning accuracy with all compensations available of less (better) than 4 µm along any linear axis (overall positioning).

[128] |  |
| 3. A positioning accuracy for jig boring machines, with all compensations available, of less (better) than 4 µm along any linear axis (overall positioning); |
2.B.1.d. | Electrical discharge machines (EDM).... |
2.B.1.f. | Deep-hole-drilling machines.... |
2.B.3. | "Numerically controlled" or manual machine tools.... |
2.D.1. | "Software" specially designed for the "development" or "production" of equipment in 2.B. of this Annex. |
2.E.1. | "Technology" according to the General Technology Note for the "development" of equipment or "software" in 2.B. or 2.D. this Annex. |
2.E.2. | "Technology" according to the General Technology Note for the "production" of equipment in any of 2.B. of this Annex. |
Category 3 |  |
3.A.2.g.2. | Atomic frequency standards.... |
3.B.1.a.2. | Metal organic chemical vapour deposition reactors.... |
3.D.1. | "Software" specially designed for the "development" or "production" of equipment in 3.A.2.g., 3.B of this Annex. |
3.E.1. | "Technology" according to the General Technology Note for the "development" or "production" of equipment in 3.A. or 3.B. of this Annex. |
Category 4 |  |
4.A.1.a.2. | Electronic computers......radiation hardened |
4.A.1.b. | Electronic computers...("Information Security") |
4.A.3.b. | "Digital computers" having a "composite theoretical performance" ("CTP") exceeding 2,000 Mtops |
4.A.3.c. | "Electronic assemblies" specially designed or modified to be capable of enhancing performance by aggregation of "computing elements" ("CEs") so that the "CTP" of the aggregation exceeds the limit in 4A003b in this Annex. Note 1 4.A.3.c. applies only to "electronic assemblies" and programmable interconnections not exceeding the limit in 4.A.3.b. in this Annex when shipped as unintegrated "electronic assemblies".

[129] |  |
| Note 2 4.A.3.c. does not control "electronic assemblies" specially designed for a product or family of products whose maximum configuration does not exceed the limit of 4.A.3.b. in this Annex. |
4.D.1. | "Software" specially designed for the "development" or "production" of equipment or "software" in 4.A. or 4.D. of this Annex. |
4.D.3.c. | "Software"...... |
4.E.1. | "Technology" according to the General Technology Note for the "development" or "production" of equipment or "software" in any of 4.A. or 4.D. of this Annex. |
Category 5-Part 1 |  |
5.A.1.b.8. | Radio equipment ....... |
5.A.1.b.9. | Digitally controlled radio receivers... |
5.B.1.a. | Equipment and specially designed components or accessories therefor, specially designed for the "development", "production" or "use" of equipment, materials, functions or features in Category 5 - Part 1 of this Annex. |
5.D.1.a. | "Software" specially designed for the "development" or "production" of equipment, functions or features in Category 5 - Part 1 of this Annex. |
5.D.1.b. | "Software" specially designed or modified to support "technology" listed under 5.E.1. of this Annex. |
5.E.1a | "Technology" according to the General Technology Note for the "development" or "production" of equipment, functions, features or "software" in Category 5 - Part 1 of this Annex. |
Category 5-Part 2 |  |
5.A.2. | Equipment, assemblies and components.... |
5.B.2. | Test, inspection and production equipment.... |
5.D.2. | "Software"... |
5.E.2. | "Technology"... |
Category 6 |  |

[130] |  |
6.A.1.a.1.b. | Object detection or location systems having any of the following: 1. A transmitting frequency below 5 kHz; 2. Sound pressure level exceeding 224 dB (reference 1 mPa at 1 m) for equipment with an operating frequency in the band from 5 kHz to 24 kHz inclusive;

3. Sound pressure level...;

4. Forming beams of ...;

5. Designed to operate...

6. Designed to withstand...;

6.A.1.a.2.a.1. 6.A.1.a.2.a.2. 6.A.1.a.2.a.7. | Hydrophones...Incorporating... Hydrophones...Having any... Hydrophones...Designed for... |
6.A.1.a.2.b. | Towed acoustic hydrophone arrays... |
6.A.1.a.2.c. | Processing equipment, specially designed for real time application with towed acoustic hydrophone arrays, having "user accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes; |
6.A.1.a.2.d. | Heading sensors.... |
6.A.1.a.2.e. | Bottom or bay cable systems having any of the following: 1. Incorporating hydrophones... 2. Incorporating multiplexed hydrophone group signals É; or 3. Processing equipment, specially designed for real time application with bottom or bay cable systems, having "user accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes; |
6.A.2.a.1.a. | "Space-qualified" solid-state detectors..... |
6.A.2.a.1.b. | "Space-qualified" solid-state detectors..... |
6.A.2.a.1.c. | "Space-qualified" solid-state detectors... |
6.A.2.a.2.a. | Image intensifier tubes ... 1. A peak response... 2. A microchannel plate... 3. Photocathodes, as follows:

> a. S-20, S-25 or multialkali photocathodes with a luminous sensitivity exceeding 550 µA/lm;

> b. GaAs or GaInAs photocathodes;

> c. Other III-V compound semiconductor photocathodes.

6.A.2.a.3. | Non-space qualified "focal plane arrays"...; |
| Note 3 In 6.A.2.a.3. the following "focal plane arrays" are not included in this Annex: |

[131] |  |
| a. Platinum Silicide (PtSi) "focal plane arrays" having less than 10,000 elements;
| b. Iridium Silicide (IrSi) "focal plane arrays".
6.A.2.a.3. | Note 4 In 6.A.2.a.3. the following "focal plane arrays" are not included in this Annex:
| a. Indium Antimonide (InSb) or Lead Selenide (PbSe) "focal plane arrays" having less than 256 elements;
| b. Indium Arsenide (InAs) "focal plane arrays";
| c. Lead Sulphide (PbS) "focal plane arrays";
| d. Indium Gallium Arsenide (InGaAs) "focal plane arrays".
| Note 5 In 6.A.2.a.3. Mercury Cadmium Telluride (HgCdTe) "focal plane arrays" as follows are not included in this Annex:
| 1. Scanning Arrays having any of the following:

> a. 30 elements or less; or

> b. incorporating time delay-and-integration within the element and having 2 elements or less;

| 2. Staring Arrays having less than 256 elements.
| Technical Notes 'Scanning Arrays' are defined as "focal plane arrays" designed for use with a scanning optical system that images a scene in a sequential manner to produce an image; 'Staring Arrays' are defined as "focal plane arrays" designed for use with a non-scanning optical system that images a scene.
| Note 6 In 6.A.2.a.3. the following "focal plane arrays" are not included in this Annex:

> a. Gallium Arsenide (GaAs) or Gallium Aluminum Arsenide (GaAlAs) quantum well "focal plane arrays" having less than 256 elements;

> b. Pyroelectric or Ferroelectric (including barium-strontium titanate, lead zirconate titanate or lead scandium titanate) "focal plane arrays" having less than 8,000 elements;

[132] |  |
| c. Vanadium Oxide-Silicon nitride microbolometer "focal plane arrays" having less than 8,000 elements. |
6.A.2.b. | "Monospectral imaging sensors" and "multispectral imaging sensors".... |
6.A.2.c. | Direct view imaging equipment operating in the visible or infrared spectrum, incorporating any of the following: 1. Image intensifier tubes having the characteristics listed in 6.A.2.a.2.a. of this Annex; or 2. "Focal plane arrays" having the characteristics listed in 6.A.2.a.3 of this Annex; |
6.A.2.e. | "Space-qualified" "focal plane arrays".... |
6.A.3.b.3. | Imaging cameras incorporating image intensifiers having the characteristics listed in 6.A.2.a.2.a of this Annex; |
6.A.3.b.4. | Imaging cameras incorporating "focal plane arrays" having the characteristics listed in 6.A.2.a.3 of this Annex; |
6.A.4.c. | "Space-qualified" components for optical systems.... |
6.A.4.d. | Optical control equipment..... |
6.A.6.g. | Magnetic compensation systems... |
| Note In 6.A.6.g. those compensators which provide only absolute values of the earth's magnetic field as output, (i.e., the frequency bandwidth of the output extends from DC to at least 0.8 Hz) are not included in this Annex. |
6.A.6.h. | "Superconductive" electromagnetic sensors...... |
6.A.8.d. | Radar systems.....Capable of... |
6.A.8.h. | Radar systems...Employing processing |
6.A.8.k. | Radar systems...Having "signal processing"... |
6.A.8.l.3. | Radar systems...Having data processing... Processing for... |
6.B.8. | Pulse radar cross-section... |
6.D.1. | "Software" specially designed for the "development" or "production" of equipment in 6.A.4., 6.A.8 or 6.B.8 of this Annex. |
6.D.3a | Other "software"... |
6.E.1 | "Technology" according to... |
6.E.2 | "Technology" according to the General Technology Note for the "production" of equipment in any of 6.A. or 6.B. of this Annex. |
Category 7 |  |
7.D.2. | "Source code" for the "use"... |
7D003a | "Software" specially designed or modified to... |
7D003b | "Source code" for... |

[133] |  |
7.D.3.c. | "Source code" for... |
7.D.3.d.1. to 4. & 7. | "Source code" for the "development" of... |
7.E.1. & 7.E.2. | "Technology" according to the General Technology Note... |
Category 8 |  |
8.A.1.b. | Manned, untethered submersible vehicles... |
8.A.1.c. | Unmanned, untethered submersible vehicles..... |
8.A.1.d. | Unmanned, untethered submersible vehicles... |
8.A.2.b. | Systems specially designed or modified for the automated control of the motion of equipment for submersible vehicles in 8.A.1 of this Annex using navigation data and having closed loop servo-controls: 1. Enabling...; 2. Maintaining...; or 3. Maintaining...;
8.A.2.h. | "Robots" specially designed for underwater use...... |
8.A.2.j. | Air independent power systems....... |
8.A.2.o.3. | Noise reduction systems for use on vessels... |
8.A.2.p. | Pumpjet propulsion systems.... |
8.D.1. | "Software" specially designed for the "development" or "production" of equipment in 8.A. of this Annex. |
8.D.2. | Specific "software" ... |
8.E.1. | "Technology" according to the General Technology Note for the "development" or "production" of equipment in 8.A. of this Annex. |
8.E.2.a. | Other "technology"........ |
Category 9 |  |
9.A.11. | Ramjet, scramjet or combined cycle engines... |
9.B.1.b. | Ceramic cores or shells |
9.D.1. | "Software" specially designed for the "development" of equipment in any of 9.A., 9.B. or 9.E.3. of this Annex. |
9.D.2. | "Software" specially designed for the "production" of equipment in any of 9.A. or 9.B. of this Annex. |
9.D.4.a. | Other "software"...2D or 3D... |
9.D.4.c. | Other "software"..."Software" specially... |
9.E.1. | "Technology" according to the General Technology Note..... |
9.E.2. | "Technology" according to the General Technology Note... |
9.E.3.a.1. | Other "technology"...Gas turbine blades... |
9.E.3.a.2. to 5. & 9.E.3.a.8., 9.E.3.a.9. | Other "technology"... |

[134]

## ANNEX 2 OF THE LIST OF DUAL-USE GOODS AND TECHNOLOGIES

Note This Annex is a sub-set of the Items contained in Annex 1.

N.B. Where abbreviated entries are used, see the List of Dual-Use Goods and Technologies for full details. Text that differs from that in List of Dual-Use Goods and Technologies is printed here in bold type.

Category 1 |  |
1.A.2.a. | "Composite" structures or laminates having an organic Òmatrix" and made from materials listed under 1.C.10.c. or 1.C.10.d. |
1.C.1. | Materials specially designed for use as absorbers of electromagnetic waves... |
1.C.12. | Materials for nuclear heat sources... |
1.E.1. | "Technology" according to the General Technology Note for the "development" or "production" of equipment and materials in 1.A.2. or 1.C. of this Annex. |
Category 2 |  |
None |  |
Category 3 |  |
None |  |
Category 4 |  |
4.A.3.b. | "Digital computers" having a "composite theoretical performance" ("CTP") exceeding 10,000 Mtops |
4.A.3.c. | "Electronic assemblies" specially designed or modified to be capable of enhancing performance by aggregation of "computing elements" ("CEs") so that the "CTP" of the aggregation exceeds the limit in 4.A.3.b. of this Annex. Note 1 4.A.3.c. applies only to "electronic assemblies" and programmable interconnections not exceeding the limit in 4.A.3.b. in this Annex when shipped as unintegrated "electronic assemblies".

Note 2 4.A.3.c. does not control "electronic assemblies" specially designed for a product or family of products whose maximum configuration does not exceed the limit of 4.A.3.b. in this Annex.

4.D.1. | "Software" specially designed for the "development" or "production" of equipment in any of 4.A. of this Annex. |

[135] |  |
4.E.1. | "Technology" according to the General Technology Note for the "development" or "production" of equipment or "software" in any of 4.A.or 4.D. of this Annex. |
Category 5 - Part 1 |  |
5.A.1.b.9 | Digitally controlled radio receivers... |
5.D.1.a. | "Software" specially designed for the "development" or "production" of equipment, functions or features in Category 5 - Part 1 of this Annex. |
5.E.1.a. | "Technology" according to the General Technology Note for the "development" or "production" of equipment, functions, features or "software" Category 5 - Part 1 of this Annex. |
Category 5 - Part 2 |  |
None |  |
Category 6 |  |
6.A.1.a.2.a.1., 2. & 7. | Hydrophones...Incorporating... |
6.A.1a.2.b. | Towed acoustic hydrophone arrays... |
6.A.1.a.2.c. | Processing equipment, specially designed for real time application with towed acoustic hydrophone arrays, having "user accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes; |
6.A.1.a.2.e. | Bottom or bay cable systems having any of the following: 1. Incorporating hydrophones... 2. Incorporating multiplexed hydrophone group signals ...; or 3. Processing equipment, specially designed for real time application with bottom or bay cable systems, having "user accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes; |
6.A.2.a.1.c. | "Space-qualified" solid-state detectors... |
6.A.8.l.3. | Radar systems...Having data processing... Processing for... |
6.B.8. | Pulse radar cross-section... |
6.D.1. | "Software" specially designed for the "development" or "production" of equipment in 6.A.8, or 6.B.8 of this Annex. |
6.D.3.a. | Other "software"... |
6.E.1. | "Technology" according to the General Technology Note for the "development" of equipment or "software" in any of 6.A., 6.B. or 6.D. of this Annex.

[136] |  |
6.E.2. | "Technology" according to the General Technology Note for the "production" of equipment in 6.A. or 6.B. of this Annex. |
Category 7 |  |
7.D.3.a. | "Software" specially designed or modified toÉ |
7.D.3.b. | "Source code" for... |
Category 8 |  |
8.A.1.b. | Manned, untethered submersible vehicles... |
8.A.1.d. | Unmanned, untethered submersible vehicles... |
8.A.2.o.3.b. | Active noise reduction or cancellation systems... |
8.D.1. | "Software" specially designed for the "development" or "production" of equipment in 8.A. of this Annex. |
8.E.1. | "Technology" according to the General Technology Note for the "development" or "production" of equipment in 8A. of this Annex. |
Category 9 |  |
9.A.11. | Ramjet, scramjet or combined cycle engines... |
9.D.1. | "Software" specially designed for the "development" of equipment or "technology" in any of 9.A. or in 9.E.3 of this Annex. |
9.D.2. | "Software" specially designed for the "production" of equipment in any of 9.A. of this Annex. |
9.E.1. | "Technology" according to the General Technology Note for the "development" of equipment or "software" in 9.A.11. of this Annex. |
9.E.2. | "Technology" according to the General Technology Note for the "production" of equipment in 9.A.11. of this Annex. |
9.E.3.a.1. | Other "technology"ÉGas turbine bladesÉ |
9.E.3.a.3. | "Technology" "required" for ... Components manufactured from organic "composite" materials designed to operate above 588 K (315°C), or from metal "matrix" "composite", ceramic "matrix", intermetallic or intermetallic reinforced materials in 1.A.2.a. of this Annex |

[137]

## MUNITIONS LIST*

Note Terms in "quotations" are defined terms. Refer to 'Definition of Terms used in these Lists' annexed to this List.

GENERAL TECHNOLOGY NOTE

The export of "technology" which is "required" for the "development", "production" or "use" of items controlled in the Munitions List is controlled according to the provisions in the Munitions List entries. This "technology" remains under control even when applicable to any uncontrolled item.

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

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

_____________________

* France and the Russian Federation view this list as a reference list drawn up to help in the selection of dual-use goods which could contribute to the indigenous development, production or enhancement of conventional munitions capabilities.

[138]

ML1.* Arms and automatic weapons with a calibre of 12.7 mm (calibre 0.50 inches) or less and accessories, as follows, and specially designed components therefor:

> a. Rifles, carbines, revolvers, pistols, machine pistols and machine guns:

> > Note ML1.a. does not control the following:

> > 1. Muskets, rifles and carbines manufactured earlier than 1938;

> > 2. Reproductions of muskets, rifles and carbines the originals of which were manufactured earlier than 1890;

> > 3. Revolvers, pistols and machine guns manufactured earlier than 1890, and their reproductions;

> b. Smooth-bore weapons specially designed for military use;

> c. Weapons using caseless ammunition;

> d. Silencers, special gun-mountings, clips and flash suppressers for arms controlled by sub-items ML1.a., ML1.b. or ML1.c.

> Technical Note

> Smooth-bore weapons specially designed for military use as specified in ML1.b. are those which:

> > a. Are proof tested at pressures above 1,300 bars;

> > b. Operate normally and safely at pressures above 1,000 bars; and

> > c. Are capable of accepting ammunition above 76.2 mm in length (e.g., commercial 12-gauge magnum shot gun shells).

> The parameters in this Technical Note are to be measured according to the standards of the Commission Internationale Permanente.

Note 1 ML1. does not control smooth-bore weapons used for hunting or sporting purposes. These weapons must not be specially designed for military use or of the fully automatic firing type.

Note 2 ML1. does not control firearms specially designed for dummy ammunition and which are incapable of firing any controlled ammunition.

Note 3 ML1. does not control weapons using non-centre fire cased ammunition and which are not of the fully automatic firing type.

_______________________

* Italy does not agree to control the following small arms with a calibre of 12.7 mm (calibre 0.50 inches) or less in the Munitions List: revolvers, non automatic pistols and rifles; shot guns not specially designed for military purposes.

[139]

ML2. Armament or weapons with a calibre greater than 12.7 mm (calibre 0.50 inches), projectors and accessories, as follows, and specially designed components therefor:

> a. Guns, howitzers, cannon, mortars, anti-tank weapons, projectile launchers, military flame throwers, recoilless rifles and signature reduction devices therefor;

> > Note ML2.a. includes injectors, metering devices, storage tanks and other specially designed components for use with liquid propelling charges for any of the equipment controlled by ML 2.a..

> b. Military smoke, gas and pyrotechnic projectors or generators.

> > Note ML 2.b. does not control signal pistols.

[140]

ML3. Ammunition, and specially designed components therefor, for the weapons controlled by ML1., ML2. or ML12.

> Note 1 Specially designed components include:

> > a. Metal or plastic fabrications such as primer anvils, bullet cups, cartridge links, rotating bands and munitions metal parts;

> > b. Safing and arming devices, fuses, sensors and initiation devices ;

> > c. Power supplies with high one-time operational output;

> > d. Combustible cases for charges;

> > e. Submunitions including bomblets, minelets and terminally guided projectiles.

> Note 2 ML3. does not control ammunition crimped without a projectile (blank star) and dummy ammunition with a pierced powder chamber.

[141]

ML4. Bombs, torpedoes, rockets, missiles, and related equipment and accessories, as follows, specially designed for military use, and specially designed components therefor:

> a. Bombs, torpedoes, grenades, smoke canisters, rockets, mines, missiles, depth charges, demolition-charges, demolition-devices and demolition-kits, "military pyrotechnics", cartridges and simulators (i.e. equipment simulating the characteristics of any of these items);

> Note ML4.a. includes:

> > 1. Smoke grenades, fire bombs, incendiary bombs and explosive devices;

> > 2. Missile rocket nozzles and re-entry vehicle nosetips.

> b. Equipment specially designed for the handling, control, activation, powering with one-time operational output, launching, laying, sweeping, discharging, decoying, jamming, detonation or detection of items controlled by ML4.a.

> Note ML 4.b. includes:

> > 1. Mobile gas liquefying equipment capable of producing 1,000 kg or more per day of gas in liquid form;

> > 2. Buoyant electric conducting cable suitable for sweeping magnetic mines.

> Note ML4.b. does not include detonators or other equipment for the detonation of non-military explosives covered by ML908, For these, see ML909.

[142]

ML5. Fire control, and related alerting and warning equipment, and related systems and countermeasure equipment, as follows, specially designed for military use, and specially designed components and accessories therefor:

> a. Weapon sights, bombing computers, gun laying equipment and weapon control systems;

> b. Target acquisition, designation, range-finding, surveillance or tracking systems; detection, data fusion, recognition or identification equipment; and sensor integration equipment;

> c. Countermeasure equipment for items controlled by ML5.a. and ML5.b.

[143]

ML6. Ground vehicles and components therefor specially designed or modified for military use.

> Technical Note

> For the purposes of ML6. the term ground vehicles includes trailers.

Note 1 ML6. includes:

> a. Tanks and other military armed vehicles and military vehicles fitted with mountings for arms or equipment for mine laying or the launching of munitions controlled under ML4;

> b. Armoured vehicles;

> c. Amphibious and deep water fording vehicles;

> d. Recovery vehicles and vehicles for towing or transporting ammunition or weapon systems and associated load handling equipment.

Note 2 Modification of a ground vehicle for military use entails a structural, electrical or mechanical change involving one or more specially designed military components. Such components include:

> a. Pneumatic tyre casings of a kind specially designed to be bullet-proof or to run when deflated;

> b. Tyre inflation pressure control systems, operated from inside a moving vehicle;

> c. Armoured protection of vital parts, (e.g., fuel tanks or vehicle cabs);

> d. Special reinforcements for mountings for weapons.

Note 3 ML6. does not control civil automobiles or bank trucks having armoured protection.

[144]

ML7. Toxicological agents, "tear gases", related equipment, components, materials and "technology" as follows:

> Note The CAS numbers are shown as examples. They do not cover all the chemicals and mixtures controlled by ML7.

> a. Biological agents and radioactive materials "adapted for use in war" to produce casualties in humans or animals, degrade equipment or damage crops or the environment, and chemical warfare (CW) agents;

> b. CW binary precursors and key precursors, as follows:

> > 1. Alkyl (Methyl, Ethyl, n-Propyl or Isopropyl Phosphonyl Difluorides, such as: DF: Methyl Phosphonyldifluoride (CAS 676-99-3);

> > 2. O-Alkyl (H or equal to or less than C10, including cycloalkyl) O-2-dialkyl (Methyl, Ethyl, n-Propyl or Isopropyl) aminoethyl alkyl (Methyl, Ethyl, n-Propyl or Isopropyl) phosphonite and corresponding alkylated and protonated salts, such as:

> > > QL: O-Ethyl-2-di-isopropylaminoethyl methylphosphonite (CAS 57856-11-8);

> > 3. Chlorosarin: O-Isopropyl methylphosphonochloridate (CAS 1445-76-7);

> > 4. Chlorosoman: O-Pinakolyl methylphosphonochloridate (CAS 7040-57-5);

> c. "Tear gases" and "riot control agents" including:

> > 1. Bromobenzyl cyanide (CA) (CAS 5798-79-8);

> > 2. o-Chlorobenzylidenemalononitrile (o-Chlorobenzalmalononitrile) (CS) (CAS 2698-41-1);

> > 3. Phenylacyl chloride (w-chloroacetophenone) (CN) (CAS 532-27-4);

> > 4. Dibenz-(b,f)-1,4-oxazephine (CR) (CAS 257-07-8);

> d. Equipment specially designed or modified for the dissemination of the materials or agents controlled by ML7.a. and specially designed components therefor;

> e. Equipment specially designed for defence against materials controlled by ML7.a. and specially designed components therefor;

> > Note ML7.e. includes protective clothing.

> f. Equipment specially designed for the detection or identification of materials controlled by ML7.a. and specially designed components therefor;

> > Note ML7.f. does not control personal radiation monitoring dosimeters.

> N.B. For civil gas masks and protective equipment see also entry 1.A.4. on the dual-Use List.

> g. "Biopolymers" specially designed or processed for the detection or identification of CW agents controlled by ML7.a., and the cultures of specific cells used to produce them;

[145]

ML7.

h. "Biocatalysts" for the decontamination or degradation of CW agents, and biological systems therefor, as follows:

> 1. "Biocatalysts" specially designed for the decontamination or degradation of CW agents controlled by ML7.a. resulting from directed laboratory selection or genetic manipulation of biological systems;

> 2. Biological systems, as follows: "expression vectors", viruses or cultures of cells containing the genetic information specific to the production of "biocatalysts" controlled by ML7.h.1.;

i. "Technology" as follows:

> 1. "Technology" for the "development", "production" or " use" of toxicological agents, related equipment or components controlled by ML7.a. to ML7.f.;

> 2. "Technology" for the "development", "production" or "use" of "biopolymers" or cultures of specific cells controlled by ML7.g.;

> 3. "Technology" exclusively for the incorporation of "biocatalysts", controlled by ML7.h.1., into military carrier substances or military material.

Note 1 ML7.a. includes the following

> a. CW nerve agents:

> > 1. O-Alkyl (equal to or less than C10, including cycloalkyl) alkyl (Methyl, Ethyl, n-Propyl or Isopropyl) - phosphonofluoridates, such as:

> > > Sarin (GB):O-Isopropyl methylphosphonofluoridate (CAS 107-44-8); and

> > > Soman (GD):O-Pinacolyl methylphosphonofluoridate (CAS 96-64-0);

> > 2. O-Alkyl (equal to or less than C10, including cycloalkyl) N,N-dialkyl (Methyl, Ethyl, n-Propyl or Isopropyl) phosphoramidocyanidates, such as:

> > > Tabun (GA):O-Ethyl N,N-dimethylphosphoramidocyanidate (CAS 77-81-6);

> > 3. O-Alkyl (H or equal to or less than C10, including cycloalkyl) S-2-dialkyl (Methyl, Ethyl, n-Propyl or Isopropyl)-aminoethyl alkyl (Methyl, Ethyl, n-Propyl or Isopropyl) phosphonothiolates and corresponding alkylated and protonated salts, such as:

> > > VX: O-Ethyl S-2-diisopropylaminoethyl methyl phosphonothiolate (CAS 50782-69-9);

> b. CW vesicant agents

> > 1. Sulphur mustards, such as:

> > > 2-Chloroethylchloromethylsulphide (CAS 2625-76-5);

> > > Bis(2-chloroethyl) sulphide (CAS 505-60-2);

> > > Bis(2-chloroethylthio) methane (CAS 63869-13-6);

> > > 1,2-bis (2-chloroethylthio) ethane (CAS 3563-36-8);

> > > 1,3-bis (2-chloroethylthio) -n-propane (CAS 63905-10-2);

> > > 1,4-bis (2-chloroethylthio) -n-butane (CAS 142868-93-7)

> > > 1,5-bis (2-chloroethylthio) -n-pentane; (CAS 142868-94-8)

> > > Bis (2-chloroethylthiomethyl) ether; (CAS 63918-90-1)

> > > Bis (2-chloroethylthioethyl) ether (CAS 63918-89-8);

[146]

> > 2. Lewisites, such as:

> > > 2-chlorovinyldichloroarsine (CAS 541-25-3);

> > > Tris (2-chlorovinyl) arsine (CAS 40334-70-1);

> > > Bis (2-chlorovinyl) chloroarsine (CAS 40334-69-8);

> > 3. Nitrogen mustards, such as:

> > > HN1: bis (2-chloroethyl) ethylamine (CAS 538-07-8);

> > > HN2: bis (2-chloroethyl) methylamine (CAS 51-75-2);

> > > HN3: tris (2-chloroethyl) amine (CAS 555-77-1);

> c. CW incapacitating agents such as:

> > 3-Quinuclindinyl benzilate (BZ) (CAS 6581-06-2);

> d. CW defoliants such as:

> > 1. Butyl 2-chloro-4-fluorophenoxyacetate (LNF);

> > 2. 2,4,5-trichlorophenoxyacetic acid mixed with 2,4-dichlorophenoxyacetic acid (Agent Orange).

Note 2 ML 7.e. includes air conditioning units specially designed or modified for nuclear, biological or chemical filtration.

Note 3 ML7.a. and ML7.c. do not control:

> a. Cyanogen chloride (SEE ITEM 1C450a.4);

> b. Hydrocyanic acid (SEE ITEM 1C450a.5);

> c. Chlorine;

> d. Carbonyl chloride (phosgene) (SEE ITEM 1C450a.7);

> e. Diphosgene (trichloromethyl-chloroformate);

> f. Ethyl bromoacetate;

> g. Xylyl bromide;

> h. Benzyl bromide;

> i. Benzyl iodide;

> j. Bromo acetone;

> k. Cyanogen bromide;

> l. Bromo methylethylketone;

> m. Chloro acetone;

> n. Ethyl iodoacetate;

> o. Iodo acetone;

> p. Chloropicrin

[147]

Note 4 The "technology", cultures of cells and biological systems listed in ML7.g., ML7.h.2. and ML7.i.3. are exclusive and these sub-items do not control "technology", cells or biological systems for civil purposes, such as agricultural, pharmaceutical, medical, veterinary, environmental, waste management, or in the food industry.

Note 5 ML 7.c. does not control tear gases or riot control agents individually packaged for personal self defence purposes.

Note 6 ML 7.d., ML7.e. and ML7.f. control equipment specially designed or modified for military purposes.

N.B. See also entry 1.A.4. on the Dual-Use list.

[149]

ML 8. "Military explosives" and fuels, including propellants, and related substances, as follows:

> a. Substances, as follows, and mixtures thereof:

> > 1. Spherical aluminium powder (CAS 7429-90-5) with a particle size of 60 µm or less, manufactured from material with an aluminium content of 99% or more;

> > 2. Metal fuels in particle form whether spherical, atomized, spheroidal, flaked or ground, manufactured from material consisting of 99 % or more of any of the following:

> > a. Metals and mixtures thereof:

> > > 1. Beryllium (CAS 7440-41-7) in particle sizes of less than 60 µm;

> > > 2. Iron powder (CAS 7439-89-6) with particle size of 3 µm or less produced by reduction of iron oxide with hydrogen;

> > 2. b. Mixtures, which contain any of the following:

> > > 1. Zirconium (CAS 7440-67-7), magnesium (CAS 7439-95-4) and alloys of these in particle sizes of less than 60 µm;

> > > 2. Boron (CAS 7440-42-8) or boron carbide (CAS 12069-32-8) fuels of 85% purity or higher and particle sizes of less than 60 µm;

> > 3. Perchlorates, chlorates and chromates composited with powdered metal or other high energy fuel components;

> > 4. Nitroguanidine (NQ) (CAS 556-88-7);

> > 5. Compounds composed of fluorine and any of the following: other halogens, oxygen, nitrogen;

> > 6. Carboranes; decaborane(CAS 17702-41-9); pentaborane and derivatives thereof;

> > 7. Cyclotetramethylenetetranitramine (CAS 2691-41-0) (HMX); octahydro-1,3,5,7-tetranitro-1,3,5,7-tetrazine; 1,3,5,7-tetranitro-1,3,5,7-tetraza-cyclooctane; (octogen, octogene);

> > 8. Hexanitrostilbene (HNS) (CAS 20062-22-0);

> > 9. Diaminotrinitrobenzene (DATB) (CAS 1630-08-6);

> > 10. Triaminotrinitrobenzene (TATB) (CAS 3058-38-6);

> > 11. Triaminoguanidinenitrate (TAGN) (CAS 4000-16-2);

> > 12. Titanium subhydride of stoichiometry TiH 0.65-1.68;

> > 13. Dinitroglycoluril (DNGU, DINGU) (CAS 55510-04-8); tetranitroglycoluril (TNGU, SORGUYL) (CAS 55510-03-7);

> > 14. Tetranitrobenzotriazolobenzotriazole (TACOT) (CAS 25243-36-1);

> > 15. Diaminohexanitrobiphenyl (DIPAM) (CAS 17215-44-0);

> > 16. Picrylaminodinitropyridine (PYX) (CAS 38082-89-2);

> > 17. 3-nitro-1,2,4-triazol-5-one (NTO or ONTA) (CAS 932-64-9);

> > 18. Hydrazine (CAS 302-01-2) in concentrations of 70% or more; hydrazine nitrate (CAS 37836-27-4); hydrazine perchlorate (CAS 27978-54-7); unsymmetrical dimethyl hydrazine (CAS 57-14-7); monomethyl (CAS 60-34-4) hydrazine; symmetrical dimethyl hydrazine (CAS 540-73-8);

> > 19. Ammonium perchlorate (CAS 7790-98-9);

> > 20. Cyclotrimethylenetrinitramine (RDX) (CAS 121-82-4) ; cyclonite; T4; hexahydro-1,3,5-trinitro-1,3,5-triazine; 1,3,5-trinitro-1,3,5-triaza-cyclohexane (hexogen, hexogene);

[149]

ML 8.a.

> > 21. Hydroxylammonium nitrate (HAN) (CAS 13465-08-2); hydroxylammonium perchlorate (HAP) (CAS 15588-62-2);

> > 22. 2-(5-cyanotetrazolato) penta amine-cobalt (III) perchlorate (or CP) (CAS 70247-32-4);

> > 23. cis-bis (5-nitrotetrazolato) tetra amine-cobalt (III) perchlorate (or BNCP);

> > 24. 7-Amino-4,6-dinitrobenzofurazane-1-oxide (ADNBF) (CAS 97096-78-1); amino dinitrobenzofuroxan;

> > 25. 5,7-diamino-4,6-dinitrobenzofurazane-1-oxide (CAS 117907-74-1), (CL-14 or diamino dinitrobenzofuroxan);

> > 26. 2,4,6-trinitro-2,4,6-triazacyclohexanone (K-6 or Keto-RDX) (CAS 115029-35-1);

> > 27. 2,4,6,8-tetranitro-2,4,6,8-tetraazabicyclo [3,3,0]-octanone-3 (CAS 130256-72-3) (tetranitrosemiglycouril, K-55 or keto-bicyclic HMX);

> > 28. 1,1,3-trinitroazetidine (TNAZ) (CAS 97645-24-4);

> > 29. 1,4,5,8-tetranitro-1,4,5,8-tetraazadecalin (TNAD)

> > (CAS 135877-16-6);

> > 30. Hexanitrohexaazaisowurtzitane (CAS 135285-90-4) (CL-20 or HNIW); and chlathrates of CL-20;

> > 31. Polynitrocubanes with more than four nitro groups;

> > 32. Ammonium dinitramide (ADN or SR 12) (CAS 140456-78-6);

> > 33. Trinitrophenylmethylnitramine (tetryl) (CAS 479-45-8);

> b. Explosives and propellants that meet the following performance parameters:

> > 1. Any explosive with a detonation velocity exceeding 8,700 m/s or a detonation pressure exceeding 34 GPa (340 kbar);

> > 2. Other organic explosives not listed in ML8. yielding detonation pressures of 25 GPa (250 kbar) or more that will remain stable at temperatures of 523 K (250°C) or higher for periods of 5 minutes or longer;

> > 3. Any other United Nations (UN) Class 1.1 solid propellant not listed in ML8. with a theoretical specific impulse (under standard conditions) of more than 250 s for non-metallised, or more than 270 s for aluminised compositions;

> > 4. Any UN Class 1.3 solid propellant with a theoretical specific impulse of more than 230 s for non-halogenised, 250 s for non-metallised and 266 s for metallised compositions;

> > 5. Any other gun propellants not listed in ML8. having a force constant of more than 1,200 kJ/kg;

> > 6. Any other explosive, propellant or pyrotechnic not listed in ML8. that can sustain a steady-state burning rate of more than 38 mm/s under standard conditions of 6.89 MPa (68.9 bar) pressure and 294 K (21°C); or

> > 7. Elastomer modified cast double based propellants (EMCDB) with extensibility at maximum stress of more than 5% at 233 K (-40°C);

> c. "Military pyrotechnics";

> d. Other substances, as follows:

> > 1. Aircraft fuels specially formulated for military purposes;

[150]

ML8.d.

> > 2. Military materials containing thickeners for hydrocarbon fuels specially formulated for use in flamethrowers or incendiary munitions, such as metal stearates or palmates (also known as octal) (CAS 637-12-7) and M1, M2, M3 thickeners;

> > 3. Liquid oxidisers comprised of or containing inhibited red fuming nitric acid (IRFNA) (CAS 8007-58-7) or oxygen difluoride;

> e. "Additives" and "precursors", as follows:

> > 1. Azidomethylmethyloxetane (AMMO) and its polymers;

> > 2. Basic copper salicylate (CAS 62320-94-9); lead salicylate (CAS 15748-73-9);

> > 3. Bis(2,2-dinitropropyl) formal (CAS 5917-61-3) or
> > Bis(2,2-dinitropropyl) acetal (CAS 5108-69-0);

> > 4. Bis-(2-fluoro-2,2-dinitroethyl) formal (FEFO) (CAS 17003-79-1);

> > 5. Bis-(2-hydroxyethyl) glycolamide (BHEGA) (CAS 17409-41-5);

> > 6. Bis(2-methyl aziridinyl) methylamino phosphine oxide (Methyl BAPO) (CAS 85068-72-0);

> > 7. Bisazidomethyloxetane and its polymers (CAS 17607-20-4);

> > 8. Bischloromethyloxetane (BCMO) (CAS 142173-26-0);

> > 9. Butadienenitrileoxide (BNO);

> > 10. Butanetrioltrinitrate (BTTN) (CAS 6659-60-5);

> > 11. Catocene (CAS 37206-42-1) (2,2-Bis-ethylferrocenyl propane); ferrocene carboxylic acids; N-butyl-ferrocene (CAS 319904-29-7); Butacene (CAS 125856-62-4) and other adducted polymer ferrocene derivatives;

> > 12. Dinitroazetidine-t-butyl salt;

> > 13. Energetic monomers, plasticisers and polymers containing nitro, azido, nitrate, nitraza or difluoroamino groups;

> > 14. Poly-2,2,3,3,4,4-hexafluoropentane-1,5-diol formal (FPF-1);

> > 15. Poly-2,4,4,5,5,6,6-heptafluoro-2-tri-fluoromethyl-3-oxaheptane-

> > 1,7-diol formal (FPF-3);

> > 16. Glycidylazide Polymer (GAP) (CAS 143178-24-9) and its derivatives;

> > 17. Hexabenzylhexaazaisowurtzitane (HBIW) (CAS 124782-15-6);

> > 18. Hydroxyl terminated polybutadiene (HTPB) with a hydroxyl functionality equal to or greater than 2.2 and less than or equal to 2.4, a hydroxyl value of less than 0.77 meq/g, and a viscosity at 30C of less than 47 poise (CAS 69102-90-5);

> > 19. Superfine iron oxide (Fe203 hematite) with a specific surface area more than 250 m2/g and an average particle size of 0.003 m or less (CAS 1309-37-1);

> > 20. Lead beta-resorcylate (CAS 20936-32-7);

> > 21. Lead stannate (CAS 12036-31-6), lead maleate (CAS 19136-34-6), lead citrate (CAS 14450-60-3);

> > 22. Lead-copper chelates of beta-resorcylate or salicylates (CAS 68411-07-4);

> > 23. Nitratomethylmethyloxetane or poly (3-Nitratomethyl, 3-methyl oxetane); (Poly-NIMMO) (NMMO) (CAS 84051-81-0);

> > 24. 3-Nitraza-1,5-pentane diisocyanate (CAS 7406-61-9);

> > 25. N-Methyl-p-Nitroaniline (CAS 100-15-2);

> > 26. Organo-metallic coupling agents, specifically:

[151]

ML 8.e.26.

> > > a. Neopentyl [diallyl] oxy, tri [dioctyl] phosphato titanate (CAS 103850-22-2); also known as titanium IV, 2,2[bis 2-propenolato-methyl, butanolato, tris (dioctyl) phosphato] (CAS 110438-25-0); or LICA 12 (CAS 103850-22-2);

> > > b. Titanium IV, [(2-propenolato-1) methyl, n-propanolatomethyl] butanolato-1, tris[dioctyl]pyrophosphate; or KR3538;

> > > c. Titanium IV, [(2-propenolato-1)methyl, n-propanolatomethyl] butanolato-1, tris(dioctyl)phosphate;

> > 27. Polycyanodifluoroaminoethyleneoxide (PCDE);

> > 28. Polyfunctional aziridine amides with isophthalic, trimesic (BITA or butylene imine trimesamide), isocyanuric or trimethyladipic backbone structures and 2-methyl or 2-ethyl substitutions on the aziridine ring;

> > 29. Polyglycidylnitrate or poly (nitratomethyl oxirane); (Poly-GLYN) (PGN) (CAS 27814-48-8);

> > 30. Polynitroorthocarbonates;

> > 31. Propyleneimine, 2-methylaziridine (CAS 75-55-8);

> > 32. Tetraacetyldibenzylhexaazaisowurtzitane (TAIW);

> > 33. Tetraethylenepentaamineacrylonitrile (TEPAN) (CAS 68412-45-3); cyanoethylated polyamine and its salts;

> > 34. Tetraethylenepentaamineacrylonitrileglycidol (TEPANOL) (CAS 68412-46-4); cyanoethylated polyamine adducted with glycidol and its salts;

> > 35. Triphenyl bismuth (TPB) (CAS 603-33-8);

> > 36. Tris-1-(2-methyl)aziridinyl phosphine oxide (MAPO) (CAS 57-39-6); bis(2-methyl aziridinyl) 2-(2-hydroxypropanoxy) propylamino phosphine oxide (BOBBA 8); and other MAPO derivatives;

> > 37. 1,2,3-Tris[1,2-bis(difluoroamino)ethoxy] propane (CAS 53159-39-0); tris vinoxy propane adduct (TVOPA);

> > 38. 1,3,5-trichlorobenzene (CAS 108-70-3);

> > 39. 1,2,4 trihydroxybutane (1,2,4-butanetriol);

> > 40. 1,3,5,7 tetraacetyl-1,3,5,7,-tetraaza cyclo-octane (TAT) (CAS 41378-98-7);

> > 41. 1,4,5,8 Tetraazadecalin (CAS 5409-42-7);

> > 42. Low (less than 10,000) molecular weight, alcohol-functionalised, poly(epichlorohydrin); poly(epichlorohydrindiol) and triol.

Note 1 The military explosives and fuels containing the metals or alloys listed in ML8.a.1. and ML8.a.2. are controlled whether or not the metals or alloys are encapsulated in aluminium, magnesium, zirconium or beryllium. See also entry 1.C.11. on Dual-Use List.

Note 2 ML 8. does not control boron and boron carbide enriched with boron-10 (20% or more of total boron-10 content).

Note 3 Aircraft fuels controlled by ML 8.d.1. are finished products not their constituents.

Note 4 ML 8. does not control perforators specially designed for oil well logging.

Note 5 ML 8. does not control the following substances when not compounded or mixed with military explosives or powdered metals:

[152]

Note 5 ML 8.

> a. Ammonium picrate;

> b. Black powder;

> c. Hexanitrodiphenylamine;

> d. Difluoroamine (HNF2);

> e. Nitrostarch;

> f. Potassium nitrate;

> g. Tetranitronaphthalene;

> h. Trinitroanisol;

> i. Trinitronaphthalene;

> j. Trinitroxylene;

> k. Fuming nitric acid non-inhibited and not enriched;

> l. Acetylene;

> m Propane;

> n. Liquid oxygen;

> o. Hydrogen peroxide in concentrations of less than 85%;

> p. Misch metal;

> q N-pyrrolidinone; 1-methyl-2-pyrrolidinone;

> r. Dioctylmaleate;

> s. Ethylhexylacrylate;

> t. Triethylaluminium (TEA), trimethylaluminium (TMA), and other pyrophoric metal alkyls and aryls of lithium, sodium, magnesium, zinc and boron;

> u. Nitrocellulose;

> v. Nitroglycerin (or glyceroltrinitrate, trinitroglycerine) (NG);

> w. 2,4,6-trinitrotoluene (TNT);

> x. Ethylenediaminedinitrate (EDDN);

> y. Pentaerythritoltetranitrate (PETN);

> aa. Lead azide, normal and basic lead styphnate, and primary explosives or priming compositions containing azides or azide complexes;

> bb. Triethyleneglycoldinitrate (TEGDN);

> cc. 2,4,6-trinitroresorcinol (styphnic acid);

> dd. Diethyldiphenyl urea; dimethylidiphenyl urea;

> methylethyldiphenyl urea [Centralites];

> ee. N,N-diphenylurea (unsymmetrical diphenylurea);

> ff. Methyl-N,N-diphenylurea (methyl unsymmetrical diphenylurea);

> gg. Ethyl-N,N-diphenylurea (ethyl unsymmetrical diphenylurea);

> hh. 2-Nitrodiphenylamine (2-NDPA);

> ii. 4-Nitrodiphenylamine (4-NDPA);

> jj. 2,2-dinitropropanol;

> kk. Chlorine trifluoride.

[153]

ML9. Vessels of war, special naval equipment and accessories, as follows, and components therefor, specially designed for military use:

> a. Combatant vessels and vessels (surface or underwater) specially designed or modified for offensive or defensive action, whether or not converted to non-military use, regardless of current state of repair or operating condition, and whether or not they contain weapon delivery systems or armour, and hulls or parts of hulls for such vessels;

> b. Engines, as follows:

> > 1. Diesel engines specially designed for submarines with both of the following characteristics:

> > > a. A power output of 1.12 MW (1,500 hp.) or more; and

> > > b. A rotary speed of 700 rpm or more;

> > 2. Electric motors specially designed for submarines having all of the following characteristics:

> > > a. A power output of more than 0.75 MW (1,000 hp.);

> > > b. Quick reversing;

> > > c. Liquid cooled; and

> > > d. Totally enclosed;

> > 3. Non-magnetic diesel engines specially designed for military use with a power output of 37.3 kW (50 hp.) or more and with a non-magnetic content in excess of 75% of total mass;

> c. Underwater detection devices specially designed for military use and controls thereof;

> d. Submarine and torpedo nets;

> e. Equipment for guidance and navigation specially designed for military use;

> f. Hull penetrators and connectors specially designed for military use that enable interaction with equipment external to a vessel;

> > Note ML9.f. includes connectors for vessels which are of the single-conductor, multi-conductor, coaxial or waveguide type, and hull penetrators for vessels, both of which are capable of remaining impervious to leakage from without and of retaining required characteristics at marine depths exceeding 100 m; and fibre-optic connectors and optical hull penetrators specially designed for "laser" beam transmission regardless of depth. It does not include ordinary propulsive shaft and hydrodynamic control-rod hull penetrators.

> g. Silent bearings, with gas or magnetic suspension, active signature or vibration suppression controls, and equipment containing those bearings, specially designed for military use.

[154]

ML10. "Aircraft", unmanned airborne vehicles, aero-engines and "aircraft" equipment, related equipment and components, specially designed or modified for military use, as follows:

> a. Combat "aircraft" and specially designed components therefor;

> b. Other "aircraft" specially designed or modified for military use, including military reconnaissance, assault, military training, transporting and airdropping troops or military equipment, logistics support, and specially designed components therefor;

> c. Aero-engines specially designed or modified for military use, and specially designed components therefor;

> d. Unmanned airborne vehicles, including remotely piloted air vehicles (RPVs), and autonomous, programmable vehicles specially designed or modified for military use and their launchers, ground support and related equipment for command and control;

> e. Airborne equipment, including airborne refuelling equipment, specially designed for use with the "aircraft" controlled by ML10.a. or ML10.b. or the aero-engines controlled by ML10.c., and specially designed components therefor;

> f. Pressure refuellers, pressure refuelling equipment, equipment specially designed to facilitate operations in confined areas and ground equipment, developed specially for "aircraft" controlled by ML10.a. or ML10.b., or for aero-engines controlled by ML10.c.;

> g. Pressurised breathing equipment and partial pressure suits for use in "aircraft", anti-g suits, military crash helmets and protective masks, liquid oxygen converters used for "aircraft" or missiles, and catapults and cartridge actuated devices for emergency escape of personnel from "aircraft";

> h. Parachutes used for combat personnel, cargo dropping or "aircraft" deceleration, as follows:

> > 1. Parachutes for:

> > > a. Pin point dropping of rangers;

> > > b. Dropping of paratroopers;

> > 2. Cargo parachutes;

> > 3. Paragliders, drag parachutes, drogue parachutes for stabilisation and attitude control of dropping bodies, (e.g. recovery capsules, ejection seats, bombs);

> > 4. Drogue parachutes for use with ejection seat systems for deployment and inflation sequence regulation of emergency parachutes;

> > 5. Recovery parachutes for guided missiles, drones or space vehicles;

> > 6. Approach parachutes and landing deceleration parachutes;

> > 7. Other military parachutes;

[155]

ML10.

> i. Automatic piloting systems for parachuted loads; equipment specially designed or modified for military use for controlled opening jumps at any height, including oxygen equipment.

Note 1 ML10.b. does not control "aircraft" or variants of those "aircraft" specially designed for military use which:

> a. Are not configured for military use and are not fitted with equipment or attachments specially designed or modified for military use; and

> b. Have been certified for civil use by the civil aviation authority in a participating state.

Note 2 ML10.c. does not control:

> a. Aero-engines designed or modified for military use which have been certified by civil aviation authorities in a participating state* for use in "civil aircraft", or specially designed components therefor;

> b. Reciprocating engines or specially designed components therefor.

Note 3 The control in ML10.b. and ML10.c. on specially designed components and related equipment for non-military "aircraft" or aero-engines modified for military use applies only to those military components and to military related equipment required for the modification to military use.

[156]

ML11. Electronic equipment, not controlled elsewhere on the Munitions List, specially designed for military use and specially designed components therefor.

Note ML11. includes:

> a. Electronic countermeasure and electronic counter-countermeasure equipment (i.e., equipment designed to introduce extraneous or erroneous signals into radar or radio communication receivers or otherwise hinder the reception, operation or effectiveness of adversary electronic receivers including their countermeasure equipment), including jamming and counter-jamming equipment;

> b. Frequency agile tubes;

> c. Electronic systems or equipment designed either for surveillance and monitoring of the electro-magnetic spectrum for military intelligence or security purposes or for counteracting such surveillance and monitoring;

> d. Underwater countermeasures, including acoustic and magnetic jamming and decoy, equipment designed to introduce extraneous or erroneous signals into sonar receivers;

> e. Data processing security equipment, data security equipment and transmission and signalling line security equipment, using ciphering processes;

> f. Identification, authentification and keyloader equipment and key management, manufacturing and distribution equipment.

[157]

ML12. High velocity kinetic energy weapon systems and related equipment, as follows, and specially designed components therefor:

> a. Kinetic energy weapon systems specially designed for destruction or effecting mission-abort of a target;

> b. Specially designed test and evaluation facilities and test models, including diagnostic instrumentation and targets, for dynamic testing of kinetic energy projectiles and systems.

N.B. For weapon systems using sub-calibre ammunition or employing solely chemical propulsion, and ammunition therefor, see ML1.to ML4.

Note 1 ML12. includes the following when specially designed for kinetic energy weapon systems:

> a. Launch propulsion systems capable of accelerating masses larger than 0.1 g to velocities in excess of 1.6 km/s, in single or rapid fire modes;

> b. Prime power generation, electric armour, energy storage, thermal management, conditioning, switching or fuel-handling equipment; and electrical interfaces between power supply, gun and other turret electric drive functions;

> c. Target acquisition, tracking, fire control or damage assessment systems;

> d. Homing seeker, guidance or divert propulsion (lateral acceleration) systems for projectiles.

Note 2 ML12. controls weapon systems using any of the following methods of propulsion:

> a. Electromagnetic;

> b. Electrothermal;

> c. Plasma;

> d. Light gas; or

> e. Chemical (when used in combination with any of the above).

Note 3 ML12. does not control "technology" for magnetic induction for continuous propulsion of civil transport devices.

[158]

ML13. Armoured or protective equipment and constructions and components, as follows:

> a. Armoured plate as follows:

> > 1. Manufactured to comply with a military standard or specification; or

> > 2. Suitable for military use;

> b. Constructions of metallic or non-metallic materials or combinations thereof specially designed to provide ballistic protection for military systems;

> c. Military helmets;

> d. Body armour and flak suits manufactured according to military standards or specifications, or equivalent, and specially designed components therefor.

Note 1 ML 13.b. includes materials specially designed to form explosive reactive armour or to construct military shelters.

Note 2 ML 13.c. does not control conventional steel helmets, neither modified or designed to accept, nor equipped with, any type of accessory device.

Note 3 ML 13.d. does not control individual suits of body armour for personal protection and accessories therefor when accompanying their users .

N.B. See also entry 1.A.5. on the Dual-Use List.

[159]

ML14. Specialised equipment for military training or for simulating military scenarios and specially designed components and accessories therefor.

> Technical Note

> The term 'specialised equipment for military training' includes military types of attack trainers, operational flight trainers, radar target trainers, radar target generators, gunnery training devices, anti-submarine warfare trainers, flight simulators (including human-rated centrifuges for pilot/astronaut training), radar trainers, instrument flight trainers, navigation trainers, missile launch trainers, target equipment, drone "aircraft", armament trainers, pilotless "aircraft" trainers and mobile training units.

> > Note ML14. includes image generating and interactive environment systems for simulators when specially designed or modified for military use.

[160]

ML15. Imaging or countermeasure equipment, as follows, specially designed for military use, and specially designed components and accessories therefor:

> a. Recorders and image processing equipment;

> b. Cameras, photographic equipment and film processing equipment;

> c. Image intensifier equipment;

> d. Infrared or thermal imaging equipment;

> e. Imaging radar sensor equipment;

> f. Countermeasure or counter-countermeasure equipment for the equipment controlled by sub-items ML15.a. to ML15.e.

> > Note ML 15.f. includes equipment designed to degrade the operation or effectiveness of military imaging systems or to minimize such degrading effects.

Note 1 The term 'specially designed components' includes the following when specially designed for military use:

> a. Infrared image converter tubes;

> b. Image intensifier tubes (other than first generation);

> c. Microchannel plates;

> d. Low-light-level television camera tubes;

> e. Detector arrays (including electronic interconnection or read out systems);

> f. Pyroelectric television camera tubes;

> g. Cooling systems for imaging systems;

> h. Electrically triggered shutters of the photochromic or electro-optical type having a shutter speed of less than 100 µs, except in the case of shutters which are an essential part of a high speed camera;

> i. Fibre optic image inverters;

> j. Compound semiconductor photocathodes.

Note 2 ML 15 does not control "first generation image intensifier tubes".

N.B. See also entries 6.A.2.a.2. and 6.A.2.b. on the Dual-Use List.

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ML16. Forgings, castings and other unfinished products the use of which in a controlled product is identifiable by material composition, geometry or function, and which are specially designed for any products controlled by ML1. to ML4., ML6., ML9., ML10., ML 12. or ML19.

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ML17. Miscellaneous equipment, materials and libraries, as follows, and specially designed components therefor:

> a. Self-contained diving and underwater swimming apparatus, as follows:

> > 1. Closed or semi-closed circuit (rebreathing) apparatus specially designed for military use (i.e. specially designed to be non magnetic);

> > 2. Specially designed components for use in the conversion of open-circuit apparatus to military use;

> > 3. Articles designed exclusively for military use with self-contained diving and underwater swimming apparatus;

> b. Construction equipment specially designed for military use;

> c. Fittings, coatings and treatments for signature suppression, specially designed for military use;

> d. Field engineer equipment specially designed for use in a combat zone;

> e. "Robots", "robot" controllers and "robot" "end-effectors", having any of the following characteristics:

> > 1. Specially designed for military use;

> > 2. Incorporating means of protecting hydraulic lines against externally induced punctures caused by ballistic fragments (e.g., incorporating self-sealing lines) and designed to use hydraulic fluids with flash points higher than 839 K (566°C); or

> > 3. Specially designed or rated for operating in an electro-magnetic pulse (EMP) environment;

> f. Libraries (parametric technical databases) specially designed for military use with equipment controlled by the Munitions List;

> g. Nuclear power generating equipment or propulsion equipment, including "nuclear reactors", specially designed for military use and components therefor specially designed or modified for military use;

> h. Equipment and material, coated or treated for signature suppression, specially designed for military use, other than those controlled elsewhere in the Munitions List;

> i. Simulators specially designed for military "nuclear reactors";

> j. Mobile repair shops specially designed to service military equipment;

> k. Field generators specially designed for military use; and

> l. Containers specially designed for military use.

[163]

ML 17.

> Technical Note

> For the purpose of ML17., the term 'library' (parametric technical database) means a collection of technical information of a military nature, reference to which may enhance the performance of military equipment or systems.

[164]

ML18. Equipment and "technology" for the production of products referred to in the Munitions List, as follows:

> a. Specially designed or modified production equipment for the production of products controlled by the Munitions List, and specially designed components therefor;

> b. Specially designed environmental test facilities and specially designed equipment therefor, for the certification, qualification or testing of products controlled by the Munitions List;

> c. Specific production "technology", even if the equipment with which such "technology" is to be used is not controlled;

> d. "Technology" specific to the design of, the assembly of components into, and the operation, maintenance and repair of, complete production installations even if the components themselves are not controlled.

Note 1 ML 18.a. and ML 18.b. include the following equipment:

> a. Continuous nitrators;

> b. Centrifugal testing apparatus or equipment having any of the following characteristics:

> 1. Driven by a motor or motors having a total rated horsepower of more than 298 kW (400 hp);

> 2. Capable of carrying a payload of 113 kg or more; or

> 3. Capable of exerting a centrifugal acceleration of 8 g or more on a payload of 91 kg or more;

> c. Dehydration presses;

> d. Screw extruders specially designed or modified for military explosive extrusion;

> e. Cutting machines for the sizing of extruded propellants;

> f. Sweetie barrels (tumblers) 1.85 m or more in diameter and having over 227 kg product capacity;

> g. Continuous mixers for solid propellants;

> h. Fluid energy mills for grinding or milling the ingredients of military explosives;

> i. Equipment to achieve both sphericity and uniform particle size in metal powder listed in ML 8.a.1.;

> j. Convection current converters for the conversion of materials listed in ML 8.a.6.

> Technical Note

> For the purposes of ML 18., the term 'production' includes design, examination, manufacture, testing and checking.

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ML 18.

Note 2

> a. The term 'products referred to in the Munitions List' includes:

> > 1. Products not controlled if inferior to specified concentrations as follows:

> > > a. hydrazine (see ML 8.a.18.);

> > > b. "Military explosives" (see ML8.);

> > 2. Products not controlled if inferior to technical limits, (i.e., "superconductive" materials not controlled by item 1.C.5.; "superconductive" electromagnets not controlled by item 3A001.e.3; "superconductive" electrical equipment excluded from control under ML20.b.);

> > 3. Metal fuels and oxidants deposited in laminar form from the vapour phase (see ML8.a.2.);

> b. The term 'products referred to in the Munitions List' does not include:

> > 1. Signal pistols (see ML2.b.);

> > 2. The substances excluded from control under Note 3 to ML7.;

> > 3. Personal radiation monitoring dosimeters (see ML7.f.) and masks for protection against specific industrial hazards, see also Parts 2 and 3 of Defence and Strategic Goods List;

> > 4. Acetylene, propane, liquid oxygen, difluoramine (HNF2), fuming nitric acid and potassium nitrate powder (see Note 5 to ML 8.);

> > 5. Aero-engines excluded from control under ML10.;

> > 6. Conventional steel helmets not equipped with, or modified or designed to accept, any type of accessory device (see Note 2 to ML 13.);

> > 7. Equipment fitted with industrial machinery, which is not controlled such as coating machinery not elsewhere specified and equipment for the casting of plastics;

> > 8. Muskets, rifles and carbines dated earlier than 1938, reproductions of muskets, rifles and carbines dated earlier than 1890, revolvers, pistols and machine guns dated earlier than 1890, and their reproductions;

> > > (Note 2.b.8. of ML18. does not allow the export of "technology" or equipment capable of producing non-antique small arms, even if used to produce reproductions of antique small arms).

Note 3 ML 18.d. does not control "technology" for civil purposes, such as agricultural, pharmaceutical, medical, veterinary, environmental, waste management, or in the food industry (see Note 5 to ML 7.).

[166]

ML19. Directed energy weapon systems (DEW), related or countermeasure equipment and test models, as follows, and specially designed components therefor:

> a. "Laser" systems specially designed for destruction or effecting mission-abort of a target;

> b. Particle beam systems capable of destruction or effecting mission-abort of a target;

> c. High power radio-frequency (RF) systems capable of destruction or effecting mission-abort of a target;

> d. Equipment specially designed for the detection or identification of, or defence against, systems controlled by ML19.a. to ML19.c.;

> e. Physical test models and related test results for the systems, equipment and components controlled by this Item.

Note 1 Directed energy weapon systems controlled by ML19 include systems whose capability is derived from the controlled application of:

> a. "Lasers" of sufficient continuous wave or pulsed power to effect destruction similar to the manner of conventional ammunition;

> b. Particle accelerators which project a charged or neutral particle beam with destructive power;

> c. High pulsed power or high average power radio frequency beam transmitters which produce fields sufficiently intense to disable electronic circuitry at a distant target.

Note 2 ML19. includes the following when specially designed for directed energy weapon systems:

> a. Prime power generation, energy storage, switching, power conditioning or fuel-handling equipment;

> b. Target acquisition or tracking systems;

> c. Systems capable of assessing target damage, destruction or mission-abort;

> d. Beam-handling, propagation or pointing equipment;

> e. Equipment with rapid beam slew capability for rapid multiple target operations;

> f. Adaptive optics and phase conjugators;

> g. Current injectors for negative hydrogen ion beams;

> h. "Space qualified" accelerator components;

> i. Negative ion beam funnelling equipment;

> j. Equipment for controlling and slewing a high energy ion beam;

> k. "Space qualified" foils for neutralising negative hydrogen isotope beams.

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ML20. Cryogenic and "superconductive" equipment, as follows, and specially designed components and accessories therefor:

> a. Equipment specially designed or configured to be installed in a vehicle for military ground, marine, airborne or space applications, capable of operating while in motion and of producing or maintaining temperatures below 103 K (- 170°C);

> > Note ML20.a. includes mobile systems incorporating or employing accessories or components manufactured from non-metallic or non-electrical conductive materials, such as plastics or epoxy-impregnated materials.

> b. "Superconductive" electrical equipment (rotating machinery and transformers) specially designed or configured to be installed in a vehicle for military ground, marine, airborne or space applications, capable of operating while in motion.

> > Note ML20.b. does not control direct-current hybrid homopolar generators that have single-pole normal metal armatures which rotate in a magnetic field produced by superconducting windings, provided those windings are the only superconducting component in the generator.

[168]

ML21. "Software", as follows:

> a. "Software" specially designed or modified for the "development", "production" or "use" of equipment or materials controlled by the Munitions List;

> b. Specific "software", as follows:

> > 1. "Software" specially designed for:

> > > a. Modelling, simulation or evaluation of military weapon systems;

> > > b. "Development", monitoring, maintenance or up-dating of "software" embedded in military weapon systems;

> > > c. Modelling or simulating military operation scenarios, not controlled by ML14.;

> > > d. Command, Communications, Control and Intelligence (C3I) applications;

> > 2. "Software" for determining the effects of conventional, nuclear, chemical or biological warfare weapons.

[169]

ML22. "Technology" according to the General Technology Note (Munitions List) for the "development", "production" or "use" of items controlled in the Munitions List, other than that "technology" controlled in ML7. and ML18.

[170]

## DEFINITIONS OF TERMS USED IN THESE LISTS

This document contains the definitions of the terms used in these Lists, in alphabetical order.

Note Definitions apply throughout the Lists and their Annexes. The references are purely advisory and have no effect on the universal application of defined terms throughout these Lists and their Annexes.

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Category references are given in brackets after the defined term.

"Accuracy" (2, 6)

> (Usually measured in terms of inaccuracy) is the maximum deviation, positive or negative, of an indicated value from an accepted standard or true value (usually measured in terms of inaccuracy).

"Active flight control systems" (7)

> Function to prevent undesirable "aircraft" and missile motions or structural loads by autonomously processing outputs from multiple sensors and then providing necessary preventive commands to effect automatic control.

"Active pixel" (6, 8)

> 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, ML7)

> 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)

> A control system that adjusts the response from conditions detected during the operation (ref. ISO 2806-1980).

"Additives" (ML8)

> Substances used in explosive formulations to improve their properties.

"Aircraft" (1, 7, 9, ML8, ML9, ML10)

> A fixed wing, swivel wing, rotary wing (helicopter), tilt rotor or tilt-wing airborne vehicle.

"Angular position deviation" (2)

> 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').

"Asynchronous transfer mode" ("ATM") (5)

> A transfer mode in which the information is organised into cells; it is asynchronous in the sense that the recurrence of cells depends on the required or instantaneous bit rate (CCITT recommendation L.113).

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"ATM"

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

"Automatic target tracking" (6)

> A processing technique that automatically determines and provides as output an extrapolated value of the most probable position of the target in real time.

"Basic gate propagation delay time" (3)

> The propagation delay time value corresponding to the basic gate used within a "family" of "monolithic integrated circuits". This may be specified, for a given "family", either as the propagation delay time per typical gate or as the typical propagation delay time per gate.

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

"Basic scientific research" (GTN)

> Experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena or observable facts, not primarily directed towards a specific practical aim or objective.

"Bias" (accelerometer) (7)

> An accelerometer output when no acceleration is applied.

"Biocatalysts" (ML7)

> Enzymes or other biological compounds which bind to and accelerate the degradation of CW agents.

> N.B. 'Enzymes' means "biocatalysts" for specific chemical or biochemical reactions.

"Biopolymers" (ML7)

> Biological macromolecules as follows:

> > a. Enzymes;

> > b. Antibodies, monclonal, polyclonal or anti-idiotypic;

> > c. Specially designed or specially processed receptors;

> > N.B.1 'Enzymes' means "biocatalysts" for specific chemical or biochemical reactions;

> > N.B.2 'Anti-idiotypic antibodies' means antibodies whcih bind to the specific antigen binding sites of other anitbodies;

> > N.B.3 'Monoclonal antibodies' means proteins which bind to one antigenic site and are produced by a single clone of cells;

> > N.B.4 'Polyclonal antibodies' means a mixture of proteins which bind to the specific antigen and are produced by more than one clone of cells;

> > N.B.5 'Receptors' means biological macromolecular structures capable of binding ligands, the binding of which affects physiological functions.

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"Camming" (axial displacement) (2)

> Axial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle faceplate, at a point next to the circumference of the spindle faceplate (ref. ISO 230/1 1986, paragraph 5.63).

"CE"

> "CE" is equivalent to "computing element".

"Chemical Laser" (6)

> A "laser" in which the excited species is produced by the output energy from a chemical reaction.

"Circuit element"

> A "laser" in which the excited species is produced by the output energy from a chemical reaction.

"Circulation-controlled anti-torque or circulation controlled direction control systems" (7)

> Use air blown over aerodynamic surfaces to increase or control the forces generated by the surfaces.

"Civil aircraft" (1, 7, 9, ML10)

> 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.

"Commingled" (1)

> 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)

> A process to reduce a material to particles by crushing or grinding.

"Common channel signalling" (5)

> 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.

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"Communications channel controller" (5)

> The physical interface which controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.

"Composite" (1, 2, 6, 8, 9)

> A "matrix" and an additional phase or additional phases consisting of particles, whiskers, fibres or any combination thereof, present for a specific purpose or purposes.

"Composite theoretical performance" ("CTP") (3, 4)

> A measure of computational performance given in millions of theoretical operations per second (Mtops), calculated using the aggregation of "computing elements" ("CE").

> N.B. See Category 4, Technical Note.

"Compound rotary table" (2)

> 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)

> The smallest computational unit that produces an arithmetic or logic result.

"Contouring control" (2)

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

"Critical temperature" (1, 3, 6)

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

"Cryptography" (5)

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

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

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"CTP"

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

"Data signalling rate" (5)

> The rate, as defined in ITU Recommendation 53-36, taking into account that, for non-binary modulation, baud and bit per second are not equal. Bits for coding, checking and synchronisation functions are to be included.

> N.B. 1 When determining the "data signalling rate", servicing and administrative channels shall be excluded.

> N.B. 2 It is the maximum one-way rate, i.e., the maximum rate in either transmission or reception.

"Deformable mirrors" (6)

> Mirrors:

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

> > b. Having 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.

> > "Deformable mirrors" are also known as adaptive optic mirrors.

"Development" (GTN, Both Lists)

> 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)

> 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)

> Equipment which can, in the form of one or more discrete variables, perform all of the following:

> > a. Accept data;

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

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

> > d. Provide output of data.

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

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"Digital transfer rate" (5)

> The total bit rate of the information that is directly transferred on any type of medium. (See also "toal digital trasnfer rate").

"Direct-acting hydraulic pressing" (2)

> A deformation process which uses a fluid-filled flexible bladder in direct contact with the workpiece.

"Discrete component"

> A separately packaged "circuit element" with its own external connections.

Drift rate" (gyro) (7)

> 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)

> Automatic rerouting of traffic based on sensing and analysis of current actual network conditions.

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

"Dynamic signal analysers" (3)

> "Signal analysers" which use digital sampling and transformation techniques to form a Fourier spectrum display of the given waveform including amplitude and phase information.

"Effective gram" (1)

> "Effective gram" for plutonium isotopes and uranium-233, the isotope weight in grams.

"Electronically steerable phased array antenna" (5, 6)

> An antenna which forms a beam by means of phase coupling, i.e., the beam direction is controlled by the complex excitation coefficients of the radiating elements and the direction of that beam can be varied in azimuth or in elevation, or both, by application, both in transmission and reception, of an electrical signal.

"Electronic assembly" (3, 4, 5)

> 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.

[177]

"End-effectors" (2, ML17)

> "End-effectors" include grippers, 'active tooling units' and any other tooling that is attached to the baseplate on the end of a "robot" manipulator arm.

> Technical Note

> 'Active tooling unit': a device for applying motive power, process energy or sensing to the workpiece.

"Equivalent Density" (6)

> The mass of an optic per unit optical area projected onto the optical surface.

"Expert systems" (4, 7)

> Systems providing results by application of rules to data which are stored independently of the "programme" and capable of any of the following:

> > a. Modifying automatically the "source code" introduced by the user;

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

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

"Expression Vectors" (ML7)

> Carriers (e.g., lasmid or virus) used to introduce genetic material into host cells.

"FADEC" (7, 9)

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

"Family" (3)

> A group of microprocessor or microcomputer microcircuits with:

> > a. The same architecture;

> > b. The same basic instruction set; and

> > c. The same basic technology (e.g., only NMOS or only CMOS).

"Fault tolerance" (4)

> 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.

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"Fibrous or filamentary materials" (1, 8)

> Include:

> > a. Continuous "monofilaments";

> > b. Continuous "yarns" and "rovings";

> > c. "Tapes", fabrics, random mats and braids;

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

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

> > f. Aromatic polyamide pulp.

"Film type integrated circuit" (3)

> An array of 'circuit elements' and metallic interconnections formed by deposition of a thick or thin film on an insulating "substrate".

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

"First generation image intensifier tubes" (ML15)

> Electrostacically focused tubes, employing input and output fibre optic or glass face plates, multi-alkali photocathodes (S-20 or S-25), but not microchannel plate amplifiers.

"Fixed" (5)

> The coding or compression algorithm cannot accept externally supplied parameters (e.g., cryptographic or key variables) and cannot be modified by the user.

"Flight control optical sensor array" (7)

> A network of distributed optical sensors, using "laser" beams, to provide real-time flight control data for on-board processing.

"Flight path optimization" (7)

> A procedure that minimizes deviations from a four-dimensional (space and time) desired trajectory based on maximizing performance or effectiveness for mission tasks.

"Focal plane array" (6)

> A linear or two-dimensional planar layer, or combination of planar layers, of individual detector elements, with or without readout electronics, which work in the focal plane.

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

"Frequency agility" (frequency hopping) (5)

> A form of "spread spectrum" in which the transmission frequency of a single communication channel is made to change by discrete steps.

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"Frequency switching time" (3 5)

> The maximum time (i.e., delay), taken by a signal, when switched from one selected output frequency to another selected output frequency, to reach:

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

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

"Frequency synthesiser" (3)

> 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.

"Gas Atomisation" (1)

> A process to reduce a molten stream of metal alloy to droplets of 500 micrometre diameter or less by a high pressure gas stream.

"Gateway" (5)

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

"Geographically dispersed" (6)

> Sensors are considered "geographically dispersed" when each location is distant from any other more than 1,500 m in any direction. Mobile sensors are always considered "geographically dispersed".

"Global interrupt latency time" (4)

> The time taken by the computer system to recognize an interrupt due to the event, service the interrupt and perform a context switch to an alternate memory-resident task waiting on the interrupt.

"Hot isostatic densification" (2)

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

"Hybrid computer" (4)

> Equipment which can perform all of the following:

> > a. Accept data;

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

> > c. Provide output of data.

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"Hybrid integrated circuit" (3)

> Any combination of integrated circuit(s), or integrated circuit with 'circuit elements' or 'discrete components' connected together to perform (a) specific function(s), and having all of the following characteristics:

> > a. Containing at least one unencapsulated device;

> > b. Connected together using typical IC production methods;

> > c. Replaceable as an entity; and

> > d. Not normally capable of being disassembled.

"Image enhancement" (4)

> 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.

"Information security" (5)

> 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)

> The bandwidth over which output power remains constant within 3 dB without adjustment of other operating parameters.

"Instrumented range" (6)

> The specified unambiguous display range of a radar.

"Integrated Services Digital Network" (ISDN) (5)

> A unified end-to-end digital network, in which data originating from all types of communication (e.g., voice, text, data, still and moving pictures) are transmitted from one port (terminal) in the exchange (switch) over one access line to and from the subscriber.

"Interconnected radar sensors" (6)

> Two or more radar sensors are interconnected when they mutually exchange data in real time.

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"In the public domain" (GTN, GSN)

> This means "technology" or "software" which has been made available without restrictions upon its further dissemination.

> N.B. Copyright restrictions do not remove "technology" or "software" from being "in the public domain".

"Intrinsic Magnetic Gradiometer" (6)

> A single magnetic field gradient sensing element and associated electronics the output of which is a measure of magnetic field gradient.

"ISDN" (5)

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

"Isostatic presses" (2)

> 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" (2, 3, 5, 6, 9, ML5, ML9, ML23)

> An assembly of components which produce both spatially and temporally coherent light that is amplified by stimulated emission of radiation.

"Linearity" (2)

> (Usually measured in terms of non-linearity) is 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)

> A data communication system having all of the following characteristics:

> > a. Allows an arbitrary number of independent 'data devices' to communicate directly with each other; and

> > b. Is confined to a geographical area of moderate size (e.g., office building, plant, campus, warehouse).

> > Technical Note

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

"Magnetic Gradiometers" (6)

> Are designed to detect the spatial variation of magnetic fields from sources external to the instrument. They consist of multiple "magnetometers" and associated electronics the output of which is a measure of magnetic field gradient. (See also "Intrinsic Magnetic Gradiometer".)

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"Magnetometers" (6)

> 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)

> 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.

"Matrix" (1, 2, 8, 9)

> A substantially continuous phase that fills the space between particles, whiskers or fibres.

"Measurement uncertainty" (2)

> 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)

> An alloying process resulting from the bonding, fracturing and rebonding of elemental and master alloy powders by mechanical impact. Non-metallic particles may be incorporated in the alloy by addition of the appropriate powders.

"Media access unit" (5)

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

"Melt Extraction" (1)

> 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.

"Melt Spinning" (1)

> A process to 'solidify rapidly' a molten metal stream impinging upon a rotating chilled block, forming a flake, ribbon or rod-like product.

[183]

"Microcomputer microcircuit" (3)

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

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

"Microprocessor microcircuit" (3)

> A "monolithic integrated circuit" or "multichip integrated circuit" containing an arithmetic logic unit (ALU) capable of executing a series of general purpose instructions from an external storage.

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

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

"Microprogramme"

> A sequence of elementary instructions maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction register.

"Military explosives" (ML8)

> Solid, liquid or gaseous substances or mixtures which, in their application as primary, booster, or main charges in warheads, demolition and other military applications, are required to detonate.

"Military pyrotechnics" (ML4, ML8)

> Mixtures of solid or liquid fuels and oxidizers which, when ignited, undergo an energetic chemical reaction at a controlled rate intended to produce specific time delays, or quantities of heat, noise, smoke, visible light or infrared radiation. Pyrophories are a subclass of pyrotechnics, which contain no oxidizers but ignite spontaneously on contact with air

"Monolithic integrated circuit" (3)

> A combination of passive or active 'circuit elements' or both which:

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

> > b. Can be considered as indivisibly associated; and

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

"Monospectral imaging sensors" (6)

> Are capable of acquisition of imaging data from one discrete spectral band.

[184]

"Multichip integrated circuit" (3)

> Two or more "monolithic integrated circuits" bonded to a common "substrate".

"Multi-data-stream processing" (4)

> The "microprogramme" or equipment architecture technique which permits simultaneous processing of two or more data sequences under the control of one or more instruction sequences by means such as:

> > a. Single Instruction Multiple Data (SIMD) architectures such as vector or array processors;

> > b. Multiple Single Instruction Multiple Data (MSIMD) architectures;

> > c. Multiple Instruction Multiple Data (MIMD) architectures, including those which are tightly coupled, closely coupled or loosely coupled; or

> > d. Structured arrays of processing elements, including systolic arrays.

"Multilevel security" (5)

> A class of system containing information with different sensitivities that simultaneously permits access by users with different security clearances and needs-to-know, but prevents users from obtaining access to information for which they lack authorization.

> N.B. "Multilevel security" is computer security and not computer reliability which deals with equipment fault prevention or human error prevention in general.

"Multispectral imaging sensors" (6)

> Are capable of simultaneous or serial acquisition of imaging data from two or more discrete spectral bands. Sensors having more than twenty discrete spectral bands are sometimes referred to as hyperspectral imaging sensors.

"Network access controller" (4, 5)

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

"Neural computer" (4)

> 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.

[185]

"Noise level" (6)

> An electrical signal given in terms of power spectral density. The relation between "noise level" expressed in peak-to-peak is given by S2 pp = 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" (ML17)

> Includes 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)

> 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" (4, 5, 9)

> 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)

> A computer designed or modified to use light to represent data and whose computational logic elements are based on directly coupled optical devices.

"Optical fibre preforms" (5, 6)

> Bars, ingots, or rods of glass, plastic or other materials which have been specially processed for use in fabricating optical fibres. The characteristics of the preform determine the basic parameters of the resultant drawn optical fibres.

"Optical integrated circuit" (3)

> 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).

[186]

"Optical switching" (5)

> The routing of or switching of signals in optical form without conversion to electrical signals.

"Overall current density" (3)

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

"Peak power" (6)

> Energy per pulse in joules divided by the pulse duration in seconds.

"Personalized smart card" (5)

> A smart card containing a microcircuit, in accordance with ISO/IEC 7816, which has been programmed by the issuer and cannot be changed by the user.

"Power management" (7)

> 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.

"Precursors" (ML8)

> Speciality chemicals used in the manufacture of military expolsives.

"Previously separated" (1)

> The application of any process intended to increase the concentration of the controlled isotope.

"Primary flight control" (7)

> "Aircraft" stability or manoeuvering control using force/moment generators, i.e., aerodynamic control surfaces or propulsive thrust vectoring.

"Principal element" (4)

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

[187]

"Production" (GTN)

> Means all production phases, such as: construction, production engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance.

"Programme" (2, 4, 5, 6)

> A sequence of instructions to carry out a process in, or convertible into, a form executable by an electronic computer.

"Pulse compression" (6)

> 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)

> Duration of a "laser" pulse measured at Full Width Half Intensity (FWHI) levels.

"Q-switched laser" (6)

> 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)

> 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)

> Any modulation technique for spreading energy originating from a signal with a relatively narrow frequency band, over a much wider band of frequencies, by using random or pseudo-random coding.

"Real time bandwidth" (3)

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

"Real time processing" (2, 4, 6, 7)

> The processing of data by a computer system providing a required level of service, as a function of available resources, within a guaranteed response time, regardless of the load of the system, when stimulated by an external event.

[188]

"Required" (5, 6, 9, GTN)

> 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)

> The least increment of a measuring device; on digital instruments, the least significant bit (ref. ANSI B-89.1.12).

"Riot control agents" (ML7)

> Substances which produce temporary irritating or disabling physical effects which disappear within minutes of removal from exposure. Thre is no significant risk of permanent injury and medical treatment is rarely required.

"Robot" (2, 8, ML17)

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;

[189]

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

> > 5. Stacker cranes defined as Cartesian coordinate manipulator systems manufactured as an integral part of a vertical array of storage bins and designed to access the contents of those bins for storage or retrieval.

"Rotary atomisation" (1)

> A process to reduce a stream or pool of molten metal to droplets to a diameter of 500 µm or less by centrifugal force.

"Run out" (out-of-true running) (2)

> Radial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle axis at a point on the external or internal revolving surface to be tested (ref. ISO 230/1-1986, paragraph 5.61).

"Scale factor" (gyro or accelerometer) (7)

> The ratio of change in output to a change in the input intended to be measured. Scale factor is generally evaluated as the slope of the straight line that can be fitted by the method of least squares to input-output data obtained by varying the input cyclically over the input range.

"SDH" (5)

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

"Settling time" (3)

> The time required for the output to come within one-half bit of the final value when switching between any two levels of the converter.

"SHPL" (6)

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

"Signal analysers" (3)

> Apparatus capable of measuring and displaying basic properties of the single-frequency components of multi-frequency signals.

[190]

"Signal processing" (3, 4, 5, 6)

> 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" (Both Lists)

> A collection of one or more "programmes" or 'microprogrammes' fixed in any tangible medium of expression.

"Solidify rapidly"

> A process involving the solidification of molten material at cooling rates exceeding 1,000 K/sec.

"SONET" (5)

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

"Source code" (or source language) (4, 5, 6, 7, 9)

> A convenient expression of one or more processes which may be turned by a programming system into equipment executable form ("object code" (or object language)).

"Spacecraft" (7, 9)

> Active and passive satellites and space probes.

"Space qualified" (3, 6, ML15)

> Products designed, manufactured and tested to meet the special electrical, mechanical or environmental requirements for use in the launch and deployment of satellites or high altitude flight systems operating at altitudes of 100 km or higher.

"Spectral efficiency" (5)

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

> "Spectral efficiency" = | "Digital transfer rate"(bits/second)
> | 6 dB spectrum bandwidth (Hz)

"Splat Quenching" (1)

> A process to 'solidify rapidly' a molten metal stream impinging upon a chilled block, forming a flake-like product.

[191]

"Spread spectrum" (5)

> The technique whereby energy in a relatively narrow-band communication channel is spread over a much wider energy spectrum.

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

"Stability" (7)

> 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)

> A control by using instructions stored in an electronic storage which a processor can execute in order to direct the performance of predetermined functions.

> N.B. Equipment may be "stored programme controlled" whether the electronic storage is internal or external to the equipment.

"Substrate" (3)

> 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.

"Substrate blanks" (6)

> Monolithic compounds with dimensions suitable for the production of optical elements such as mirrors or optical windows.

"Superalloy" (2, 9)

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

"Superconductive" (1, 3, 6, 8, ML18, ML20)

> Materials, i.e., metals, alloys or compounds, which can lose all electrical resistance, i.e., which can attain infinite electrical conductivity and carry very large electrical currents without Joule heating.

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

[192]

"Super High Power Laser" ("SHPL")

> A "laser" capable of delivering (the total or any portion of) the output energy exceeding 1 kJ within 50 ms or having an average or CW power exceeding 20 kW.

"Superplastic forming" (1, 2)

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

"Switch fabric" (5)

> That hardware and associated "software" which provides the physical or virtual connection path for in-transit message traffic being switched.

"Synchronous Digital Hierarchy" ("SDH") (5)

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

"Synchronous Optical Network" ("SONET") (5)

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

"Systems tracks" (6)

> 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)

> A computer where the flow and modification of the data is dynamically controllable at the logic gate level by the user.

"Tear gases" (ML7)

> Gases which produce temporary irritating or disabling effects which disappear within minutes of removal from exposure.

[193]

"Technology" (GTN & Both Lists)

> Specific information necessary for the "development", "production" or "use" of a product. This information takes the form of technical data or technical assistance. Controlled "technology" is defined in the General Technology Note and in the Dual-Use List.

> N.B. 1 '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.

> N.B. 2 'Technical assistance' may take forms such as instructions, skills, training, working knowledge and consulting services and may involve the transfer of 'technical data'.

"Terminal interface equipment" (4)

> Equipment at which information enters or leaves the telecommunication system, e.g., telephone, data device, computer, facsimile device.

"Three dimensional Vector Rate" (4)

> 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)

> 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)

> 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)

> 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)

> The number of bits, including line coding, overhead and so forth per unit time passing between corresponding equipment in a digital transmission system.

"Transfer laser" (6)

> A "laser" in which the lasing species is excited through the transfer of energy by collision of a non-lasing atom or molecule with a lasing atom or molecule species.

[194]

"Tunable" (6)

> The ability of a "laser" to produce a continuous output at all wavelengths over a range of several "laser" transitions. A line selectable "laser" produces discrete wavelengths within one "laser" transition and is not considered "tunable".

"Use" (GTN, 1, 2, 4, 5, 6, 7, 8, 9)

> Operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing.

"User-accessible programmability" (4, 5, 6)

> The facility allowing a user to insert, modify or replace "programmes" by means other than:

> > a. A physical change in wiring or interconnections; or

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

"Vacuum Atomisation" (1)

> A process to reduce a molten stream of metal to droplets of a diameter of 500 µm or less by the rapid evolution of a dissolved gas upon exposure to a vacuum.

"Variable geometry airfoils" (7)

> Use of trailing edge flaps or tabs, or leading edge slats or pivoted nose droop, the position of which can be controlled in flight.

[195]

## ACRONYMS AND ABBREVIATIONS
USED IN THESE LISTS

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

ACRONYM OR ABBREVIATION | MEANING
___________________ | ___________________________________________________
ABEC | Annular Bearing Engineers Committee
AGMA | American Gear Manufacturers' Association
AHRS | attitude and heading reference systems
ALU | arithmetic logic unit
ATC | air traffic control
C3I | command, communications, control & intelligence
CAD | computer-aided-design
CDU | control and display unit
CEP | circular error probable
CNTD | controlled nucleation thermal deposition
CVD | chemical vapour deposition
CW | chemical warfare
CW (for lasers) | continuous wave
DEW | directed energy weapon systems
DME | distance measuring equipment
DS | directionally solidified
EB-PVD | electron beam physical vapour deposition
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
EMCDB | elastomer modified cast double based propellants
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
IFOV | instantaneous-field-of-view
ILS | instrument landing system
IRIG | inter-range instrumentation group
ISAR | inverse synthetic aperture radar
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

[196]

ACRONYM OR ABBREVIATION | MEANING
___________________ | ___________________________________________________
MAC | message authentication code
Mach | ratio of speed of an object to speed of sound (after Ernst Mach)
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
RPV | remotely piloted air vehicles
SACMA | Suppliers of Advanced Composite Materials Association
SAR | synthetic aperture radar
SC | single crystal
SLAR | sidelooking airborne radar
SRA | shop replaceable assembly
SRAM | static random access memory
SRM | SACMA Recommended Methods
SSB | single sideband
SSR | secondary surveillance radar
TCSEC | trusted computer system evaluation criteria
TIR | total indicated reading
UV | ultraviolet
UTS | ultimate tensile strength
VOR | very high frequency omni-directional range
YAG | yttrium/aluminum garnet

[197]

## STATEMENTS OF UNDERSTANDING AND VALIDITY NOTES

MUNITIONS LIST

ML 10 (NF (95) WG2/2)

Absence of items from the Munitions List and absence of configuration for military use would mean that an aircraft not be considered military.

DUAL-USE LIST OF GOODS AND TECHNOLOGIES

General Technology Note (NF (95) CA WP 1)

Governments agree that the transfer of "technology" according to the General Technology Note, for "production" or "development" of items on this list shall be treated with vigilance in accordance with national policies and the aims of this regime.

General Technology Note (WG2 GTN TWG/WP1 Revised 2)

It is understood that Member Governments are expected to exercise controls on intangible "technology" as far as the scope of their legislation will allow.

General Software Note (NF (95) CA WP 1)

Governments agree that the transfer of "software", for "production" or "development" of items on this list shall be treated with vigilance in accordance with national policies and the aims of this regime.

Statement of Understanding - medical equipment (NF (96) DG PL/WP1)

Participating countries agree that equipment specially designed for medical end-use that incorporates an item controlled in the Dual-Use List is not controlled.

Category 2

2.B.1.

Validity Note.

> Governments agree to review machine tools (2.B.1.) within 6 months after the date of entry into force of the List of Dual-Use Goods and Technologies, taking into account the appropriate exchange of information. 2.B.l. is valid for a period of 2 years as from its date o t entry into force and renewal of the present parameters will require unanimous consent.

2.B.2.

Validity Note.

> 2.B.2. is valid for the period of one year as from the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal for each successive one-year period will require unanimous consent.

[198]

Category 2 cont.

2.E.3.f.

Validity Note.

> 2.E.3.f. is valid for the period of one year as from the date of entry into force of the List of Dual-Use Goods and Technologies, and its extension for an additional one-year period will require unanimous consent.

Category 3

Validity Note

> 3.B.1.f.1. and 3.C.2.a. are valid for the period of two years from the date of entry into force of the List of Dual-Use Goods and Technologies, and renewal for a successive period will require the unanimous consent of participating countries.

> If at the end of the two year period there is no unanimous consent to renew it, the cut-offs in 3.B.l.f.l.a. and 3.B.l.f.l.b. will be replaced with 350 nm and 0.5 µm respectively and the cut-off in 3.C.2.a. will be replaced with 350 µm.

> This entry should be scheduled for a List Review, to take place no later than one year from the entry into force of the List of Dual-Use Goods and Technologies.

Category 4

4.A.3.b.

Validity Note

> Governments agree to review 4.A.3.b. six months after the date of entry into force of the List of Dual-Use Goods and Technologies, taking into account, inter alia, relevant acquisition patterns and transfer data. Governments further agree to move the control level to a figure of 1,350 Mtops, or an appropriate higher figure based on technical review, one year after the entry into force of the Lists.

4.D.3.b.

Validity Note

> 4.D.3.b. is valid for the period of one year as from the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal for each successive one-year period will require unanimous consent.

[199]

Category 5, Part 1

Statement of Understanding

Governments agree to control on a statutory basis or based on national regulations the items listed below. The means of control allow for simplified forms of licensing, the absence of licensing or the ability to monitor transfers of these items.

5.A.1.b.1.

5.A.1.b.3. to 6.

5.A.1.c.

5.A.1.d.1.a.

5.B.1. Equipment for the "production" or "use" of items mentioned above.

5.C.1.

5.D.1.a., 5.D.1.c.2. "Software" for the "production" or "use" of items mentioned above.

5.E.1.a. "Technology" for the "use" of items mentioned above.

Validity Note

> The control of the items mentioned in the Statement of Understanding above will remain in effect for a period of two years after the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal will require unanimous consent.

5.D.1.c.1.

Validity Note

> The control of 5.D.1.c.1. will remain in effect for a period of two years after the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal will require unanimous consent.

5.E.1.b.4., 5., 6., 8., and 9.

Validity Note

> The control of 5.E.1.b.4., 5., 6., 8. and 9. will remain in effect for a period of two years after the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal will require unanimous consent.

Category 5, Part 2

Validity Note

> The control in 5.A.2.a.1. will remain in effect for a period of 2 years after the the date of entry into force of the List of Dual-Use Goods and Technologies, and its renewal in its present form will require unanimous consent.

> N.B. In the event of a normal List Review of Category 5 - Part 2 occurring prior to the expiration of this Validity Note, any result of the List Review will override this Validity Note.

[200]

Category 9

9.E.3.a.1.

Validity Note

> The "technologies" controlled by 9.E.3.a.1. will remain in effect 2 years after the date of entry into force of the List of Dual-Use Goods and Technologies. unless the expiration date of the control period is extended.

9.E.2.

Statement of understanding

Note

> "Development" or "production" "technology" controlled by 9.E. for gas turbine engines remains controlled when used as "use" "technology" for repair, rebuild and overhaul. Excluded from control are: technical data, drawings or documentation for maintenance activities directly associated with calibration, removal or replacement of damaged or unserviceable line replaceable units, including replacement of whole engines or engine modules.

ANNEX 1

4.A.3.b.

Validity Note

> Governments agree to review 4.A.3.b. six months after the date of entry into force of the List of Dual-Use Goods and Technologies, taking into account, appropriate exchange of information. Governments further agree to move the cut-off to a figure of 4,000 Mtops, or an appropriate figure based on technical review, one year after entry into force of the Lists.

N.B.1. The references in this document refer to the List of Dual-Use Goods and Technologies and the Munitions List, Vienna, 2nd and 3rd April, 1996.

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