# Council Regulation (EC) No 1504/2004 of 19 July 2004 amending and updating Regulation (EC) No 1334/2000 setting up a Community regime for the control of exports of dual-use items and technology

EU Regulation No 1504/2004 · adopted 19 July 2004

Council Regulation (EC) No 1504/2004 of 19 July 2004 amending and updating Regulation (EC) No 1334/2000 setting up a Community regime for the control of exports of dual-use items and technology

## Introductory text

Council Regulation (EC) No 1504/2004
of 19 July 2004
amending and updating Regulation (EC) No 1334/2000 setting up a Community regime for the control of exports of dual-use items and technology
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular Article 133 thereof,
Having regard to the proposal from the Commission,
Whereas:
(1)
Council Regulation (EC) No 1334/2000 requires dual-use items (including software and technology) to be subject to effective control when they are exported from the Community.
(2)
In order to enable the Member States and the Community to comply with their international commitments, Annex I to Regulation (EC) No 1334/2000 establishes the common list of dual-use items and technology referred to in Article 3 of that Regulation, which implements internationally agreed dual-use controls, including the Wassenaar Arrangement, the Missile Technology Control Regime (MTCR), the Nuclear Suppliers Group (NSG), the Australia Group and the Chemical Weapons Convention (CWC).
(3)
Article 11 of Regulation (EC) No 1334/2000 provides for Annex I and Annex IV to be updated in conformity with the relevant obligations and commitments, and any modifications thereof that each Member State has accepted as a member of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.
(4)
Annex I to Regulation (EC) No 1334/2000 should be amended in order to take account of changes adopted by the Wassenaar Arrangement, the Australia Group and the Missile Technology Control Regime subsequent to the amendments made by Regulation No 149/2003 on 27 January 2003.
(5)
Council Regulation (EC) No 885/2004 amended Part 3 of Annex II to Regulation (EC) No 1334/2000 in order to delete the Czech Republic, Hungary and Poland from the current list of countries for which the Community Export Authorisation applies.
(6)
For ease of reference for export control authorities and operators, it is necessary to publish an updated and consolidated version of the Annexes to Regulation (EC) No 1334/2000, taking into account all the amendments accepted by the Member States in international forums during the period covering December 2002 to December 2003.
(7)
Regulation (EC) No 1334/2000 should be amended accordingly,
HAS ADOPTED THIS REGULATION:

## 1 

The Annexes to Regulation (EC) No 1334/2000 shall be replaced by the text in the Annex to this Regulation.

## 2 

This Regulation shall enter into force on the 30th day following that of its publication in the Official Journal of the European Union.

## Signature

This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 19 July 2004.
For the Council
The President
P. H. Donner

## LIST OF DUAL-USE ITEMS AND TECHNOLOGY (referred to in Article 3 of Regulation (EC) No 1334/2000)

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

### Division: GENERAL NOTES TO ANNEX I

## 1 

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

### Division 2: The object of the controls contained in this Annex should not be defeated by the export of any non-controlled goods (including plant) containing one or more controlled components when the controlled component or components are the principal element of the goods and can feasibly be removed or used for other purposes.

## 

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

## 3 

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

## NUCLEAR TECHNOLOGY NOTE (NTN) (To be read in conjunction with section E of Category 0)

The "technology" directly associated with any goods controlled in Category 0 is controlled according to the provisions of Category 0.
"Technology" for the "development", "production" or "use" of goods under control remains under control even when applicable to non-controlled goods.
The approval of goods for export also authorizes the export to the same end-user of the minimum "technology" required for the installation, operation, maintenance and repair of the goods.
Controls on "technology" transfer do not apply to information "in the public domain" or to "basic scientific research".

## GENERAL TECHNOLOGY NOTE (GTN) (To be read in conjunction with section E of Categories 1 to 9)

The export of "technology" which is "required" for the "development", "production" or "use" of goods controlled in Categories 1 to 9, is controlled according to the provisions of Categories 1 to 9.
"Technology""required" for the "development", "production" or "use" of goods under control remains under control even when applicable to non-controlled goods.
Controls do not apply to that "technology" which is the minimum necessary for the installation , operation, maintenance (checking) and repair of those goods which are not controlled or whose export has been authorised.
Controls on "technology" transfer do not apply to information "in the public domain", to "basic scientific research" or to the minimum necessary information for patent applications.

## 

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

## EDITORIAL PRACTICES

In accordance with the rules set out in paragraph 101 on page 86 of the interinstitutional style guide (1997 edition), for texts in English published in the Official Journal of the European Communities:
a comma is used to separate the whole number from the decimals,
whole numbers are presented in series of three, each series being separated by a thin space.

## DEFINITIONS OF TERMS USED IN THIS ANNEX

Definitions of terms between 'single quotation marks' are given in a Technical Note to the relevant item.
Definitions of terms between "double quotation marks" are as follows:
"Accuracy" (2 6), usually measured in terms of inaccuracy, means the maximum deviation, positive or negative, of an indicated value from an accepted standard or true value.
"Active flight control systems" (7) are systems that function to prevent undesirable "aircraft" and missile motions or structural loads by autonomously processing outputs from multiple sensors and then providing necessary preventive commands to effect automatic control.
"Active pixel" (6 8) is a minimum (single) element of the solid state array which has a photoelectric transfer function when exposed to light (electromagnetic) radiation.
"Adapted for use in war" (1) means any modification or selection (such as altering purity, shelf life, virulence, dissemination characteristics, or resistence to UV radiation) designed to increase the effectiveness in producing casualties in humans or animals, degrading equipment or damaging crops or the environment.
"Aircraft" (1 7 9) means a fixed wing, swivel wing, rotary wing (helicopter), tilt rotor or tilt-wing airborne vehicle.
N.B.: See also "civil aircraft".
"All compensations available" (2) means after all feasible measures available to the manufacturer to minimise all systematic positioning errors for the particular machine-tool model are considered.
"Allocated by the ITU" (3 5) means the allocation of frequency bands according to the ITU Radio Regulations (Edition 1998) for primary, permitted and secondary services.
N.B.: Additional and alternative allocations are not included.
"Angular position deviation" (2) means the maximum difference between angular position and the actual, very accurately measured angular position after the workpiece mount of the table has been turned out of its initial position (ref. VDI/VDE 2617, Draft: 'Rotary tables on coordinate measuring machines').
"Asymmetric algorithm" (5) means a cryptographic algorithm using different, mathematically-related keys for encryption and decryption.
N.B.: A common use of "asymmetric algorithms" is key management.
"Automatic target tracking" (6) means a processing technique that automatically determines and provides as output an extrapolated value of the most probable position of the target in real time.
"Basic gate propagation delay time" (3) means the propagation delay time value corresponding to the basic gate used in a "monolithic integrated circuit". For a 'family' of "monolithic integrated circuits", this may be specified either as the propagation delay time per typical gate within the given 'family' or as the typical propagation delay time per gate within the given 'family'.
N.B. 1:"Basic gate propagation delay time" is not to be confused with the input/output delay time of a complex "monolithic integrated circuit".
N.B. 2:'Family' consists of all integrated circuits to which all of the following are applied as their manufacturing methodology and specifications except their respective functions:
a.. The common hardware and software architecture;
b.. The common design and process technology; and
c.. The common basic characteristics.
"Basic scientific research" (GTN NTN) means experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena or observable facts, not primarily directed towards a specific practical aim or objective.
"Bias" (accelerometer) (7) means an accelerometer output when no acceleration is applied.
"Camming" (2) means axial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle faceplate, at a point next to the circumference of the spindle faceplate (Reference: ISO 230/1 1986, paragraph 5.63).
"Carbon fibre preforms" (1) means an ordered arrangement of uncoated or coated fibres intended to constitute a framework of a part before the "matrix" is introduced to form a "composite".
"CE" is equivalent to "computing element".
"CEP" (circle of equal probability) (7) is a measure of accuracy; the radius of the circle centred at the target, at a specific range, in which 50 % of the payloads impact.
"Chemical laser" (6) means a "laser" in which the excited species is produced by the output energy from a chemical reaction.
"Chemical mixture" (1) means a solid, liquid or gaseous product made up of two or more components which do not react together under the conditions under which the mixture is stored.
"Circulation-controlled anti-torque or circulation controlled direction control systems" (7) are systems that use air blown over aerodynamic surfaces to increase or control the forces generated by the surfaces.
"Civil aircraft" (1 7 9) means those "aircraft" listed by designation in published airworthiness certification lists by the civil aviation authorities to fly commercial civil internal and external routes or for legitimate civil, private or business use.
N.B.: See also "aircraft".
"Commingled" (1) means filament to filament blending of thermoplastic fibres and reinforcement fibres in order to produce a fibre reinforcement "matrix" mix in total fibre form.
"Comminution" (1) means a process to reduce a material to particles by crushing or grinding.
"Common channel signalling" (5) is a signalling method in which a single channel between exchanges conveys, by means of labelled messages, signalling information relating to a multiplicity of circuits or calls and other information such as that used for network management.
"Communications channel controller" (4) means the physical interface which controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.
"Composite" (1 2 6 8 9) means a "matrix" and an additional phase or additional phases consisting of particles, whiskers, fibres or any combination thereof, present for a specific purpose or purposes.
"Composite theoretical performance" ("CTP") (3 4) is a measure of computational performance given in millions of theoretical operations per second (Mtops), calculated using the aggregation of "computing elements" ("CE").
N.B.: See Category 4, Technical Note.
"Compound rotary table" (2) means a table allowing the workpiece to rotate and tilt about two non-parallel axes, which can be coordinated simultaneously for "contouring control".
"Computing element" ("CE") (4) means the smallest computational unit that produces an arithmetic or logic result.
"Contouring control" (2) means two or more "numerically controlled" motions operating in accordance with instructions that specify the next required position and the required feed rates to that position. These feed rates are varied in relation to each other so that a desired contour is generated (ref. ISO/DIS 2806 - 1980).
"Critical temperature" (1 3 6) (sometimes referred to as the transition temperature) of a specific "superconductive" material means the temperature at which the material loses all resistance to the flow of direct electrical current.
"Cryptography" (5) means the discipline which embodies principles, means and methods for the transformation of data in order to hide its information content, prevent its undetected modification or prevent its 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.
"CTP" is equivalent to "composite theoretical performance".
"Data-Based Referenced Navigation" ("DBRN") (7) Systems means systems which use various sources of previously measured geo-mapping data integrated to provide accurate navigation information under dynamic conditions. Data sources include bathymetric maps, stellar maps, gravity maps, magnetic maps or 3-D digital terrain maps.
"Deformable mirrors" (6) (also known as adaptive optic mirrors) means mirrors having:
a.. A single continuous optical reflecting surface which is dynamically deformed by the application of individual torques or forces to compensate for distortions in the optical waveform incident upon the mirror; or
b.. Multiple optical reflecting elements that can be individually and dynamically repositioned by the application of torques or forces to compensate for distortions in the optical waveform incident upon the mirror.
"Depleted uranium" (0) means uranium depleted in the isotope 235 below that occurring in nature.
"Development" (GTN NTN All) is related to all phases prior to serial production, such as: design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts.
"Diffusion bonding" (1 2 9) means a solid state molecular joining of at least two separate metals into a single piece with a joint strength equivalent to that of the weakest material.
"Digital computer" (4 5) means equipment which can, in the form of one or more discrete variables, perform all of the following:
a.. Accept data;
b.. Store data or instructions in fixed or alterable (writable) storage devices;
c.. Process data by means of a stored sequence of instructions which is modifiable; and
d.. Provide output of data.
N.B.: Modifications of a stored sequence of instructions include replacement of fixed storage devices, but not a physical change in wiring or interconnections.
"Digital transfer rate" means the total bit rate of the information that is directly transferred on any type of medium.
N.B.: See also "total digital transfer rate".
"Direct-acting hydraulic pressing" (2) means a deformation process which uses a fluid-filled flexible bladder in direct contact with the workpiece.
"Drift rate" (gyro) (7) means the time rate of output deviation from the desired output. It consists of random and systematic components and is expressed as an equivalent input angular displacement per unit time with respect to inertial space.
"Dynamic adaptive routing" (5) means automatic rerouting of traffic based on sensing and analysis of current actual network conditions.
N.B.: This does not include cases of routing decisions taken on predefined information.
"Dynamic signal analysers" (3) means "signal analysers" which use digital sampling and transformation techniques to form a Fourier spectrum display of the given waveform including amplitude and phase information.
N.B.: See also "signal analysers".
"Effective gramme" (0 1) of "special fissile material" means:
a.. For plutonium isotopes and uranium-233, the isotope weight in grammes;
b.. For uranium enriched 1 per cent or greater in the isotope uranium-235, the element weight in grammes multiplied by the square of its enrichment expressed as a decimal weight fraction;
c.. For uranium enriched below 1 per cent in the isotope uranium-235, the element weight in grammes multiplied by 0,0001;
"Electronic assembly" (3 4 5) means a number of electronic components (i.e., 'circuit elements', 'discrete components', integrated circuits, etc.) connected together to perform (a) specific function(s), replaceable as an entity and normally capable of being disassembled.
N.B. 1:'Circuit element': a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
N.B. 2:'Discrete component': a separately packaged 'circuit element' with its own external connections.
"Electronically steerable phased array antenna" (5 6) means an antenna which forms a beam by means of phase coupling, i.e., the beam direction is controlled by the complex excitation coefficients of the radiating elements and the direction of that beam can be varied in azimuth or in elevation, or both, by application, both in transmission and reception, of an electrical signal.
"End-effectors" (2) means grippers, 'active tooling units' and any other tooling that is attached to the baseplate on the end of a "robot" manipulator arm.
N.B.:'Active tooling unit' means a device for applying motive power, process energy or sensing to the workpiece.
"Equivalent Density" (6) means the mass of an optic per unit optical area projected onto the optical surface.
"Expert systems" (7) mean systems providing results by application of rules to data which are stored independently of the "programme" and capable of any of the following:
a.. Modifying automatically the "source code" introduced by the user;
b.. Providing knowledge linked to a class of problems in quasi-natural language; or
c.. Acquiring the knowledge required for their development (symbolic training).
"FADEC" is equivalent to "full authority digital engine control".
"Fault tolerance" (4) is the capability of a computer system, after any malfunction of any of its hardware or "software" components, to continue to operate without human intervention, at a given level of service that provides: continuity of operation, data integrity and recovery of service within a given time.
"Fibrous or filamentary materials" (0 1 2 8) include:
a.. Continuous "monofilaments";
b.. Continuous "yarns" and "rovings";
c.. "Tapes", fabrics, random mats and braids;
d.. Chopped fibres, staple fibres and coherent fibre blankets;
e.. Whiskers, either monocrystalline or polycrystalline, of any length;
f.. Aromatic polyamide pulp.
"Film type integrated circuit" (3) means an array of 'circuit elements' and metallic interconnections formed by deposition of a thick or thin film on an insulating "substrate".
N.B.:'Circuit element' is a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
"Fixed" (5) means that the coding or compression algorithm cannot accept externally supplied parameters (e.g., cryptographic or key variables) and cannot be modified by the user.
"Flight control optical sensor array" (7) is a network of distributed optical sensors, using "laser" beams, to provide real-time flight control data for on-board processing.
"Flight path optimisation" (7) is a procedure that minimizes deviations from a four-dimensional (space and time) desired trajectory based on maximizing performance or effectiveness for mission tasks.
"Focal plane array" (6) means a linear or two-dimensional planar layer, or combination of planar layers, of individual detector elements, with or without readout electronics, which work in the focal plane.
N.B.: This is not intended to include a stack of single detector elements or any two, three or four element detectors provided time delay and integration is not performed within the element.
"Fractional bandwidth" (3) means the "instantaneous bandwidth" divided by the centre frequency, expressed as a percentage.
"Frequency hopping" (5) means a form of "spread spectrum" in which the transmission frequency of a single communication channel is made to change by a random or pseudo-random sequence of discrete steps.
"Frequency switching time" (3 5) means the maximum time (i.e., delay), taken by a signal, when switched from one selected output frequency to another selected output frequency, to reach:
a.. A frequency within 100 Hz of the final frequency; or
b.. An output level within 1 dB of the final output level.
"Frequency synthesiser" (3) means any kind of frequency source or signal generator, regardless of the actual technique used, providing a multiplicity of simultaneous or alternative output frequencies, from one or more outputs, controlled by, derived from or disciplined by a lesser number of standard (or master) frequencies.
"Full Authority Digital Engine Control" ("FADEC") (7 9) means an electronic control system for gas turbine or combined cycle engines utilising a digital computer to control the variables required to regulate engine thrust or shaft power output throughout the engine operating range from the beginning of fuel metering to fuel shutoff.
"Gas Atomisation" (1) means a process to reduce a molten stream of metal alloy to droplets of 500 micrometre diameter or less by a high pressure gas stream.
"Geographically dispersed" (6) is where each location is distant from any other more than 1 500 m in any direction. Mobile sensors are always considered "geographically dispersed".
"Guidance set" (7) means systems that integrate the process of measuring and computing a vehicles position and velocity (i.e. navigation) with that of computing and sending commands to the vehicles flight control systems to correct the trajectory.
"Hot isostatic densification" (2) means the process of pressurising a casting at temperatures exceeding 375 K (102 °C) in a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal force in all directions to reduce or eliminate internal voids in the casting.
"Hybrid computer" (4) means equipment which can perform all of the following:
a.. Accept data;
b.. Process data, in both analogue and digital representations; and
c.. Provide output of data.
"Hybrid integrated circuit" (3) means any combination of integrated circuit(s), or integrated circuit with 'circuit elements' or 'discrete components' connected together to perform (a) specific function(s), and having all of the following characteristics:
a.. Containing at least one unencapsulated device;
b.. Connected together using typical IC production methods;
c.. Replaceable as an entity; and
d.. Not normally capable of being disassembled.
N.B. 1:'Circuit element': a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
N.B. 2:'Discrete component': a separately packaged 'circuit element' with its own external connections.
"Image enhancement" (4) means the processing of externally derived information-bearing images by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform). This does not include algorithms using only linear or rotational transformation of a single image, such as translation, feature extraction, registration or false coloration.
"Immunotoxin" (1) is a conjugate of one cell specific monoclonal antibody and a "toxin" or "sub-unit of toxin", that selectively affects diseased cells.
"In the public domain" (GTN NTN GSN), as it applies herein, means "technology" or "software" which has been made available without restrictions upon its further dissemination (copyright restrictions do not remove "technology" or "software" from being "in the public domain").
"Information security" (4 5) is all the means and functions ensuring the accessibility, confidentiality or integrity of information or communications, excluding the means and functions intended to safeguard against malfunctions. This includes "cryptography", 'cryptanalysis', protection against compromising emanations and computer security.
N.B.:'Cryptanalysis': analysis of a cryptographic system or its inputs and outputs to derive confidential variables or sensitive data, including clear text.
"Instantaneous bandwidth" (3 5 7) means the bandwidth over which output power remains constant within 3 dB without adjustment of other operating parameters.
"Instrumented range" (6) means the specified unambiguous display range of a radar.
"Insulation" (9) is applied to the components of a rocket motor, i.e. the case, nozzle, inlets, case closures, and includes cured or semi-cured compounded rubber sheet stock containing an insulating or refractory material. It may also be incorporated as stress relief boots or flaps.
"Interconnected radar sensors" (6) means two or more radar sensors are interconnected when they mutually exchange data in real time.
"Interior lining" (9) is suited for the bond interface between the solid propellant and the case or insulating liner. Usually a liquid polymer based dispersion of refractory or insulating materials, e.g. carbon filled hydroxyl terminated polybutadiene (HTPB) or other polymer with added curing agents sprayed or screeded over a case interior.
"Intrinsic Magnetic Gradiometer" (6) is a single magnetic field gradient sensing element and associated electronics the output of which is a measure of magnetic field gradient.
N.B.: See also "magnetic gradiometer".
"Isolated live cultures" (1) includes live cultures in dormant form and in dried preparations.
"Isostatic presses" (2) mean equipment capable of pressurising a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal pressure in all directions within the cavity upon a workpiece or material.
"Laser" (0 2 3 5 6 7 8 9) is an assembly of components which produce both spatially and temporally coherent light that is amplified by stimulated emission of radiation.
N.B.: See also:
"Chemical laser";
"Q-switched laser";
"Super High Power Laser";
"Transfer laser".
"Linearity" (2) (usually measured in terms of non-linearity) means the maximum deviation of the actual characteristic (average of upscale and downscale readings), positive or negative, from a straight line so positioned as to equalise and minimise the maximum deviations.
"Local area network" (4) is a data communication system having all of the following characteristics:
a.. Allows an arbitrary number of independent 'data devices' to communicate directly with each other; and
b.. Is confined to a geographical area of moderate size (e.g., office building, plant, campus, warehouse).
N.B.:'Data device' means equipment capable of transmitting or receiving sequences of digital information.
"Magnetic Gradiometers" (6) are instruments designed to detect the spatial variation of magnetic fields from sources external to the instrument. They consist of multiple "magnetometers" and associated electronics the output of which is a measure of magnetic field gradient.
N.B.: See also "intrinsic magnetic gradiometer".
"Magnetometers" (6) are instruments designed to detect magnetic fields from sources external to the instrument. They consist of a single magnetic field sensing element and associated electronics the output of which is a measure of the magnetic field.
"Main storage" (4) means the primary storage for data or instructions for rapid access by a central processing unit. It consists of the internal storage of a "digital computer" and any hierarchical extension thereto, such as cache storage or non-sequentially accessed extended storage.
"Materials resistant to corrosion by UF6" (0) may be copper, stainless steel, aluminium, aluminium oxide, aluminium alloys, nickel or alloy containing 60 weight percent or more nickel and UF6- resistant fluorinated hydrocarbon polymers, as appropriate for the type of separation process.
"Matrix" (1 2 8 9) means a substantially continuous phase that fills the space between particles, whiskers or fibres.
"Measurement uncertainty" (2) is the characteristic parameter which specifies in what range around the output value the correct value of the measurable variable lies with a confidence level of 95 %. It includes the uncorrected systematic deviations, the uncorrected backlash and the random deviations (ref. ISO 10360-2, or VDI/VDE 2617).
"Mechanical Alloying" (1) means an alloying process resulting from the bonding, fracturing and rebonding of elemental and master alloy powders by mechanical impact. Non-metallic particles may be incorporated in the alloy by addition of the appropriate powders.
"Melt Extraction" (1) means a process to 'solidify rapidly' and extract a ribbon-like alloy product by the insertion of a short segment of a rotating chilled block into a bath of a molten metal alloy.
N.B.:'Solidify rapidly': solidification of molten material at cooling rates exceeding 1 000 K/s.
"Melt Spinning" (1) means a process to 'solidify rapidly' a molten metal stream impinging upon a rotating chilled block, forming a flake, ribbon or rod-like product.
N.B.:'Solidify rapidly': solidification of molten material at cooling rates exceeding 1 000 K/s.
"Microcomputer microcircuit" (3) means a "monolithic integrated circuit" or "multichip integrated circuit" containing an arithmetic logic unit (ALU) capable of executing general purpose instructions from an internal storage, on data contained in the internal storage.
N.B.: The internal storage may be augmented by an external storage.
"Microprocessor microcircuit" (3) means a "monolithic integrated circuit" or "multichip integrated circuit" containing an arithmetic logic unit (ALU) capable of executing a series of general purpose instructions from an external storage.
N.B. 1: The "microprocessor microcircuit" normally does not contain integral user-accessible storage, although storage present on-the-chip may be used in performing its logic function.
N.B. 2: This includes chip sets which are designed to operate together to provide the function of a "microprocessor microcircuit".
"Microorganisms" (1 2) means bacteria, viruses, mycoplasms, rickettsiae, chlamydiae or fungi, whether natural, enhanced or modified, either in the form of isolated live cultures or as material including living material which has been deliberately inoculated or contaminated with such cultures.
"Missiles" (1 3 6 7 9) means complete rocket systems and unmanned air vehicle systems, capable of delivering at least 500 kg payload to a range of at least 300 km.
"Monofilament" (1) or filament is the smallest increment of fibre, usually several micrometres in diameter.
"Monolithic integrated circuit" (3) means a combination of passive or active 'circuit elements' or both which:
a.. Are formed by means of diffusion processes, implantation processes or deposition processes in or on a single semiconducting piece of material, a so-called 'chip';
b.. Can be considered as indivisibly associated; and
c.. Perform the function(s) of a circuit.
N.B.:'Circuit element' is a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
"Monospectral imaging sensors" (6) are capable of acquisition of imaging data from one discrete spectral band.
"Multichip integrated circuit" (3) means two or more "monolithic integrated circuits" bonded to a common "substrate".
"Multi-data-stream processing" (4) means the 'microprogramme' or equipment architecture technique which permits simultaneous processing of two or more data sequences under the control of one or more instruction sequences by means such as:
a.. Single Instruction Multiple Data (SIMD) architectures such as vector or array processors;
b.. Multiple Single Instruction Multiple Data (MSIMD) architectures;
c.. Multiple Instruction Multiple Data (MIMD) architectures, including those which are tightly coupled, closely coupled or loosely coupled; or
d.. Structured arrays of processing elements, including systolic arrays.
N.B.:'Microprogramme' means a sequence of elementary instructions, maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction into an instruction register.
"Multispectral imaging sensors" (6) are capable of simultaneous or serial acquisition of imaging data from two or more discrete spectral bands. Sensors having more than twenty discrete spectral bands are sometimes referred to as hyperspectral imaging sensors.
"Natural uranium" (0) means uranium containing the mixtures of isotopes occurring in nature.
"Network access controller" (4) means a physical interface to a distributed switching network. It uses a common medium which operates throughout at the same "digital transfer rate" using arbitration (e.g., token or carrier sense) for transmission. Independently from any other, it selects data packets or data groups (e.g., IEEE 802) addressed to it. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.
"Neural computer" (4) means a computational device designed or modified to mimic the behaviour of a neuron or a collection of neurons, i.e., a computational device which is distinguished by its hardware capability to modulate the weights and numbers of the interconnections of a multiplicity of computational components based on previous data.
"Noise level" (6) means an electrical signal given in terms of power spectral density. The relation between "noise level" expressed in peak-to-peak is given by S2 pp = 8 No(f2–f1), where Spp is the peak-to-peak value of the signal (e.g., nanoteslas), No is the power spectral density (e.g., (nanotesla)2/Hz) and (f2–f1) defines the bandwidth of interest.
"Nuclear reactor" (0) means the items within or attached directly to the reactor vessel, the equipment which controls the level of power in the core, and the components which normally contain, come into direct contact with or control the primary coolant of the reactor core.
"Numerical control" (2) means the automatic control of a process performed by a device that makes use of numeric data usually introduced as the operation is in progress (ref. ISO 2382).
"Object code" (9) means an equipment executable form of a convenient expression of one or more processes ("source code" (source language)) which has been converted by programming system.
"Optical amplification" (5), in optical communications, means an amplification technique that introduces a gain of optical signals that have been generated by a separate optical source, without conversion to electrical signals, i.e., using semiconductor optical amplifiers, optical fibre luminescent amplifiers.
"Optical computer" (4) means a computer designed or modified to use light to represent data and whose computational logic elements are based on directly coupled optical devices.
"Optical integrated circuit" (3) means a "monolithic integrated circuit" or a "hybrid integrated circuit", containing one or more parts designed to function as a photosensor or photoemitter or to perform (an) optical or (an) electro-optical function(s).
"Optical switching" (5) means the routing of or switching of signals in optical form without conversion to electrical signals.
"Overall current density" (3) means the total number of ampere-turns in the coil (i.e., the sum of the number of turns multiplied by the maximum current carried by each turn) divided by the total cross-section of the coil (comprising the superconducting filaments, the metallic matrix in which the superconducting filaments are embedded, the encapsulating material, any cooling channels, etc.).
"Participating state" (7 9) is a state participating in the Wassenaar Arrangement. (See www.wassenaar.org)
"Peak power" (6), means energy per pulse in joules divided by the pulse duration in seconds.
"Personalized smart card" (5) means a smart card containing a microcircuit which has been programmed for a specific application and cannot be reprogrammed for any other application by the user.
"Power management" (7) means changing the transmitted power of the altimeter signal so that received power at the "aircraft" altitude is always at the minimum necessary to determine the altitude.
"Pressure transducers" (2) are devices that convert pressure measurements into an electrical signal.
"Previously separated" (0 1) means the application of any process intended to increase the concentration of the controlled isotope.
"Primary flight control" (7) means an "aircraft" stability or manoeuvering control using force/moment generators, i.e., aerodynamic control surfaces or propulsive thrust vectoring.
"Principal element" (4), as it applies in Category 4, is a "principal element" when its replacement value is more than 35 % of the total value of the system of which it is an element. Element value is the price paid for the element by the manufacturer of the system, or by the system integrator. Total value is the normal international selling price to unrelated parties at the point of manufacture or consolidation of shipment.
"Production" (GTN NTN All) means all production phases, such as: construction, production engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance.
"Production equipment" (1 7 9) means tooling, templates, jigs, mandrels, moulds, dies, fixtures, alignment mechanisms, test equipment, other machinery and components therefor, limited to those specially designed or modified for "development" or for one or more phases of "production".
"Production facilities" (7 9) means equipment and specially designed software therefor integrated into installations for "development" or for one or more phases of "production".
"Programme" (2 6) means a sequence of instructions to carry out a process in, or convertible into, a form executable by an electronic computer.
"Pulse compression" (6) means the coding and processing of a radar signal pulse of long time duration to one of short time duration, while maintaining the benefits of high pulse energy.
"Pulse duration" (6) is the duration of a "laser" pulse measured at Full Width Half Intensity (FWHI) levels.
"Q-switched laser" (6) means a "laser" in which the energy is stored in the population inversion or in the optical resonator and subsequently emitted in a pulse.
"Radar frequency agility" (6) means any technique which changes, in a pseudo-random sequence, the carrier frequency of a pulsed radar transmitter between pulses or between groups of pulses by an amount equal to or larger than the pulse bandwidth.
"Radar spread spectrum" (6) means any modulation technique for spreading energy originating from a signal with a relatively narrow frequency band, over a much wider band of frequencies, by using random or pseudo-random coding.
"Real-time bandwidth" (2 3) for "dynamic signal analysers" is the widest frequency range which the analyser can output to display or mass storage without causing any discontinuity in the analysis of the input data. For analysers with more than one channel, the channel configuration yielding the widest "real-time bandwidth" shall be used to make the calculation.
"Real time processing" (6 7) means the processing of data by a computer system providing a required level of service, as a function of available resources, within a guaranteed response time, regardless of the load of the system, when stimulated by an external event.
"Required" (GTN 1-9), as applied to "technology" or "software", refers to only that portion of "technology" or "software" which is peculiarly responsible for achieving or extending the controlled performance levels, characteristics or functions. Such "required""technology" or "software" may be shared by different goods.
"Resolution" (2) means the least increment of a measuring device; on digital instruments, the least significant bit (ref. ANSI B-89.1.12).
"Robot" (2 8) means a manipulation mechanism, which may be of the continuous path or of the point-to-point variety, may use sensors, and has all the following characteristics:
a.. Is multifunctional;
b.. Is capable of positioning or orienting material, parts, tools or special devices through variable movements in three dimensional space;
c.. Incorporates three or more closed or open loop servo-devices which may include stepping motors; and
d.. Has "user accessible programmability" by means of teach/playback method or by means of an electronic computer which may be a programmable logic controller, i.e., without mechanical intervention.
N.B.: The above definition does not include the following devices:
1.. Manipulation mechanisms which are only manually/teleoperator controllable;
2.. Fixed sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed stops, such as pins or cams. The sequence of motions and the selection of paths or angles are not variable or changeable by mechanical, electronic or electrical means;
3.. Mechanically controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed, but adjustable stops, such as pins or cams. The sequence of motions and the selection of paths or angles are variable within the fixed programme pattern. Variations or modifications of the programme pattern (e.g., changes of pins or exchanges of cams) in one or more motion axes are accomplished only through mechanical operations;
4.. Non-servo-controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is variable but the sequence proceeds only by the binary signal from mechanically fixed electrical binary devices or adjustable stops;
5.. Stacker cranes defined as Cartesian coordinate manipulator systems manufactured as an integral part of a vertical array of storage bins and designed to access the contents of those bins for storage or retrieval.
"Rotary atomisation" (1) means a process to reduce a stream or pool of molten metal to droplets to a diameter of 500 micrometre or less by centrifugal force.
"Roving" (1) is a bundle (typically 12-120) of approximately parallel 'strands'.
N.B.:'Strand' is a bundle of "monofilaments" (typically over 200) arranged approximately parallel.
"Run-out" (2) (out-of-true running) means radial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle axis at a point on the external or internal revolving surface to be tested (Reference: ISO 230/1 1986, paragraph 5.61).
"Scale factor" (gyro or accelerometer) (7) means the ratio of change in output to a change in the input intended to be measured. Scale factor is generally evaluated as the slope of the straight line that can be fitted by the method of least squares to input-output data obtained by varying the input cyclically over the input range.
"Settling time" (3) means the time required for the output to come within one-half bit of the final value when switching between any two levels of the converter.
"SHPL" is equivalent to "super high power laser".
"Signal analysers" (3) means apparatus capable of measuring and displaying basic properties of the single-frequency components of multi-frequency signals.
"Signal processing" (3 4 5 6) means the processing of externally derived information-bearing signals by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform).
"Software" (GSN All) means a collection of one or more "programmes" or 'microprogrammes' fixed in any tangible medium of expression.
N.B.:'Microprogramme' means a sequence of elementary instructions, maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction into an instruction register.
"Source code" (or source language) (4 6 7 9) is a convenient expression of one or more processes which may be turned by a programming system into equipment executable form ("object code" (or object language)).
"Spacecraft" (7 9) means active and passive satellites and space probes.
"Space qualified" (3 6) refers to products designed, manufactured and tested to meet the special electrical, mechanical or environmental requirements for use in the launch and deployment of satellites or high altitude flight systems operating at altitudes of 100 km or higher.
"Special fissile material" (0) means plutonium-239, uranium-233, "uranium enriched in the isotopes 235 or 233", and any material containing the foregoing.
"Specific modulus" (0 1 9) is Young's modulus in pascals, equivalent to N/m2 divided by specific weight in N/m3, measured at a temperature of (296 ± 2) K ((23 ± 2) °C) and a relative humidity of (50 ± 5) %.
"Specific tensile strength" (0 1 9) is ultimate tensile strength in pascals, equivalent to N/m2 divided by specific weight in N/m3, measured at a temperature of (296 ± 2) K ((23 ± 2) °C) and a relative humidity of (50 ± 5) %.
"Splat Quenching" (1) means a process to 'solidify rapidly' a molten metal stream impinging upon a chilled block, forming a flake-like product.
N.B.:'Solidify rapidly' solidification of molten material at cooling rates exceeding 1 000 K/s.
"Spread spectrum" (5) means the technique whereby energy in a relatively narrow-band communication channel is spread over a much wider energy spectrum.
"Spread spectrum" radar (6) - see "Radar spread spectrum"
"Stability" (7) means the standard deviation (1 sigma) of the variation of a particular parameter from its calibrated value measured under stable temperature conditions. This can be expressed as a function of time.
"States (not) Party to the Chemical Weapon Convention" (1) are those states for which the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons has (not) entered into force. (See www.opcw.org)
"Stored programme controlled" (2 3 8) means controlled 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) means a sheet of base material with or without an interconnection pattern and on which or within which 'discrete components' or integrated circuits or both can be located.
N.B. 1:'Discrete component': a separately packaged 'circuit element' with its own external connections.
N.B. 2:'Circuit element': a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
"Substrate blanks" (6) means monolithic compounds with dimensions suitable for the production of optical elements such as mirrors or optical windows.
"Sub-unit of toxin" (1) is a structurally and functionally discrete component of a whole "toxin".
"Superalloys" (2 9) means nickel-, cobalt- or iron-base alloys having strengths superior to any alloys in the AISI 300 series at temperatures over 922 K (649 °C) under severe environmental and operating conditions.
"Superconductive" (1 3 6 8) means materials, i.e., metals, alloys or compounds, which can lose all electrical resistance, i.e., which can attain infinite electrical conductivity and carry very large electrical currents without Joule heating.
N.B.: The "superconductive" state of a material is individually characterised by a "critical temperature", a critical magnetic field, which is a function of temperature, and a critical current density which is, however, a function of both magnetic field and temperature.
"Super High Power Laser" ("SHPL") (6) means a "laser" capable of delivering (the total or any portion of) the output energy exceeding 1 kJ within 50 ms or having an average or CW power exceeding 20 kW.
"Superplastic forming" (1 2) means a deformation process using heat for metals that are normally characterised by low values of elongation (less than 20 %) at the breaking point as determined at room temperature by conventional tensile strength testing, in order to achieve elongations during processing which are at least 2 times those values.
"Symmetric algorithm" (5) means a cryptographic algorithm using an identical key for both encryption and decryption.
N.B.: A common use of "symmetric algorithms" is confidentiality of data.
"System tracks" (6) means processed, correlated (fusion of radar target data to flight plan position) and updated aircraft flight position report available to the Air Traffic Control centre controllers.
"Systolic array computer" (4) means a computer where the flow and modification of the data is dynamically controllable at the logic gate level by the user.
"Tape" (1) is a material constructed of interlaced or unidirectional "monofilaments", 'strands', "rovings", "tows", or "yarns", etc., usually preimpregnated with resin.
N.B.:'Strand' is a bundle of "monofilaments" (typically over 200) arranged approximately parallel.
"Technology" (GTN NTN All) means specific information necessary for the "development", "production" or "use" of goods. This information takes the form of 'technical data' or 'technical assistance'.
N.B. 1:'Technical assistance' may take forms such as instructions, skills, training, working knowledge and consulting services and may involve the transfer of "technical data".
N.B. 2:'Technical data' may take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories.
"Tilting spindle" (2) means a tool-holding spindle which alters, during the machining process, the angular position of its centre line with respect to any other axis.
"Time constant" (6) is the time taken from the application of a light stimulus for the current increment to reach a value of 1-1/e times the final value (i.e., 63 % of the final value).
"Time-modulated ultra-wideband" (5) means the technique in which very short precisely time-controlled RF pulses are modulated in accordance with communications data by shifting pulse positions (usually called Pulse Position Modulation, PPM) channelised or scrambled in accordance with pseudo-random noise codes by PPM, then transmitted and received in the direct pulse form without using any carrier frequencies, consequently having extremely low power density over ultra-wide frequency bands. It is also known as Impulse Radio.
"Total control of flight" ( 7) means an automated control of "aircraft" state variables and flight path to meet mission objectives responding to real time changes in data regarding objectives, hazards or other "aircraft".
"Total digital transfer rate" (5) means the number of bits, including line coding, overhead and so forth per unit time passing between corresponding equipment in a digital transmission system.
N.B.: See also "digital transfer rate".
"Tow" (1) is a bundle of "monofilaments", usually approximately parallel.
"Toxins" (1 2) means toxins in the form of deliberately isolated preparations or mixtures, no matter how produced, other than toxins present as contaminants of other materials such as pathological specimens, crops, foodstuffs or seed stocks of "microorganisms".
"Transfer laser" (6) means a "laser" in which the lasing species is excited through the transfer of energy by collision of a non-lasing atom or molecule with a lasing atom or molecule species.
"Tunable" (6) means the ability of a "laser" to produce a continuous output at all wavelengths over a range of several "laser" transitions. A line selectable "laser" produces discrete wavelengths within one "laser" transition and is not considered "tunable".
"Uranium enriched in the isotopes 235 or 233" (0) means uranium containing the isotopes 235 or 233, or both, in an amount such that the abundance ratio of the sum of these isotopes to the isotope 238 is more than the ratio of the isotope 235 to the isotope 238 occurring in nature (isotopic ratio 0,72 per cent).
"Use" (GTN NTN All) means operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing.
"User accessible programmability" (6) means the facility allowing a user to insert, modify or replace "programmes" by means other than:
a.. A physical change in wiring or interconnections; or
b.. The setting of function controls including entry of parameters.
"Vaccine" (1) is a medicinal product in a pharmaceutical formulation licensed by, or having marketing or clinical trial authorisation from, the regulatory authorities of either the country of manufacture or of use, which is intended to stimulate a protective immunological response in humans or animals in order to prevent disease in those to whom or to which it is administered.
"Vacuum Atomisation" (1) means a process to reduce a molten stream of metal to droplets of a diameter of 500 micrometre or less by the rapid evolution of a dissolved gas upon exposure to a vacuum.
"Variable geometry airfoils" (7) means the use of trailing edge flaps or tabs, or leading edge slats or pivoted nose droop, the position of which can be controlled in flight.
"Yarn" (1) is a bundle of twisted 'strands'.
N.B.:'Strand' is a bundle of "monofilaments" (typically over 200) arranged approximately parallel.

## 

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

## ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX

An acronym or abbreviation, when used as a defined term, will be found in 'Definitions of Terms used in this Annex".
Acronym or abbreviation
Meaning
ABEC
Annular Bearing Engineers Committee
AGMA
American Gear Manufacturers' Association
AHRS
attitude and heading reference systems
AISI
American Iron and Steel Institute
ALU
arithmetic logic unit
ANSI
American National Standards Institute
ASTM
the American Society for Testing and Materials
ATC
air traffic control
AVLIS
atomic vapour laser isotope separation
CAD
computer-aided-design
CAS
Chemical Abstracts Service
CCITT
International Telegraph and Telephone Consultative Committee
CDU
control and display unit
CEP
circular error probable
CNTD
controlled nucleation thermal deposition
CRISLA
chemical reaction by isotope selective laser activation
CVD
chemical vapour deposition
CW
chemical warfare
CW (for lasers)
continuous wave
DME
distance measuring equipment
DS
directionally solidified
EB-PVD
electron beam physical vapour deposition
EBU
European Broadcasting Union
ECM
electro-chemical machining
ECR
electron cyclotron resonance
EDM
electrical discharge machines
EEPROMS
electrically erasable programmable read only memory
EIA
Electronic Industries Association
EMC
electromagnetic compatibility
ETSI
European Telecommunications Standards Institute
FFT
Fast Fourier Transform
GLONASS
global navigation satellite system
GPS
global positioning system
HBT
hetero-bipolar transistors
HDDR
high density digital recording
HEMT
high electron mobility transistors
ICAO
International Civil Aviation Organisation
IEC
International Electro-technical Commission
IEEE
Institute of Electrical and Electronic Engineers
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
MAC
message authentication code
Mach
ratio of speed of an object to speed of sound (after Ernst Mach)
MLIS
molecular laser isotopic separation
MLS
microwave landing systems
MOCVD
metal organic chemical vapour deposition
MRI
magnetic resonance imaging
MTBF
mean-time-between-failures
Mtops
million theoretical operations per second
MTTF
mean-time-to-failure
NBC
Nuclear, Biological and Chemical
NDT
non-destructive test
PAR
precision approach radar
PIN
personal identification number
ppm
parts per million
PSD
power spectral density
QAM
quadrature-amplitude-modulation
RF
radio frequency
SACMA
Suppliers of Advanced Composite Materials Association
SAR
synthetic aperture radar
SC
single crystal
SLAR
sidelooking airborne radar
SMPTE
Society of Motion Picture and Television Engineers
SRA
shop replaceable assembly
SRAM
static random access memory
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/aluminium garnet

### Division CATEGORY 0: NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT

## Systems, Equipment and Components

0A001"Nuclear reactors" and specially designed or prepared equipment and components therefor, as follows:
a.. "Nuclear reactors" capable of operation so as to maintain a controlled self-sustaining fission chain reaction;
b.. Metal vessels, or major shop-fabricated parts therefor, specially designed or prepared to contain the core of a "nuclear reactor", including the reactor vessel head for a reactor pressure vessel;
c.. Manipulative equipment specially designed or prepared for inserting or removing fuel in a "nuclear reactor";
d.. Control rods specially designed or prepared for the control of the fission process in a "nuclear reactor", support or suspension structures therefor, rod drive mechanisms and rod guide tubes;
e.. Pressure tubes specially designed or prepared to contain fuel elements and the primary coolant in a "nuclear reactor" at an operating pressure in excess of 5,1 MPa;
f.. Zirconium metal and alloys in the form of tubes or assemblies of tubes in which the ratio of hafnium to zirconium is less than 1:500 parts by weight, specially designed or prepared for use in a "nuclear reactor";
g.. Coolant pumps specially designed or prepared for circulating the primary coolant of "nuclear reactors";
h.. 'Nuclear reactor internals' specially designed or prepared for use in a "nuclear reactor", including support columns for the core, fuel channels, thermal shields, baffles, core grid plates, and diffuser plates;
Note: In 0A001.h. 'nuclear reactor internals' means any major structure within a reactor vessel which has one or more functions such as supporting the core, maintaining fuel alignment, directing primary coolant flow, providing radiation shields for the reactor vessel, and guiding in-core instrumentation.
i.. Heat exchangers (steam generators) specially designed or prepared for use in the primary coolant circuit of a "nuclear reactor";
j.. Neutron detection and measuring instruments specially designed or prepared for determining neutron flux levels within the core of a "nuclear reactor".

## Test, Inspection and Production Equipment

0B001Plant for the separation of isotopes of "natural uranium", "depleted uranium" and "special fissile materials", and specially designed or prepared equipment and components therefor, as follows:
a.. Plant specially designed for separating isotopes of "natural uranium", "depleted uranium", and "special fissile materials", as follows:
1.. Gas centrifuge separation plant;
2.. Gaseous diffusion separation plant;
3.. Aerodynamic separation plant;
4.. Chemical exchange separation plant;
5.. Ion-exchange separation plant;
6.. Atomic vapour "laser" isotope separation (AVLIS) plant;
7.. Molecular "laser" isotope separation (MLIS) plant;
8.. Plasma separation plant;
9.. Electro magnetic separation plant;
b.. Gas centrifuges and assemblies and components, specially designed or prepared for gas centrifuge separation process, as follows:
Note: In 0B001.b. 'high strength-to-density ratio material' means any of the following:
a.. Maraging steel capable of an ultimate tensile strength of 2 050 MPa or more;
b.. Aluminium alloys capable of an ultimate tensile strength of 460 MPa or more; or
c.. "Fibrous or filamentary materials" with a "specific modulus" of more than 3,18 × 106 m and a "specific tensile strength" greater than 76,2 × 103 m;
1.. Gas centrifuges;
2.. Complete rotor assemblies;
3.. Rotor tube cylinders with a wall thickness of 12 mm or less, a diameter of between 75 mm and 400 mm, made from 'high strength-to-density ratio materials';
4.. Rings or bellows with a wall thickness of 3 mm or less and a diameter of between 75 mm and 400 mm and designed to give local support to a rotor tube or to join a number together, made from 'high strength-to-density ratio materials';
5.. Baffles of between 75 mm and 400 mm diameter for mounting inside a rotor tube, made from 'high strength-to-density ratio materials';
6.. Top or bottom caps of between 75 mm and 400 mm diameter to fit the ends of a rotor tube, made from 'high strength-to-density ratio materials';
7.. Magnetic suspension bearings consisting of an annular magnet suspended within a housing made of or protected by "materials resistant to corrosion by UF6" containing a damping medium and having the magnet coupling with a pole piece or second magnet fitted to the top cap of the rotor;
8.. Specially prepared bearings comprising a pivot-cup assembly mounted on a damper;
9.. Molecular pumps comprised of cylinders having internally machined or extruded helical grooves and internally machined bores;
10.. Ring-shaped motor stators for multiphase AC hysteresis (or reluctance) motors for synchronous operation within a vacuum in the frequency range of 600 to 2 000 Hz and a power range of 50 to 1 000 Volt-Amps;
11.. Centrifuge housing/recipients to contain the rotor tube assembly of a gas centrifuge, consisting of a rigid cylinder of wall thickness up to 30 mm with precision machined ends and made of or protected by "materials resistant to corrosion by UF6";
12.. Scoops consisting of tubes of up to 12 mm internal diameter for the extraction of UF6 gas from within a centrifuge rotor tube by a Pitot tube action, made of or protected by "materials resistant to corrosion by UF6";
13.. Frequency changers (converters or inverters) specially designed or prepared to supply motor stators for gas centrifuge enrichment, having all of the following characteristics, and specially designed components therefor:
a.. Multiphase output of 600 to 2 000 Hz;
b.. Frequency control better than 0,1 %;
c.. Harmonic distortion of less than 2 %; and
d.. An efficiency greater than 80 %;
c.. Equipment and components, specially designed or prepared for gaseous diffusion separation process, as follows:
1.. Gaseous diffusion barriers made of porous metallic, polymer or ceramic "materials resistant to corrosion by UF6" with a pore size of 10 to 100 nm, a thickness of 5 mm or less, and, for tubular forms, a diameter of 25 mm or less;
2.. Gaseous diffuser housings made of or protected by "materials resistant to corrosion by UF6";
3.. Compressors (positive displacement, centrifugal and axial flow types) or gas blowers with a suction volume capacity of 1 m3/min or more of UF6, and discharge pressure up to 666,7 kPa, made of or protected by "materials resistant to corrosion by UF6";
4.. Rotary shaft seals for compressors or blowers specified in 0B001.c.3. and designed for a buffer gas in-leakage rate of less than 1 000 cm3/min.;
5.. Heat exchangers made of aluminium, copper, nickel, or alloys containing more than 60 per cent nickel, or combinations of these metals as clad tubes, designed to operate at sub-atmospheric pressure with a leak rate that limits the pressure rise to less than 10 Pa per hour under a pressure differential of 100 kPa;
6.. Bellow valves made of or protected by "materials resistant to corrosion by UF", with a diameter of 40 mm to 1 500 mm;
d.. Equipment and components, specially designed or prepared for aerodynamic separation process, as follows:
1.. Separation nozzles consisting of slit-shaped, curved channels having a radius of curvature less than 1 mm, resistant to corrosion by UF6, and having a knife-edge contained within the nozzle which separates the gas flowing through the nozzle into two streams;
2.. Tangential inlet flow-driven cylindrical or conical tubes, (vortex tubes), made of or protected by "materials resistant to corrosion by UF6" with a diameter of between 0,5 cm and 4 cm and a length to diameter ratio of 20:1 or less and with one or more tangential inlets;
3.. Compressors (positive displacement, centrifugal and axial flow types) or gas blowers with a suction volume capacity of 2 m3/min or more, made of or protected by "materials resistant to corrosion by UF6", and rotary shaft seals therefor;
4.. Heat exchangers made of or protected by "materials resistant to corrosion by UF6";
5.. Aerodynamic separation element housings, made of or protected by "materials resistant to corrosion by UF6" to contain vortex tubes or separation nozzles;
6.. Bellows valves made of or protected by "materials resistant to corrosion by UF6", with a diameter of 40 mm to 1 500 mm;
7.. Process systems for separating UF6 from carrier gas (hydrogen or helium) to 1 ppm UF6 content or less, including:
a.. Cryogenic heat exchangers and cryoseparators capable of temperatures of 153 K (– 120 °C) or less;
b.. Cryogenic refrigeration units capable of temperatures of 153 K (– 120 °C) or less;
c.. Separation nozzle or vortex tube units for the separation of UF6 from carrier gas;
d.. UF6 cold traps capable of temperatures of 253 K (– 20 °C) or less;
e.. Equipment and components, specially designed or prepared for chemical exchange separation process, as follows:
1.. Fast-exchange liquid-liquid pulse columns with stage residence time of 30 seconds or less and resistant to concentrated hydrochloric acid (e.g. made of or protected by suitable plastic materials such as fluorocarbon polymers or glass);
2.. Fast-exchange liquid-liquid centrifugal contactors with stage residence time of 30 seconds or less and resistant to concentrated hydrochloric acid (e.g. made of or protected by suitable plastic materials such as fluorocarbon polymers or glass);
3.. Electrochemical reduction cells resistant to concentrated hydrochloric acid solutions, for reduction of uranium from one valence state to another;
4.. Electrochemical reduction cells feed equipment to take U+4 from the organic stream and, for those parts in contact with the process stream, made of or protected by suitable materials (e.g. glass, fluorocarbon polymers, polyphenyl sulphate, polyether sulfone and resin-impregnated graphite);
5.. Feed preparation systems for producing high purity uranium chloride solution consisting of dissolution, solvent extraction and/or ion exchange equipment for purification and electrolytic cells for reducing the uranium U+6 or U+4 to U+3;
6.. Uranium oxidation systems for oxidation of U+3 to U+4;
f.. Equipment and components, specially designed or prepared for ion-exchange separation process, as follows:
1.. Fast reacting ion-exchange resins, pellicular or porous macro-reticulated resins in which the active chemical exchange groups are limited to a coating on the surface of an inactive porous support structure, and other composite structures in any suitable form, including particles or fibres, with diameters of 0,2 mm or less, resistant to concentrated hydrochloric acid and designed to have an exchange rate half-time of less than 10 seconds and capable of operating at temperatures in the range of 373 K (100 °C) to 473 K (200 °C);
2.. Ion exchange columns (cylindrical) with a diameter greater than 1 000 mm, made of or protected by materials resistant to concentrated hydrochloric acid (e.g. titanium or fluorocarbon plastics) and capable of operating at temperatures in the range of 373 K (100 °C) to 473 K (200 °C) and pressures above 0,7 MPa;
3.. Ion exchange reflux systems (chemical or electrochemical oxidation or reduction systems) for regeneration of the chemical reducing or oxidizing agents used in ion exchange enrichment cascades;
g.. Equipment and components, specially designed or prepared for atomic vapour "laser" isotope separation process (AVLIS), as follows:
1.. High power strip or scanning electron beam guns with a delivered power of more than 2,5 kW/cm for use in uranium vaporization systems;
2.. Liquid uranium metal handling systems for molten uranium or uranium alloys, consisting of crucibles, made of or protected by suitable corrosion and heat resistant materials (e.g. tantalum, yttria-coated graphite, graphite coated with other rare earth oxides or mixtures thereof), and cooling equipment for the crucibles;
N.B.: SEE ALSO 2A225.
3.. Product and tails collector systems made of or lined with materials resistant to the heat and corrosion of uranium metal vapour or liquid, such as yttria-coated graphite or tantalum;
4.. Separator module housings (cylindrical or rectangular vessels) for containing the uranium metal vapour source, the electron beam gun and the product and tails collectors;
5.. "Lasers" or "laser" systems for the separation of uranium isotopes with a spectrum frequency stabiliser for operation over extended periods of time;
N.B.: SEE ALSO 6A005 AND 6A205.
h.. Equipment and components, specially designed or prepared for molecular "laser" isotope separation process (MLIS) or chemical reaction by isotope selective laser activation (CRISLA), as follows:
1.. Supersonic expansion nozzles for cooling mixtures of UF6 and carrier gas to 150 K (– 123 °C) or less and made from "materials resistant to corrosion by UF6";
2.. Uranium pentafluoride (UF5) product collectors consisting of filter, impact, or cyclone-type collectors or combinations thereof, and made of "materials resistant to corrosion by UF5/UF6";
3.. Compressors made of or protected by "materials resistant to corrosion by UF6", and rotary shaft seals therefor;
4.. Equipment for fluorinating UF5 (solid) to UF6 (gas);
5.. Process systems for separating UF6 from carrier gas (e.g. nitrogen or argon) including:
a.. Cryogenic heat exchangers and cryoseparators capable of temperatures of 153 K (– 120 °C) or less;
b.. Cryogenic refrigeration units capable of temperatures of 153 K (– 120 °C) or less;
c.. UF6 cold traps capable of temperatures of 253 K (– 20 °C) or less;
6.. "Lasers" or "laser" systems for the separation of uranium isotopes with a spectrum frequency stabiliser for operation over extended periods of time;
N.B.: SEE ALSO 6A005 AND 6A205.
i.. Equipment and components, specially designed or prepared for plasma separation process, as follows:
1.. Microwave power sources and antennae for producing or accelerating ions, with an output frequency greater than 30 GHz and mean power output greater than 50 kW;
2.. Radio frequency ion excitation coils for frequencies of more than 100 kHz and capable of handling more than 40 kW mean power;
3.. Uranium plasma generation systems;
4.. Liquid metal handling systems for molten uranium or uranium alloys, consisting of crucibles, made of or protected by suitable corrosion and heat resistant materials (e.g. tantalum, yttria-coated graphite, graphite coated with other rare earth oxides or mixtures thereof), and cooling equipment for the crucibles;
N.B.: SEE ALSO 2A225.
5.. Product and tails collectors made of or protected by materials resistant to the heat and corrosion of uranium vapour such as yttria-coated graphite or tantalum;
6.. Separator module housings (cylindrical) for containing the uranium plasma source, radio-frequency drive coil and the product and tails collectors and made of a suitable non-magnetic material (e.g. stainless steel);
j.. Equipment and components, specially designed or prepared for electromagnetic separation process, as follows:
1.. Ion sources, single or multiple, consisting of a vapour source, ioniser, and beam accelerator made of suitable non-magnetic materials (e.g. graphite, stainless steel, or copper) and capable of providing a total ion beam current of 50 mA or greater;
2.. Ion collector plates for collection of enriched or depleted uranium ion beams, consisting of two or more slits and pockets and made of suitable non-magnetic materials (e.g. graphite or stainless steel);
3.. Vacuum housings for uranium electromagnetic separators made of non-magnetic materials (e.g. stainless steel) and designed to operate at pressures of 0,1 Pa or lower;
4.. Magnet pole pieces with a diameter greater than 2 m;
5.. High voltage power supplies for ion sources, having all of the following characteristics:
a.. Capable of continuous operation;
b.. Output voltage of 20 000 V or greater;
c.. Output current of 1 A or greater; and
d.. Voltage regulation of better than 0,01 % over a period of 8 hours;
N.B.: SEE ALSO 3A227.
6.. Magnet power supplies (high power, direct current) having all of the following characteristics:
a.. Capable of continuous operation with a current output of 500 A or greater at a voltage of 100 V or greater; and
b.. Current or voltage regulation better than 0,01 % over a period of 8 hours.
N.B.: SEE ALSO 3A226.
0B002Specially designed or prepared auxiliary systems, equipment and components, as follows, for isotope separation plant specified in 0B001, made of or protected by "materials resistant to corrosion by UF6":
a.. Feed autoclaves, ovens or systems used for passing UF6 to the enrichment process;
b.. Desublimers or cold traps, used to remove UF6 from the enrichment process for subsequent transfer upon heating;
c.. Product and tails stations for transferring UF6 into containers;
d.. Liquefaction or solidification stations used to remove UF6 from the enrichment process by compressing, cooling and converting UF6 to a liquid or solid form;
e.. Piping systems and header systems specially designed for handling UF6 within gaseous diffusion, centrifuge or aerodynamic cascades;
f.. 1.. Vacuum manifolds or vacuum headers having a suction capacity of 5 m3/minute or more; or
2.. Vacuum pumps specially designed for use in UF6 bearing atmospheres;
g.. UF6 mass spectrometers/ion sources specially designed or prepared for taking on-line samples of feed, product or tails from UF6 gas streams and having all of the following characteristics:
1.. Unit resolution for mass of more than 320 amu;
2.. Ion sources constructed of or lined with nichrome or monel, or nickel plated;
3.. Electron bombardment ionisation sources; and
4.. Collector system suitable for isotopic analysis.
0B003Plant for the conversion of uranium and equipment specially designed or prepared therefor, as follows:
a.. Systems for the conversion of uranium ore concentrates to UO3;
b.. Systems for the conversion of UO3 to UF6;
c.. Systems for the conversion of UO3 to UO2;
d.. Systems for the conversion of UO2 to UF4;
e.. Systems for the conversion of UF4 to UF6;
f.. Systems for the conversion of UF4 to uranium metal;
g.. Systems for the conversion of UF6 to UO2;
h.. Systems for the conversion of UF6 to UF4;
i.. Systems for the conversion of UO2 to UCl4.
0B004Plant for the production or concentration of heavy water, deuterium and deuterium compounds and specially designed or prepared equipment and components therefor, as follows:
a.. Plant for the production of heavy water, deuterium or deuterium compounds, as follows:
1.. Water-hydrogen sulphide exchange plants;
2.. Ammonia-hydrogen exchange plants;
b.. Equipment and components, as follows:
1.. Water-hydrogen sulphide exchange towers fabricated from fine carbon steel (e.g. ASTM A516) with diameters of 6 m to 9 m, capable of operating at pressures greater than or equal to 2 MPa and with a corrosion allowance of 6 mm or greater;
2.. Single stage, low head (i.e. 0,2 MPa) centrifugal blowers or compressors for hydrogen sulphide gas circulation (i.e. gas containing more than 70 % H2S) with a throughput capacity greater than or equal to 56 m3/second when operating at pressures greater than or equal to 1,8 MPa suction and having seals designed for wet H2S service;
3.. Ammonia-hydrogen exchange towers greater than or equal to 35 m in height with diameters of 1,5 m to 2,5 m capable of operating at pressures greater than 15 MPa;
4.. Tower internals, including stage contactors, and stage pumps, including those which are submersible, for heavy water production utilizing the ammonia-hydrogen exchange process;
5.. Ammonia crackers with operating pressures greater than or equal to 3 MPa for heavy water production utilizing the ammonia-hydrogen exchange process;
6.. Infrared absorption analysers capable of on-line hydrogen/deuterium ratio analysis where deuterium concentrations are equal to or greater than 90 %;
7.. Catalytic burners for the conversion of enriched deuterium gas into heavy water utilizing the ammonia-hydrogen exchange process;
8.. Complete heavy water upgrade systems, or columns therefor, for the upgrade of heavy water to reactor-grade deuterium concentration.
0B005Plant specially designed for the fabrication of "nuclear reactor" fuel elements and specially designed or prepared equipment therefor.
0B006Plant for the reprocessing of irradiated "nuclear reactor" fuel elements, and specially designed or prepared equipment and components therefor.
0B007Plant for the conversion of plutonium and equipment specially designed or prepared therefor, as follows:
a.. Systems for the conversion of plutonium nitrate to oxide;
b.. Systems for plutonium metal production.

## 

Note: A plant for the fabrication of "nuclear reactor" fuel elements includes equipment which:
a.. Normally comes into direct contact with or directly processes or controls the production flow of nuclear materials;
b.. Seals the nuclear materials within the cladding;
c.. Checks the integrity of the cladding or the seal; or
d.. Checks the finish treatment of the sealed fuel.

## 

Note: 0B006 includes:
a.. Plant for the reprocessing of irradiated "nuclear reactor" fuel elements including equipment and components which normally come into direct contact with and directly control the irradiated fuel and the major nuclear material and fission product processing streams;
b.. Fuel element chopping or shredding machines, i.e. remotely operated equipment to cut, chop, shred or shear irradiated "nuclear reactor" fuel assemblies, bundles or rods;
c.. Dissolvers, critically safe tanks (e.g. small diameter, annular or slab tanks) specially designed or prepared for the dissolution of irradiated "nuclear reactor" fuel, which are capable of withstanding hot, highly corrosive liquids, and which can be remotely loaded and maintained;
d.. Counter-current solvent extractors and ion-exchange processing equipment specially designed or prepared for use in a plant for the reprocessing of irradiated "natural uranium", "depleted uranium" or "special fissile materials";
e.. Holding or storage vessels specially designed to be critically safe and resistant to the corrosive effects of nitric acid;
Note: Holding or storage vessels may have the following features:
1.. Walls or internal structures with a boron equivalent (calculated for all constituent elements as defined in the note to 0C004) of at least two per cent;
2.. A maximum diameter of 175 mm for cylindrical vessels; or
3.. A maximum width of 75 mm for either a slab or annular vessel.
f.. Process control instrumentation specially designed or prepared for monitoring or controlling the reprocessing of irradiated "natural uranium", "depleted uranium" or "special fissile materials".

## Materials

0C001"Natural uranium" or "depleted uranium" or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing;
0C002"Special fissile materials"
0C003Deuterium, heavy water (deuterium oxide) and other compounds of deuterium, and mixtures and solutions containing deuterium, in which the isotopic ratio of deuterium to hydrogen exceeds 1:5 000.
0C004Graphite, nuclear grade, having a purity level of less than 5 parts per million 'boron equivalent' and with a density greater than 1,5 g/cm3.
0C005Specially prepared compounds or powders for the manufacture of gaseous diffusion barriers, resistant to corrosion by UF6 (e.g. nickel or alloy containing 60 weight per cent or more nickel, aluminium oxide and fully fluorinated hydrocarbon polymers), having a purity of 99,9 weight per cent or more and a mean particle size of less than 10 micrometres measured by American Society for Testing and Materials (ASTM) B330 standard and a high degree of particle size uniformity.

## 

Note: 0C001 does not control the following:
a.. Four grammes or less of "natural uranium" or "depleted uranium" when contained in a sensing component in instruments;
b.. "Depleted uranium" specially fabricated for the following civil non-nuclear applications:
1.. Shielding;
2.. Packaging;
3.. Ballasts having a mass not greater than 100 kg;
4.. Counter-weights having a mass not greater than 100 kg;
c.. Alloys containing less than 5 % thorium;
d.. Ceramic products containing thorium, which have been manufactured for non-nuclear use.

## 

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

## 

N.B.: SEE ALSO 1C107.

## 

Note 1: 0C004 does not control the following:
a.. Manufactures of graphite having a mass less than 1 kg, other than those specially designed or prepared for use in a nuclear reactor;
b.. Graphite powder.

## 

Note 2: In 0C004, 'boron equivalent' (BE) is defined as the sum of BEz for impurities (excluding BEcarbon since carbon is not considered an impurity) including boron, where:
BEz (ppm) = CF × concentration of element Z in ppm;
where CF is the conversion factor = σ Z A B σ B A Z
and σB and σZ are the thermal neutron capture cross sections (in barns) for naturally occurring boron and element Z respectively; and AB and AZ are the atomic masses of naturally occurring boron and element Z respectively.

## Software

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

## Technology

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

### Division: COMMUNITY GENERAL EXPORT AUTHORISATION No EU001

## Part 1 

This export authorisation covers the following items:
All dual-use items specified in any entry in Annex I of the present Regulation except those listed in Part 2 below.

## Part 2 

— All items specified in Annex IV.
— 0C001 "Natural uranium" or "depleted uranium" or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing.
— 0C002 "Special fissile materials" other than those specified in Annex IV.
— 0D001 "Software" specially designed or modified for the "development", "production" or "use" of goods specified in Category 0, insofar as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV.
— 0E001 "Technology" according to the Nuclear Technology Note for the "development", "production" or "use" of goods specified in Category 0, insofar as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV.
— 1A102 Resaturated pyrolised carbon-carbon components designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
— 1C351 Human pathogens, zoonoses and "toxins".
— 1C352 Animal pathogens.
— 1C353 Genetic elements and genetically modified organisms.
— 1C354 Plant pathogens.
— 7E104 "Technology" for the integration of the flight control, guidance, and propulsion data into a flight management system for optimisation of rocket system trajectory.
— 9A009.a. Hybrid rocket propulsion systems with total impulse capacity exceeding 1.1 MNs.
— 9A117 Staging mechanisms, separation mechanisms, and interstages, usable in "missiles".

## Part 3 

This export authorisation is valid throughout the Community for exports to the following destinations:
Australia
Canada
Japan
New Zealand
Norway
Switzerland
United States of America

## 

Note: Parts 2 and 3 may be amended only in conformity with the relevant obligations and commitments that each Member State has accepted as a member of the international non-proliferation regimes and export control arrangements, and in conformity with the public security interests of each Member State as reflected in its responsibility for deciding on applications for authorisations to export dual-use items under Article 6(2) of this Regulation.

### Division: Conditions and requirements for use of this authorisation

## 1 

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

## 2 

This general authorisation may not be used if the exporter has been informed by the competent authorities of the Member State in which he is established that the items in question are or may be intended for a military end-use as defined in Article 4(2) of the Regulation in a country subject to an EU, OSCE or UN arms embargo, or if the exporter is aware that the items in question are intended for such use.

## 3 

This general authorisation may not be used when the relevant items are exported to a customs free zone or free warehouse which is located in a destination covered by this authorisation.

## 4 

The registration and reporting requirements attached to the use of this general authorisation, and the additional information that the Member State from which the export is made might require on items exported under this authorisation, are defined by Member States. These requirements must be based on those defined for the use of general export authorisations granted by those Member States which provide for such authorisations.

## Annex III a 



### Division COMMON ELEMENTS FOR PUBLICATION OF GENERAL EXPORT: (referred to in Article 10(3))

## 1 

Title of general export authorisation

## 2 

Authority issuing the authorisation

## 3 EC validity. The following text shall be used:

‘This is a general export authorisation under the terms of Article 6(2) of Regulation (EC) No 1334/2000. This authorisation, in accordance with Article 6(2) of that Regulation, is valid in all Member States of the European Community’

## 4 Items concerned: the following introductory text shall be used:

‘This export authorisation covers the following items’

## 5 Destinations concerned: The following introductory text shall be used:

‘This export authorisation is valid for exports to the following destinations’

## 6 

Conditions and requirements

## Annex IV: (List referred to in Article 21(1) of Regulation (EC) No 1334/2000)

## 

The entries do not always cover the complete description of the item and the related notes in Annex I. Only Annex I provides the complete description of the items.
The mention of an item in this Annex does not affect the application of the provisions concerning mass-market products in Annex I.

### Part I: (possibility of National General Authorisation for intra-Community trade)

## Items of stealth technology

1C001 Materials specially designed for use as absorbers of electromagnetic waves, or intrinsically conductive polymers.
NB: SEE ALSO 1C101
1C101 Materials or devices for reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures; other than those specified in 1C001, usable in "missiles" and their subsystems;
1D103 "Software" specially designed for analysis of reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures;
1E101 "Technology" according to the GTN for the "use" of goods specified in 1C101 or 1D103.
1E102 "Technology" according to the GTN for the "development" of "software" specified in 1D103.
6B008 Pulse radar cross-section measurement systems having transmit pulse widths of 100 ns or less and specially designed components therefor;
NB: SEE ALSO 6B108
6B108 Systems specially designed for radar cross-section measurement usable for "missiles" and their subsystems;

## Items of the Community strategic control

1C239 High explosives, other than those specified in the military goods controls, or substances or mixtures containing more than 2 % thereof, with a crystal density greater than 1,8 gm per cm3 and having a detonation velocity greater than 8 000 m/s.
1E201 "Technology" according to the General Technology Note for the "use" of goods specified in 1C239.
3A229 Firing sets and equivalent high-current pulse generators, as follows …
NB: SEE ALSO MILITARY GOODS CONTROLS
3A232 Detonators and multipoint initiation systems, as follows …
NB: SEE ALSO MILITARY GOODS CONTROLS
3E201 "Technology" according to the General Technology Note for the "use" of equipment specified in 3A229 or 3A232.
6A001 Acoustics, limited to the following:
6A001.a.1.b. Object detection or location systems having any of the following:
1.. A transmitting frequency below 5 kHz ;
6.. Designed to withstand …;
6A001.a.2.a.1. Hydrophones … Incorporating …
6A001.a.2.a.2. Hydrophones … Having any …
6A001.a.2.a.5. Hydrophones … Designed for …
6A001.a.2.b. Towed acoustic hydrophone arrays …
6A001.a.2.c. Processing equipment, specially designed for real time application with towed acoustic hydrophone arrays, having "user accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes;
6A001.a.2.e. Bottom or bay cable systems having any of the following:
1.. Incorporating hydrophones …, or
2.. Incorporating multiplexed hydrophone group signal modules …;
6A001.a.2.f. Processing equipment, specially designed for real time application with bottom or bay cable systems, having "user accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes;
6D003.a. "Software" for the "real time processing" of acoustic data;
8A002.o.3. Noise reduction systems designed for use on vessels of 1 000 tonnes displacement or more, as follows:
(b) active noise reduction or cancellation systems, or magnetic bearings, specially designed for power transmission systems, and incorporating electronic control systems capable of actively reducing equipment vibration by the generation of anti-noise or anti-vibration signals directly to the source;
8E002.a. "Technology" for the "development", "production", repair, overhaul or refurbishing (re-machining) of propellers specially designed for underwater noise reduction.

## Items of the Community strategic control — Cryptography — category 5 Part 2

5A002.a.2. equipment designed or modified to perform cryptanalytic functions.
5D002.c.1 only "software" having the characteristics, or performing or simulating the functions, of equipment specified in 5A002.a.2.
5E002 only "technology" for the "development", "production" or "use" of the goods specified in 5A002.a.2. or 5D002.c.1. above.

## Items of the MTCR technology

7A117 "Guidance sets", usable in "missiles", capable of achieving system accuracy of 3,33 % or less of the range (e.g., a "CEP" of 10 km or less at a range of 300 km), except "guidance sets" designed for missiles with a range under 300 km or manned aircraft.
7B001 Test, calibration or alignment equipment specially designed for equipment specified in 7A117 above.
Note: 7B001 does not control test, calibration or alignment equipment for Maintenance Level I or Maintenance Level II.
7B003 Equipment specially designed for the "production" of equipment specified in 7A117 above.
7B103 "Production facilities" specially designed for equipment specified in 7A117 above.
7D101 "Software" specially designed for the "use" of equipment specified in 7B003 or 7B103 above.
7E001 "Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 7A117, 7B003, 7B103 or 7D101 above.
7E002 "Technology" according to the General Technology Note for the "production" of equipment specified in 7A117, 7B003 and 7B103 above.
7E101 "Technology" to the General Technology Note for the "use" of equipment specified in 7A117, 7B003, 7B103 and 7D101 above.
9A004 Space launch vehicles capable of delivering at least a 500 kg payload to a range of at least 300 km.
N.B.: SEE ALSO 9A104.
Note 1: 9A004 does not control payloads.
9A005 Liquid rocket propulsion systems containing any of the systems or components specified in 9A006 usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below.
N.B.: SEE ALSO 9A105 and 9A119.
9A007.a. Solid rocket propulsion systems, usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below , with any of the following:
N.B.: SEE ALSO 9A119.
a.. Total impulse capacity exceeding 1.1 MNs;
9A008.d. Components, as follows, specially designed for solid rocket propulsion systems:
N.B.: SEE ALSO 9A108.c.
d.. Movable nozzle or secondary fluid injection thrust vector control systems, usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below , capable of any of the following:
1.. Omni-axial movement exceeding ± 5°;
2.. Angular vector rotations of 20°/s or more; or
3.. Angular vector accelerations of 40°/s2 or more.
9A104 Sounding rockets, capable of delivering at least a 500 kg payload to a range of at least 300 km.
N.B.: SEE ALSO 9A004.
9A105.a. Liquid propellant rocket engines, as follows:
N.B.: SEE ALSO 9A119.
a.. Liquid propellant rocket engines usable in "missiles", other than those specified in 9A005, having a total impulse capacity of 1.1 MNs or greater; except liquid propellant apogee engines designed or modified for satellite applications and having all of the following:
1.. nozzle throat diameter of 20 mm or less; and
2.. combustion chamber pressure of 15 bar or less.
9A106.c. Systems or components, other than those specified in 9A006, usable in "missiles", as follows, specially designed for liquid rocket propulsion systems:
c.. Thrust vector control sub-systems, except those designed for rocket systems that are not capable of delivering at least a 500 kg payload to a range of at least 300 km.
Technical Note:
Examples of methods of achieving thrust vector control specified in 9A106.c. are:
1.. Flexible nozzle;
2.. Fluid or secondary gas injection;
3.. Movable engine or nozzle;
4.. Deflection of exhaust gas stream (jet vanes or probes); or
5.. Thrust tabs.
9A108.c. Components, other than those specified in 9A008, usable in "missiles", as follows, specially designed for solid rocket propulsion systems:
c.. Thrust vector control sub-systems, except those designed for rocket systems that are not capable of delivering at least a 500 kg payload to a range of at least 300 km.
Technical Note:
Examples of methods of achieving thrust vector control specified in 9A108.c. are:
1.. Flexible nozzle;
2.. Fluid or secondary gas injection;
3.. Movable engine or nozzle;
4.. Deflection of exhaust gas stream (jet vanes or probes); or
5.. Thrust tabs.
9A116 Re-entry vehicles, usable in "missiles", and equipment designed or modified therefor, as follows, except for re-entry vehicles designed for non-weapon payloads:
a.. Re-entry vehicles;
b.. Heat shields and components therefor fabricated of ceramic or ablative materials;
c.. Heat sinks and components therefor fabricated of lightweight, high-heat capacity materials;
d.. Electronic equipment specially designed for re-entry vehicles.
9A119 Individual rocket stages, usable in complete rocket systems or unmanned air vehicles, capable of delivering at least a 500 kg payload to a range of 300 km, other than those specified in 9A005 or 9A007.a. above.
9B115 Specially designed "production equipment" for the systems, sub-systems and components specified in 9A005, 9A007.a., 9A008.d., 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above.
9B116 Specially designed "production facilities" for the space launch vehicles specified in 9A004, or systems, sub-systems, and components specified in 9A005, 9A007.a., 9A008.d., 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above.
9D101 "Software" specially designed for the "use" of goods specified in 9B116 above.
9E001 "Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 9A004, 9A005, 9A007.a., 9A008.d., 9B115, 9B116 or 9D101 above.
9E002 "Technology" according to the General Technology Note for the "production" of equipment specified in: 9A004, 9A005, 9A007.a., 9A008.d., 9B115 or 9B116 above.
Note: For "technology" for the repair of controlled structures, laminates or materials, see 1E002.f.
9E101 "Technology" according to the General Technology Note for the "development" or "production" of goods specified in 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above.
9E102 "Technology" according to the General Technology Note for the "use" of space launch vehicles specified in 9A004, 9A005, 9A007.a., 9A008.d., 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116, 9A119, 9B115, 9B116 or 9D101 above.

## — Exemptions:

Annex IV does not control the following items of the MTCR technology:
1.. that are transferred on the basis of orders pursuant to a contractual relationship placed by the European Space Agency (ESA) or that are transferred by ESA to accomplish its official tasks;
2.. that are transferred on the basis of orders pursuant to a contractual relationship placed by a Member State's national space organisation or that are transferred by it to accomplish its official tasks;
3.. that are transferred on the basis of orders pursuant to a contractual relationship placed in connection with a Community space launch development and production programme signed by two or more European governments;
4.. that are transferred to a State-controlled space launching site in the territory of a Member State, unless that Member State controls such transfers within the terms of this Regulation.

### Part II: (no National General Authorisation for intra-Community trade)

## Items of the CWC (Chemical Weapons Convention)

1C351.d.4. ricin
1C351.d.5. saxitoxin

## Items of the NSG technology

All Category 0 of Annex I is included in Annex IV, subject to the following:
0C001: this item is not included in Annex IV.
0C002: this item is not included in Annex IV, with the exception of special fissile materials as follows:
a.. separated plutonium;
b.. "uranium enriched in the isotopes 233 or 235" to more than 20 %.
0D001 (software) is included in Annex IV except insofar as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV.
0E001 (technology) is included in Annex IV except insofar as these related to 0C001 or to those items of 0C002 that are excluded from Annex IV.
1B226 Electromagnetic isotope separators designed for, or equipped with, single or multiple ion sources capable of providing a total ion beam current of 50 mA or greater.
Note: 1B226 includes separators:
a.. Capable of enriching stable isotopes;
b.. With the ion sources and collectors both in the magnetic field and those configurations in which they are external to the field.
1C012 Materials as follows:
Technical Note:
These materials are typically used for nuclear heat sources.
b.. "Previously separated" neptunium-237 in any form.
Note: 1C012.b. does not control shipments with a neptunium-237 content of 1 g or less.
1B231 Tritium facilities or plants, and equipment therefor, as follows:
a.. Facilities or plants for the production, recovery, extraction, concentration, or handling of tritium;
b.. Equipment for tritium facilities or plants, as follows:
1.. Hydrogen or helium refrigeration units capable of cooling to 23 K (– 250 °C) or less, with heat removal capacity greater than 150 W;
2.. Hydrogen isotope storage or purification systems using metal hydrides as the storage or purification medium.
1B233 Lithium isotope separation facilities or plants, and equipment therefor, as follows:
a.. Facilities or plants for the separation of lithium isotopes;
b.. Equipment for the separation of lithium isotopes, as follows:
1.. Packed liquid-liquid exchange columns specially designed for lithium amalgams;
2.. Mercury or lithium amalgam pumps;
3.. Lithium amalgam electrolysis cells;
4.. Evaporators for concentrated lithium hydroxide solution.
1C233 Lithium enriched in the lithium-6 (6Li) isotope to greater than its natural isotopic abundance, and products or devices containing enriched lithium, as follows: elemental lithium, alloys, compounds, mixtures containing lithium, manufactures thereof, waste or scrap of any of the foregoing.
Note: 1C233 does not control thermoluminescent dosimeters.
Technical Note:
The natural isotopic abundance of lithium-6 is approximately 6,5 weight per cent (7,5 atom per cent).
1C235 Tritium, tritium compounds, mixtures containing tritium in which the ratio of tritium to hydrogen atoms exceeds 1 part in 1000, and products or devices containing any of the foregoing.
Note: 1C235 does not control a product or device containing less than 1,48 × 103 GBq (40 Ci) of tritium.
1E001 "Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 1C012.b.
1E201 "Technology" according to the General Technology Note for the "use" of goods specified in 1B226, 1B231, 1B233, 1C233 or 1C235.
3A228 Switching devices, as follows:
a.. Cold cathode tubes, whether gas filled or not, operating similarly to a spark gap, having all of the following characteristics:
1.. Containing three or more electrodes;
2.. Anode peak voltage rating of 2,5 kV or more;
3.. Anode peak current rating of 100 A or more; and
4.. Anode delay time of 10 μs or less;
Note: 3A228 includes gas krytron tubes and vacuum sprytron tubes.
b.. Triggered spark gaps having both of the following characteristics:
1.. An anode delay time of 15 μs or less; and
2.. Rated for a peak current of 500 A or more;
3A231 Neutron generator systems, including tubes, having both of the following characteristics:
a.. Designed for operation without an external vacuum system; and
b.. Utilizing electrostatic acceleration to induce a tritium deuterium nuclear reaction.
3E201 "Technology" according to the General Technology Note for the "use" of equipment specified in 3A228.a., 3A228.b. or 3A231.
6A203 Cameras and components, other than those specified in 6A003, as follows:
a.. Mechanical rotating mirror cameras, as follows, and specially designed components therefor:
1.. Framing cameras with recording rates greater than 225 000 frames per second;
2.. Streak cameras with writing speeds greater than 0,5 mm per microsecond;
Note: In 6A203.a. components of such cameras include their synchronizing electronics units and rotor assemblies consisting of turbines, mirrors and bearings.
6A225 Velocity interferometers for measuring velocities exceeding 1 km/s during time intervals of less than 10 microseconds.
Note: 6A225 includes velocity interferometers such as VISARs (Velocity interferometer systems for any reflector) and DLIs (Doppler laser interferometers).
6A226 Pressure sensors, as follows:
a.. Manganin gauges for pressures greater than 10 GPa;
b.. Quartz pressure transducers for pressures greater than 10 GPa.

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N.B.: For 0C003 and 0C004, only if for use in a "nuclear reactor" (within 0A001.a.).

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Source: https://www.legislation.gov.uk/eur/2004/1504 (the official version)
Page: https://openlegislation.uk/eu-regulation-2004-1504
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.