CHAPTER I SUBJECT AND DEFINITIONS

Article 1

This Regulation sets up a [^F1United Kingdom^F1] regime for the control of exports, transfer, brokering and transit of dual-use items.

Article 2

For the purposes of this Regulation:

CHAPTER II SCOPE

Article 3

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

2.^F18Pursuant to Article 4 ..., an authorisation may also be required for the export to all or certain destinations of certain dual-use items not listed in Annex I.

Article 4

1.An authorisation shall be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the [^F19Secretary of State^F19] that the items in question are or may be intended, in their entirety or in part, for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices or the development, production, maintenance or storage of missiles capable of delivering such weapons.

2. An authorisation shall also be required for the export of dual-use items not listed in Annex I if the purchasing country or country of destination is subject to an arms embargo [^F14 imposed [^F20 through its listing as an embargoed destination in Part 1 or 2 of Schedule 4 to the Export Control Order 2008 , as amended from time to time, or by ^F20,F14]] a decision of the Organisation for Security and Cooperation in Europe (OSCE) or an arms embargo imposed by a binding resolution of the Security Council of the United Nations and if the exporter has been informed by the [^F21 Secretary of State ^F21] that the items in question are or may be intended, in their entirety or in part, for a military end-use. For the purposes of this paragraph, ‘military end-use’ shall mean:

(a)incorporation into military items listed in [^F22Schedule 2 to the Export Control Order 2008^F22] ;

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

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

3.An authorisation shall also be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the [^F23Secretary of State^F23] that the items in question are or may be intended, in their entirety or in part, for use as parts or components of military items listed in [^F24Schedule 2 to the Export Control Order 2008, as amended from time to time,^F24] that have been exported [^F25without authorisation or in violation of an authorisation granted by the Secretary of State^F25] .

4.If an exporter is aware that dual-use items which he proposes to export, not listed in Annex I, are intended, in their entirety or in part, for any of the uses referred to in paragraphs 1, 2 and 3, he must notify the [^F26Secretary of State^F26] , which will decide whether or not it is expedient to make the export concerned subject to authorisation.

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^F277.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8.This Regulation is without prejudice to [^F28Article 10 of Regulation (EU) 2015/479^F28] .

Article 5

1.An authorisation shall be required for brokering services of dual-use items listed in Annex I if the broker has been informed by the [^F29Secretary of State^F29] that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1). If a broker is aware that the dual-use items listed in Annex I for which he proposes brokering services are intended, in their entirety or in part, for any of the uses referred to in Article 4(1), he must notify the [^F30Secretary of State, who^F30] will decide whether or not it is expedient to make such brokering services subject to authorisation.

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^F32Article 6

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Article 7

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

^F33Article 8

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CHAPTER III EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES

Article 9

[^F14 1.[^F34 Assimilated^F34] General Export Authorisations for certain exports as set out in Annexes IIa to IIf are established by this Regulation.

The [^F35 Secretary of State^F35] can prohibit the exporter from using these authorisations if there is reasonable suspicion about his ability to comply with such authorisation or with a provision of [^F36 United Kingdom export control legislation^F36] .

^F37...

[^F38 In order to ensure that only low-risk transactions are covered by the [^F34 Assimilated^F34] General Export Authorisations included in Annexes IIa to IIf, the [^F39 Secretary of State may by regulations^F39] remove destinations from the scope of those [^F34 Assimilated^F34] General Export Authorisations, if such destinations become subject to an arms embargo as referred to in Article 4(2).

^F40...^F38,F14]]

2.For all other exports for which an authorisation is required under this Regulation, such authorisation shall be granted by the [^F41Secretary of State^F41] . Subject to the restrictions specified in paragraph 4, this authorisation may be an individual, global or general authorisation.

^F42...

^F44Exporters shall supply the [^F43Secretary of State^F43] with all relevant information required for their applications for individual and global export authorisation so as to provide complete information to the ... [^F43Secretary of State^F43] in particular on the end user, the country of destination and the end use of the item exported. The authorisation may be subject, if appropriate, to an end-use statement.

^F453.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.[^F46 A national general export authorisation^F46] shall:

[^F14 (a)[^F47 shall^F47] exclude from their scope items listed in Annex IIg;^F14]

[^F48 (b)may be used by all exporters, established or resident in the United Kingdom, if they meet the requirements set out in this Regulation. It must be issued in accordance with the indications set out in Annex IIIc;^F48]

[^F49 (c)must not be used if the exporter has been informed by the Secretary of State that the items in question are, or may be intended, in their entirety or in part, for any of the uses referred to in paragraphs 1 and 3 of Article 4 or in paragraph 2 of Article 4 in a country subject to an arms embargo imposed through its listing as an embargoed destination in Part 1 or 2 of Schedule 4 to the Export Control Order 2008, as amended from time to time, or by a decision of the OSCE or an arms embargo imposed by a binding resolution of the Security Council of the United Nations, or if the exporter is aware that the items are intended for the abovementioned uses.^F49]

5.[^F50 The Secretary of State^F50] shall maintain [^F51in^F51] national legislation the possibility of granting a global export authorisation.

^F526.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Article 10

1.^F54Authorisations for brokering services under this Regulation shall be granted by the [^F53Secretary of State^F53] . These authorisations shall be granted for a set quantity of specific items moving between two or more third countries. The location of the items in the originating third country, the end-user and its exact location must be clearly identified. ...

2.Brokers shall supply the [^F55Secretary of State^F55] with all relevant information required for their application for authorisation under this Regulation for brokering services, in particular details of the location of the dual-use items in the originating third country, a clear description of the items and the quantity involved, third parties involved in the transaction, the third country of destination, the end-user in that country and its exact location.

^F563.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F564.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F57Article 11

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Article 12

1.In deciding whether or not to grant an individual or global export authorisation or to grant an authorisation for brokering services under this Regulation, the [^F58Secretary of State^F58] shall take into account all relevant considerations including:

(a)the obligations and commitments [^F59the United Kingdom has accepted as a member^F59] of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties;

(b)^F61[^F60 the^F60] obligations under sanctions imposed by ... a decision of the OSCE or by a binding resolution of the Security Council of the United Nations;

(c)considerations of national foreign and security policy, including those [^F62contained within guidance made under section 9 of the Export Control Act 2002^F62] ;

(d)considerations about intended end use and the risk of diversion.

2.In addition to the criteria set in paragraph 1, when assessing an application for a global export authorisation[^F63 the Secretary of State^F63] shall take into consideration the application by the exporter of proportionate and adequate means and procedures to ensure compliance with the provisions and objectives of this Regulation and with the terms and conditions of the authorisation.

[^F64Article 13

1.The Secretary of State, acting in accordance with this Regulation, may refuse to grant an export authorisation, and may annul, suspend, modify or revoke an export authorisation which the Secretary of State has already granted.

2.Paragraph 1 shall also apply to authorisations for brokering services.^F64]

Article 14

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

^F652.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CHAPTER IV UPDATING OF LIST OF DUAL-USE ITEMS

[^F66Article 15

1.The Secretary of State may by regulations update the list of dual-use items set out in Annex I in conformity with the relevant obligations and commitments, and any modification thereof, that the United Kingdom has accepted as a member of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties.

2.Where the updating of Annex I under paragraph 1 concerns dual-use items which are also listed in Annexes IIa to IIg or IV, regulations under paragraph 1 may also make provision for updating Annexes IIa to IIg or IV.^F66]

CHAPTER V CUSTOMS PROCEDURES

Article 16

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

^F672.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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^F674.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F68Article 17

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^F69Article 18

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CHAPTER VI ADMINISTRATIVE COOPERATION

^F70Article 19

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CHAPTER VII CONTROL MEASURES

Article 20

1.^F71Exporters of dual-use items shall keep detailed registers or records of their exports .... Such registers or records shall include in particular commercial documents such as invoices, manifests and transport and other dispatch documents containing sufficient information to allow the following to be identified:

(a)the description of the dual-use items;

(b)the quantity of the dual-use items;

(c)the name and address of the exporter and of the consignee;

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

2.^F72... Brokers shall keep registers or records for brokering services which fall under the scope of Article 5 so as to be able to prove, on request, the description of the dual-use items that were the subject of brokering services, the period during which the items were the subject of such services and their destination, and the countries concerned by those brokering services.

3.The registers or records and the documents referred to in paragraphs 1 and 2 shall be kept for at least three years from the end of the calendar year in which the export took place or the brokering services were provided. They shall be produced, on request, to [^F73a person authorised by the Secretary of State or the Commissioners for Her Majesty's Revenue and Customs^F73] .

^F74Article 21

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CHAPTER VIII OTHER PROVISIONS

^F75Article 22

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^F76Article 23

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[^F77Article 23a

1.Regulations under Article 9(1) or Article 15(1) are to be made by statutory instrument

2.Such regulations may:

(a)make different provision with respect to different cases or different descriptions of case;

(b)include—

(i)incidental, supplementary or consequential provision;

(ii)transitional, transitory or saving provision.

3.A statutory instrument containing regulations under Article 9(1) or Article 15(1) is subject to annulment in pursuance of a resolution in either House of Parliament.^F77]

^F78Article 23b

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^F79Article 24

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^F80Article 25

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^F81Article 25a

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^F82Article 26

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Article 27

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

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

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

^F83Article 28

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[^F85ANNEX I

LIST OF DUAL-USE ITEMS (referred to in Article 3 of this Regulation)

This list implements internationally agreed dual-use controls including the Australia Group, the Missile Technology Control Regime (MTCR), the Nuclear Suppliers Group (NSG), the Wassenaar Arrangement(5) and the Chemical Weapons Convention (CWC)(6).

GENERAL NOTES TO ANNEX I

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) or repair of those goods which are not controlled or whose export has been authorised.

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

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

NUCLEAR SOFTWARE NOTE (NSN)

(This note overrides any control within section D of Category 0)

Section D of Category 0 of this list does not control "software" which is the minimum necessary "object code" for the installation, operation, maintenance (checking) or repair of those items whose export has been authorised.

The approval of goods for export also authorises the export to the same end-user of the minimum necessary "object code" for the installation, operation, maintenance (checking) or repair of the goods

Note : The Nuclear Software Note does not release "software" specified in Category 5 – Part 2 ("Information Security") .

GENERAL SOFTWARE NOTE (GSN)

(This note overrides any control within section D of Categories 1 to 9.)

Categories 1 to 9 of this list do not control "software" which is any of the following:

GENERAL "INFORMATION SECURITY" NOTE (GISN)

"Information security" items or functions should be considered against the provisions in Category 5 – Part 2, even if they are components, "software" or functions of other items.

EDITORIAL PRACTICES IN [^F88THIS REGULATION^F88]

^F89...

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

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

The text reproduced in this annex follows the above-described practice.

ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX

An acronym or abbreviation, when used as a defined term, are found in ‘Definitions of Terms used in this Annex’.

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:

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

• "Accuracy" (2 3 6 7 ^F91 ...), 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) is a minimum (single) element of the solid state array which has a photoelectric transfer function when exposed to light (electromagnetic) radiation.

• "Adjusted Peak Performance" (4) is an adjusted peak rate at which "digital computers" perform 64-bit or larger floating point additions and multiplications, and is expressed in Weighted TeraFLOPS (WT) with units of 10 ¹² adjusted floating point operations per second.

  NB:See Category 4, Technical Note.

• "Aircraft" (1 6 7 9) means a fixed wing, swivel wing, rotary wing (helicopter), tilt rotor or tilt-wing airborne vehicle.

  NB: See also "civil aircraft".

• "Airship" (9) means a power-driven airborne vehicle that is kept buoyant by a body of gas (usually helium, formerly hydrogen) which is lighter than air.

• "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 or measuring errors for the particular coordinate measuring machine are considered.

• "Allocated by the ITU" (3 5) means the allocation of frequency bands according to the current edition of the ITU Radio Regulations for primary, permitted and secondary services.

  NB: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.

• "Angle random walk" (7) means the angular error build up with time that is due to white noise in angular rate (IEEE ^F92 ... 528-2001).

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

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

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

• "Authentication" (5) means verifying the identity of a user, process or device, often as a prerequisite to allowing access to resources in an information system. This includes verifying the origin or content of a message or other information, and all aspects of access control where there is no encryption of files or text except as directly related to the protection of passwords, Personal Identification Numbers (PINs) or similar data to prevent unauthorized access.

• "Average output power" (6) means the total "laser" output energy, in joules, divided by the period over which a series of consecutive pulses is emitted, in seconds. For a series of uniformly spaced pulses it is equal to the total "laser" output energy in a single pulse, in joules, multiplied by the pulse frequency of the "laser", in Hertz.

• ^F93 ...

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

• "Bias" (accelerometer) (7) means the average over a specified time of accelerometer output, measured at specified operating conditions, that has no correlation with input acceleration or rotation. "Bias" is expressed in g or in metres per second squared (g or m/s ² ). (IEEE ^F94 ... 528-2001) (Micro g equals 1x10 ^–6 g).

• "Bias" (gyro) (7) means the average over a specified time of gyro output measured at specified operating conditions that has no correlation with input rotation or acceleration. "Bias" is typically expressed in degrees per hour (deg/hr). (IEEE ^F95 ... 528-2001).

• "Biological agents" (1) are pathogens or toxins, selected or modified (such as altering purity, shelf life, virulence, dissemination characteristics, or resistance to UV radiation) to produce casualties in humans or animals, degrade equipment or damage crops or the environment.

• ^F96 ...

• "CEP" (7) means "Circular Error Probable" – In a circular normal distribution, the radius of the circle containing 50 % of the individual measurements being made, or the radius of the circle within which there is a 50 % probability of being located.

• ^F97 ...

• "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.

• [^F98 “ Charge multiplication ” (6) is a form of electronic image amplification defined as the generation of charge carriers as a result of an impact ionisation gain process. “Charge multiplication” sensors may take the form of an image intensifier tube, solid state detector or “focal plan array”. ^F98]

• [^F99 “ 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. ^F99]

• "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 3 4 7) means those "aircraft" listed by designation in published airworthiness certification lists by the civil aviation authorities of ^F100 ... Wassenaar Arrangement Participating States to fly commercial civil internal and external routes or for legitimate civil, private or business use.

  NB: See also "aircraft".

• ^F101 ...

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

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

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

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

• "Critical temperature" (1 3 5) (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.

• "Cryptographic activation" (5) means any technique that specifically activates or enables cryptographic capability of an item, by means of a mechanism implemented by the manufacturer of the item, where this mechanism is uniquely bound to any of the following:

  1.

  A single instance of the item; or

  2.

  One customer, for multiple instances of the item.

  Technical Notes:

  1. "Cryptographic activation" techniques and mechanisms may be implemented as hardware, "software" or "technology".

  2. Mechanisms for "cryptographic activation" can, for example, be serial number-based licence keys or authentication instruments such as digitally signed certificates.

• "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.

  Notes:

  1. "Cryptography" does not include ‘fixed’ data compression or coding techniques.

  2. "Cryptography" includes decryption.

  Technical Notes:

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

  2. ‘Fixed’: the coding or compression algorithm cannot accept externally supplied parameters (e.g., cryptographic or key variables) and cannot be modified by the user.

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

• "Cyber incident response" (4) means the process of exchanging necessary information on a cybersecurity incident with individuals or organisations responsible for conducting or coordinating remediation to address the cybersecurity incident.

• "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.

• [^F99 “ Data device ” (4) means equipment capable of transmitting or receiving sequences of digital information. ^F99]

• "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 ^F102 ...) means a [^F103 solid-state ^F103] joining of at least two separate pieces of metals into a single piece with a joint strength equivalent to that of the weakest material, wherein the principal mechanism is interdiffusion of atoms across the interface.

• "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.

  NB: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" (def) means the total bit rate of the information that is directly transferred on any type of medium.

  NB: See also "total digital transfer rate".

• [^F99 “ Discrete component ” is a separately packaged “ circuit element ” with its own external connections. ^F99]

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

• "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" (2 3 4) means a number of electronic components (i.e., [^F104 “circuit elements” ^F104] , [^F105 “discrete components” ^F105] , integrated circuits, etc.) connected together to perform (a) specific function(s), replaceable as an entity and normally capable of being disassembled.

  ^F106 ...

  ^F107 ...

• "Energetic materials" (1) means substances or mixtures that react chemically to release energy required for their intended application. "Explosives", "pyrotechnics" and "propellants" are subclasses of energetic materials.

• "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.

  NB: ‘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.

• "Equivalent standards" (1) means comparable national or international standards recognised by one or more EU Member States or Wassenaar Arrangement Participating States and applicable to the relevant entry.

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

• "FADEC Systems" (9) means Full Authority Digital Engine Control Systems – A digital electronic control system for a gas turbine engine that is able to autonomously control the engine throughout its whole operating range from demanded engine start until demanded engine shut-down, in both normal and fault conditions.

• "Fibrous or filamentary materials" (0 1 8 9) 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.

• ^F108 ...

• "Fly-by-light system" (7) means a primary digital flight control system employing feedback to control the "aircraft" during flight, where the commands to the effectors/actuators are optical signals.

• "Fly-by-wire system" (7) means a primary digital flight control system employing feedback to control the "aircraft" during flight, where the commands to the effectors/actuators are electrical signals.

• "Focal plane array" (6 8) 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.

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

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

• "Frequency hopping" (5 6) 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) means the time (i.e., delay) taken by a signal when switched from an initial specified output frequency, to arrive at or within any of the following:

• a.

  ±100 Hz of a final specified output frequency of less than 1 GHz; or

  b.

  ±0,1 part per million of a final specified output frequency equal to or greater than 1 GHz.

• "Fuel cell" (8) is an electrochemical device that converts chemical energy directly into Direct Current (DC) electricity by consuming fuel from an external source.

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

• [^F109 “ Gate-All-Around Field-Effect Transistor ” (“ GAAFET ”) (3) means a device having a single or multiple semiconductor conduction channel element(s) with a common gate structure that surrounds and controls current in all of the semiconductor conduction channel elements.

• Note: This definition includes nanosheet or nanowire field-effect and surrounding gate transistors and other “GAAFET” semiconductor channel element structures. ^F109]

• "Hard selectors" (5) means data or set of data, related to an individual (e.g., family name, given name, email, street address, phone number or group affiliations).

• [^F98 “ High output diesel engines ” (9) are diesel engines with a specified brake mean effective pressure of 1.8 MPa or more at a speed of 2,300 r.p.m., provided the rated speed is 2,300 r.p.m. or more. ^F98]

• "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.

• "Hybrid integrated circuit" (3) means any combination of integrated circuit(s), or integrated circuit with [^F110 “circuit elements” ^F110] or [^F111 “discrete components” ^F111] 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.

  ^F112 ...

  ^F113 ...

• "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" (GSN GISN 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", "cryptographic activation", ‘cryptanalysis’, protection against compromising emanations and computer security.

  Technical Note:

  ‘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.

• "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.

• "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.

• "Interleaved Analogue-to-Digital Converter (ADC)" (3) means devices that have multiple ADC units that sample the same analogue input at different times such that when the outputs are aggregated, the analogue input has been effectively sampled and converted at a higher sampling rate.

• "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.

  NB: See also "magnetic gradiometer".

• "Intrusion software" (4 5) means "software" specially designed or modified to avoid detection by ‘monitoring tools’, or to defeat ‘protective countermeasures’, of a computer or network-capable device, and performing any of the following:

• a.

  The extraction of data or information, from a computer or network-capable device, or the modification of system or user data; or

  b.

  The modification of the standard execution path of a [^F114 “program” ^F114] or process in order to allow the execution of externally provided instructions.

• Notes:

• 1. "Intrusion software" does not include any of the following:

• a.

  Hypervisors, debuggers or Software Reverse Engineering (SRE) tools;

  b.

  Digital Rights Management (DRM) "software"; or

  c.

  "Software" designed to be installed by manufacturers, administrators or users, for the purposes of asset tracking or recovery.

• 2.Network-capable devices include mobile devices and smart meters.

• Technical Notes:

• 1. ‘Monitoring tools’: "software" or hardware devices, that monitor system behaviours or processes running on a device. This includes antivirus (AV) products, end point security products, Personal Security Products (PSP), Intrusion Detection Systems (IDS), Intrusion Prevention Systems (IPS) or firewalls

• 2. ‘Protective countermeasures’: techniques designed to ensure the safe execution of code, such as Data Execution Prevention (DEP), Address Space Layout Randomisation (ASLR) or sandboxing.

• "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 1 2 3 5 6 7 8 9) is an item that produces spatially and temporally coherent light through amplification by stimulated emission of radiation.

• NB:

• See also

  "Chemical laser";

  "CW laser";

  "Pulsed laser";

  "Super High Power Laser".

• "Library" (1) (parametric technical database) means a collection of technical information, reference to which may enhance the performance of relevant systems, equipment or components.

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

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

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

• a.

  Allows an arbitrary number of independent [^F115 “data devices” ^F115] to communicate directly with each other; and

  b.

  Is confined to a geographical area of moderate size (e.g., office building, plant, campus, warehouse).

• ^F116 ...

• "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.

• NB: 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.

• [^F99 “ Maintenance Level I ” (7) means the failure of an inertial navigation unit is detected on the “ aircraft ” by indications from the Control and Display Unit (CDU) or by the status message from the corresponding sub-system. By following the manufacturer’s manual, the cause of the failure may be localised at the level of the malfunctioning Line Replaceable Unit (LRU). The operator then removes the LRU and replaces it with a spare. ^F99]

• [^F99 “ Maintenance Level II ” (7) means the defective LRU is sent to the maintenance workshop (the manufacturer’s or that of the operator responsible for level II maintenance). At the maintenance workshop, the malfunctioning LRU is tested by various appropriate means to verify and localise the defective Shop Replaceable Assembly (SRA) module responsible for the failure. This SRA is removed and replaced by an operative spare. The defective SRA (or possibly the complete LRU) is then shipped to the manufacturer. “ Maintenance Level II ” does not include the disassembly or repair of specified accelerometers or gyro sensors. ^F99]

• "Materials resistant to corrosion by UF ₆ " (0) include copper, copper alloys, stainless steel, aluminium, aluminium oxide, aluminium alloys, nickel or alloys containing 60 % or more nickel by weight and fluorinated hydrocarbon polymers.

• "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).

• "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.

• NB: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 aerial vehicle systems, capable of delivering at least 500 kg payload to a range of at least 300 km.

• "Monofilament" (1) or filament is the smallest increment of fibre, usually several micrometres in diameter.

• "Monolithic integrated circuit" (3) means a combination of passive or active [^F117 “circuit elements” ^F117] 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 [^F118 chip^F118] ;

  b.

  Can be considered as indivisibly associated; and

  c.

  Perform the function(s) of a circuit.

• ^F119 ...

• "Monolithic Microwave Integrated Circuit" ("MMIC") (3 5) means a "monolithic integrated circuit" that operates at microwave or millimeter wave frequencies.

• "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".

• "Multiple channel Analogue-to-Digital Converter (ADC)" (3) means devices that integrate more than one ADC, designed so that each ADC has a separate analogue input.

• "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.

• ^F120 ...

• [^F99 “ Non-repetitive pulsed ” (6) means “ lasers ” that produce either a single output pulse or that have a time interval between pulses exceeding one minute. ^F99]

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

• "Numerical control" (2) means the automatic control of a process performed by a device that makes use of numeric data usually introduced as the operation is in progress (ref. ISO 2382:2015).

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

• "Operations, Administration or Maintenance" ("OAM") (5) means performing one or more of the following tasks:

• a.

  Establishing or managing any of the following:

  1.

  Accounts or privileges of users or administrators;

  2.

  Settings of an item; or

  3.

  Authentication data in support of the tasks described in paragraphs a.1. or a.2.;

  b.

  Monitoring or managing the operating condition or performance of an item; or

  c.

  Managing logs or audit data in support of any of the tasks described in paragraphs a. or b.

• Note:

• "OAM" does not include any of the following tasks or their associated key management functions:

• a.

  Provisioning or upgrading any cryptographic functionality that is not directly related to establishing or managing authentication data in support of the tasks described in paragraphs a.1. or a.2. above; or

  b.

  Performing any cryptographic functionality on the forwarding or data plane of an item.

• "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).

• ^F121 ...

• ^F122 ...

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

• "Peak power" (6) means the highest power attained in the "pulse duration".

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

• a.

  Allows an arbitrary number of independent or interconnected [^F123 “data devices” ^F123] to communicate directly with each other; and

  b.

  Is confined to the communication between devices within the immediate physical vicinity of an individual person or device controller (e.g., single room, office, or automobile).

• Technical Notes:

• ^F124 ...

• 2. The "local area network" extends beyond the geographical area of the "personal area network".

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

• "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 "production equipment" and specially designed software therefor integrated into installations for "development" or for one or more phases of "production".

• "Program" [^F125 (1 ^F126 ... 7) ^F125] 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 and means the time between the half-power points on the leading edge and trailing edge of an individual pulse.

• ^F127 ...

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

• ^F128 ...

• "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.

• "Radiant sensitivity" (6) is Radiant sensitivity (mA/W) = 0,807 × (wavelength in nm) × Quantum Efficiency (QE).

• Technical Note:

  QE is usually expressed as a percentage; however, for the purposes of this formula QE is expressed as a decimal number less than one, e.g., 78 % is 0,78.

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

• "Repeatability" (7) means the closeness of agreement among repeated measurements of the same variable under the same operating conditions when changes in conditions or non-operating periods occur between measurements. (Reference: IEEE ^F129 ... 528-2001 (one sigma standard deviation))

• "Required" (GTN 3 5 6 7 9), as applied to "technology", refers to only that portion of "technology" which is peculiarly responsible for achieving or extending the controlled performance levels, characteristics or functions. Such "required""technology" may be shared by different goods.

• [^F130 “ Resolution ” (2) means the least increment of a measuring device; on digital instruments, the least significant bit. ^F130]

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

• Technical Note:

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

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

• 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.

• NB: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.

• "Roving" (1) is a bundle (typically 12-120) of approximately parallel ‘strands’.

• NB: ‘Strand’ is a bundle of "monofilaments" (typically over 200) arranged approximately parallel.

• ^F131 ...

• "Sample rate" (3) for an Analogue-to-Digital Converter (ADC) means the maximum number of samples that are measured at the analogue input over a period of one second, except for oversampling ADCs. For oversampling ADCs the "sample rate" is taken to be its output word rate. "Sample rate" may also be referred to as sampling rate, usually specified in Mega Samples Per Second (MSPS) or Giga Samples Per Second (GSPS), or conversion rate, usually specified in Hertz (Hz).

• [^F99 “ Satellite ” (5 9) means a “ spacecraft ”, other than a “ space vehicle ”, designed to operate in orbit around Earth or another celestial body; “ satellites ” include orbital space stations. ^F99]

• "Satellite navigation system" (5 7) means a system consisting of ground stations, a constellation of [^F132 “satellites” ^F132] , and receivers, that enables receiver locations to be calculated on the basis of signals received from the satellites. It includes Global Navigation Satellite [^F132 “satellites” ^F132] ^F133 ... and Regional Navigation Satellite Systems ^F133 ....

• "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.

• "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 "programs" or ‘microprograms’ fixed in any tangible medium of expression.

• NB: ‘Microprogram’ 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) (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)).

• [^F134 “ Spacecraft ” (5 9) means a craft designed to operate in, persist in or transit through space in the form of a “satellite”, “space probe”, or “space vehicle”.

  Note:

  “ Spacecraft ” does not include landers, rovers, or other craft, limited by design to operate on or beneath the surface of, or in the atmosphere of an extra-terrestrial celestial body, or “sub-orbital craft”. ^F134]

• "Spacecraft bus" (9) means equipment that provides the support infrastructure of the "spacecraft" and location for the " [^F135 spacecraft mission equipment ^F135] ".

• [^F99 “ Spacecraft mission equipment ” (9) means equipment, designed to be located on a “ spacecraft bus ”, and to perform a mission in space or to enable the “ spacecraft ” to perform its mission (e.g., communications, observation, science, transport).

  Technical note: “ Spacecraft mission equipment ” is sometimes referred to as a spacecraft payload. ^F99]

• [^F99 “ Space probe ” (9) means a “ spacecraft ”, other than a “ satellite ” or “ space vehicle ”, designed not to return to Earth. ^F99]

• ^F136 ...

• "Space-qualified" (3 6 7) means designed, manufactured or qualified through successful testing, for operation at altitudes greater than 100 km above the surface of the Earth.

• NB: A determination that a specific item is "Space-qualified" by virtue of testing does not mean that other items in the same production run or model series are "Space-qualified" if not individually tested.

• [^F99 “ Space vehicle ” means “ spacecraft ” designed to provide transport for cargo or passengers.

  Note: “ Space vehicles ” include craft designed to safely return to Earth. ^F99]

• "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/m ² divided by specific weight in N/m ³ , 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/m ² divided by specific weight in N/m ³ , measured at a temperature of (296 ± 2) K ((23 ± 2)°C) and a relative humidity of (50 ± 5)%.

• "Spinning mass gyros" (7) means gyros which use a continually rotating mass to sense angular motion.

• "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)

• "Steady State Mode" (9) defines engine operation conditions, where the engine parameters, such as thrust/power, rpm and others, have no appreciable fluctuations, when the ambient air temperature and pressure at the engine inlet are constant.

• [^F99 “ Strong mechanical bond ” (9) means a bond having a bond strength equal to or greater than propellant strength. ^F99]

• "Sub-orbital craft" (9) means a craft having an enclosure designed for the transport of people or cargo which is designed to:

• a.

  Operate above the stratosphere;

  b.

  [^F137 Only perform non-orbital trajectories;^F137] and

  c.

  Land back on Earth with the people or cargo intact.

• "Substrate" (3) means a sheet of base material with or without an interconnection pattern and on which or within which [^F138 “discrete components” ^F138] or integrated circuits or both can be located.

• ^F139 ...

• ^F140 ...

• "Substrate blanks" (3 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 a stress rupture life greater than 1 000 hours at 400 MPa [^F141 and an ultimate tensile strength greater than 850 MPa, ^F141] at 922 K (649°C) or higher.

• "Superconductive" (1 3 5 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.

• NB: 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.

• ^F142 ...

• "Tape" (1) is a material constructed of interlaced or unidirectional "monofilaments", ‘strands’, "rovings", "tows", or "yarns", etc., usually pre-impregnated with resin.

• NB: ‘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, [^F143 algorithms, ^F143] tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories.

• ^F144 ...

• "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-to-steady-state registration" (6) (also referred to as the gravimeter’s response time) is the time over which the disturbing effects of platform induced accelerations (high frequency noise) are reduced.

• "Tip shroud" (9) means a stationary ring component (solid or segmented) attached to the inner surface of the engine turbine casing or a feature at the outer tip of the turbine blade, which primarily provides a gas seal between the stationary and rotating components.

• "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.

• NB: 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".

• "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".

• "Unidirectional positioning repeatability" (2) means the smaller of values R↑ and R↓ (forward and backward), as defined by 3.21 of ISO 230-2:2014 or national equivalents, of an individual machine tool axis.

• "Unmanned Aerial Vehicle" ("UAV") (9) means any aircraft capable of initiating flight and sustaining controlled flight and navigation without any human presence on board.

• "Uranium enriched in the isotopes 235 or 233" (0) means uranium containing the isotopes 235 or 233, or both, in an amount such that the abundance ratio of the sum of these isotopes to the isotope 238 is more than the ratio of the isotope 235 to the isotope 238 occurring in nature (isotopic ratio 0,71 per cent).

• "Use" (GTN NTN All) means operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing.

• "User-accessible programmability" (6) means the facility allowing a user to insert, modify or replace "programs" 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 electronic devices" (3) means electronic devices based on the interaction of an electron beam with an electromagnetic wave propagating in a vacuum circuit or interacting with radio-frequency vacuum cavity resonators. "Vacuum electronic devices" include klystrons, travelling-wave tubes, and their derivatives.

• "Vulnerability disclosure" (4) means the process of identifying, reporting or communicating a vulnerability to, or analysing a vulnerability with, individuals or organisations responsible for conducting or coordinating remediation for the [^F145 purposes ^F145] of resolving the vulnerability.

• [^F99 “ Wall-plug efficiency ” (6) means the ratio of “laser” output power (or “average output power”) to total electrical input power required to operate the “ laser ”, including the power supply/conditioning and thermal conditioning/heat exchanger. ^F99]

• "Yarn" (1) is a bundle of twisted ‘strands’.

• NB: ‘Strand’ is a bundle of "monofilaments" (typically over 200) arranged approximately parallel.

CATEGORY 0 – NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT

[0A] Systems, Equipment and Components

[0A001] "Nuclear reactors" and specially designed or prepared equipment and components therefor, as follows:

[0B] Test, Inspection and Production Equipment

[0B001] Plant for the separation of isotopes of "natural uranium", "depleted uranium" or"special fissile materials", and specially designed or prepared equipment and components therefor, as follows:

[0B002] Specially 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":

[0B003] Plant for the conversion of uranium and equipment specially designed or prepared therefor, as follows:

[0B004] Plant for the production or concentration of heavy water, deuterium and deuterium compounds and specially designed or prepared equipment and components therefor, as follows:

[0B005] Plant specially designed for the fabrication of "nuclear reactor" fuel elements and specially designed or prepared equipment therefor.

Technical Note:

Specially designed or prepared equipment for the fabrication of "nuclear reactor" fuel elements includes equipment which:

[0B006] Plant for the reprocessing of irradiated "nuclear reactor" fuel elements, and specially designed or prepared equipment and components therefor.

Note:

0B006 includes:

[0B007] Plant for the conversion of plutonium and equipment specially designed or prepared therefor, as follows:

[0C] Materials

[0C001] "Natural uranium" or "depleted uranium" or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing;

Note:

0C001 does not control the following:

[0C002] "Special fissile materials"

Note:

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

[0C003] Deuterium, heavy water (deuterium oxide) and other compounds of deuterium, and mixtures and solutions containing deuterium, in which the isotopic ratio of deuterium to hydrogen exceeds 1:5 000.

[0C004] Graphite having a purity level better than 5 parts per million ‘boron equivalent’ and with a density greater than 1,50 g/cm3 for use in a "nuclear reactor", in quantities exceeding 1 kg.

NB:

SEE ALSO 1C107.

Note 1:

For the purpose of export control, the [^F152 Secretary of State ^F152] will determine whether or not the exports of graphite meeting the above specifications are for "nuclear reactor" use. 0C004 does not control graphite having a purity level better than 5 ppm (parts per million) boron equivalent and with a density greater than 1,50 g/cm ³ not for use in a "nuclear reactor".

Note 2:

In 0C004, ‘boron equivalent’ (BE) is defined as the sum of BE _z for impurities (excluding BE _carbon since carbon is not considered an impurity) including boron, where:

BE_Z (ppm) = CF × concentration of element Z in ppm;

and σ_Β and σ_Ζ are the thermal neutron capture cross sections (in barns) for naturally occurring boron and element Z respectively; and A_B and A_Z are the atomic masses of naturally occurring boron and element Z respectively.

[0C005] Specially prepared compounds or powders for the manufacture of gaseous diffusion barriers, resistant to corrosion by UF6 (e.g. nickel or alloys containing 60 % by weight or more nickel, aluminium oxide and fully fluorinated hydrocarbon polymers), having a purity of 99,9 % by weight or more and a particle size less than 10 μm measured by ASTM B330 standard and a high degree of particle size uniformity.

[0D] Software

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

[0E] Technology

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

CATEGORY 1 – SPECIAL MATERIALS AND RELATED EQUIPMENT

[1A] Systems, Equipment and Components

[1A001] Components made from fluorinated compounds, as follows:

[1A002] "Composite" structures or laminates, as follows:

NB:

SEE ALSO 1A202, 9A010 and 9A110.

Note 1:

1A002 does not control "composite" structures or laminates made from epoxy resin impregnated carbon "fibrous or filamentary materials" for the repair of "civil aircraft" structures or laminates, having all of the following:

Note 2:

1A002 does not control semi-finished items^F153... specially designed for purely civilian applications as follows:

Note 3:

1A002.b.1. does not control semi-finished items containing a maximum of two dimensions of interwoven filaments and specially designed for applications as follows:

Note 4:

1A002 does not control finished items specially designed for a specific application.

Note 5:

1A002.b.1. does not control mechanically chopped, milled, or cut carbon "fibrous or filamentary materials" 25,0 mm or less in length.

[1A003] Manufactures of non-"fusible" aromatic polyimides in film, sheet, tape or ribbon form having any of the following:

Note:

1A003 does not control manufactures when coated or laminated with copper and designed for the [^F154 “production” ^F154] of electronic printed circuit boards.

NB:

For "fusible" aromatic polyimides in any form, see 1C008.a.3.

[1A004] Protective and detection equipment and components not specially designed for military use, as follows:

NB:

SEE ALSO MILITARY GOODS CONTROLS, 2B351 AND 2B352.

Technical Notes:

1.

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

2.

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

3.

For the purposes of 1A004, ‘radioactive materials’ are those selected or modified to increase their effectiveness in producing casualties in humans or animals, degrading equipment or damaging crops or the environment.

[1A005] Body armour and components therefor, as follows:

NB:

SEE ALSO MILITARY GOODS CONTROLS.

NB:

For "fibrous or filamentary materials" used in the manufacture of body armour, see 1C010.

Note 1:

1A005 does not control body armour when accompanying its user for the user’s own personal protection.

Note 2:

1A005 does not control body armour designed to provide frontal protection only from both fragment and blast from non-military explosive devices.

Note 3:

1A005 does not control body armour designed to provide protection only from knife, spike, needle or blunt trauma.

[1A006] Equipment, specially designed or modified for the disposal of Improvised Explosive Devices (IEDs), as follows, and specially designed components and accessories therefor:

NB:

SEE ALSO MILITARY GOODS CONTROLS.

Technical Note:

For the purposes of [^F156 1A006.b., ^F156] ‘disruptors’ are devices specially designed for the purpose of preventing the operation of an explosive device by projecting a liquid, solid or frangible projectile.

Note:

1A006 does not control equipment when accompanying its operator.

[1A007] Equipment and devices, specially designed to initiate charges and devices containing "energetic materials", by electrical means, as follows:

NB: SEE ALSO MILITARY GOODS CONTROLS, 3A229 AND 3A232.

[^F157 Technical Note:

For the purposes of 1A007., the word initiator or igniter is sometimes used in place of the word detonator.^F157]

[^F158 Technical Note:

For the purposes of 1A007.b., the detonators of concern all utilise a small electrical conductor (bridge, bridge wire, or foil) that explosively vaporises when a fast, high-current electrical pulse is passed through it. In non-slapper types, the exploding conductor starts a chemical detonation in a contacting high explosive material such as PETN (pentaerythritoltetranitrate). In slapper detonators, the explosive [^F159 vaporisation^F159] of the electrical conductor drives a flyer or slapper across a gap, and the impact of the slapper on an explosive starts a chemical detonation. The slapper in some designs is driven by magnetic force. The term exploding foil detonator may refer to either an EB or a slapper-type detonator.^F158]

[1A008] Charges, devices and components, as follows:

^F161...

[1A102] Resaturated pyrolized carbon-carbon components designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

[1A202] Composite structures, other than those specified in 1A002, in the form of [^F162thin-walled^F162] tubes and having [^F163all^F163] of the following characteristics:

NB:

SEE ALSO 9A010 AND 9A110.

[1A225] [^F168Wet-proofed platinised^F168] catalysts specially designed or prepared for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from ^F169... water or for the production [^F170or upgrading^F170] of heavy water.

[^F171 Technical Note:

In heavy water moderated reactors, upgraders maintain the heavy water concentration in the reactor core. Wet-proofed platinised catalysts can also be used to upgrade heavy water.^F171]

[1A226] Specialized packings which may be used in separating heavy water from ordinary water, having both of the following characteristics:

[1A227] High-density (lead glass or other) radiation shielding windows, having all of the following characteristics, and specially designed frames therefor:

Technical Note:

In 1A227 the term ‘cold area’ means the viewing area of the window exposed to the lowest level of radiation in the design application.

[1B] Test, Inspection and Production Equipment

[1B001] [^F172Equipment designed for the “production” of “composite” structures or laminates or “fibrous or filamentary materials”, as follows, and specially designed components and accessories therefor:^F172]

NB:

SEE ALSO 1B101 AND 1B201.

Technical Notes:

1.

[^F178 ‘Primary ^F178] servo positioning’ axes control, under computer [^F179 “program” ^F179] direction, [^F180 is the positioning ^F180] of the end effector (i.e., head) in space relative to the work piece at the correct orientation and direction to achieve the desired process.

2.

[^F181 A ^F181] ‘filament band’ is a single continuous width of fully or partially resin-impregnated tape, tow or fibre. Fully or partially resin-impregnated ‘filament bands’ include those coated with dry powder that tacks upon heating.

[1B002] Equipment designed to produce metal alloy powder or particulate materials, and having all of the following:

NB:

SEE ALSO 1B102.

[1B003] Tools, dies, moulds or fixtures, for "superplastic forming" or "diffusion bonding" titanium, aluminium or their alloys, specially designed for the manufacture of any of the following:

[1B101] Equipment, other than that specified in 1B001, for the "production" of structural composites as follows; and specially designed components and accessories therefor:

NB:

SEE ALSO 1B201.

Note:

Components and accessories specified in 1B101 include moulds, mandrels, dies, fixtures and tooling for the preform pressing, curing, casting, sintering or bonding of composite structures, laminates and manufactures thereof.

[1B102] Metal powder "production equipment", other than that specified in 1B002, and components as follows:

NB:

SEE ALSO 1B115.b.

Note:

1B102 includes:

[1B115] Equipment, other than that specified in 1B002 or 1B102, for the production of propellant and propellant constituents, as follows, and specially designed components therefor:

Note 1:

For equipment specially designed for the production of military goods, see the Military Goods Controls.

Note 2:

1B115 does not control equipment for the "production", handling and acceptance testing of boron carbide.

[1B116] Specially designed nozzles for producing pyrolitically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1 573 K (1 300°C) to 3 173 K (2 900°C) temperature range at pressures of 130 Pa to 20 kPa.

[1B117] Batch mixers having all of the following, and specially designed components therefor:

Note:

In 1B117.d. the term ‘mixing/kneading shaft’ does not refer to deagglomerators or knife-spindles.

[1B118] Continuous mixers having all of the following, and specially designed components therefor:

[1B119] Fluid energy mills usable for grinding or milling substances specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls, and specially designed components therefor.

[1B201] Filament winding machines, other than those specified in 1B001 or 1B101, and related equipment, as follows:

[1B225] Electrolytic cells for fluorine production with an output capacity greater than 250 g of fluorine per hour.

[1B226] Electromagnetic isotope separators designed for, or equipped with, single or multiple ion sources capable of providing a total ion beam current of 50 mA or greater.

Note:

1B226 includes separators:

[1B228] Hydrogen-cryogenic distillation columns having all of the following characteristics:

[^F187 Technical Notes:

[1B230] Pumps capable of circulating solutions of concentrated or dilute potassium amide catalyst in liquid ammonia (KNH2/NH3), having all of the following characteristics:

[1B231] Tritium facilities or plants, and equipment therefor, as follows:

[1B232] Turboexpanders or turboexpander-compressor sets having both of the following characteristics:

[1B233] Lithium isotope separation facilities or plants, and systems and equipment therefor, as follows:

[1B234] High explosive containment vessels, chambers, containers and other similar containment devices designed for the testing of high explosives or explosive devices and having both of the following characteristics:

NB:

SEE ALSO MILITARY GOODS CONTROLS.

[1B235] Target assemblies and components for the production of tritium as follows:

Technical Note:

Components specially designed for target assemblies for the production of tritium may include lithium pellets, tritium getters, and specially-coated cladding.

[1C] Materials

Technical Note:

• Metals and alloys:

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

• Crude forms:

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

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

  a.

  Wrought or worked materials fabricated by rolling, drawing, extruding, forging, impact extruding, pressing, graining, atomising, and grinding, i.e.^F188... angles, channels, circles, discs, dust, flakes, foils and leaf, forging, plate, powder, pressings and stampings, ribbons, rings, rods (including bare welding rods, wire rods, and rolled wire), sections, shapes, sheets, strip, pipe and tubes (including tube rounds, squares, and hollows), drawn or extruded wire;

  b.

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

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

[1C001] Materials specially designed for absorbing electromagnetic radiation, or intrinsically conductive polymers, as follows:

NB:

SEE ALSO 1C101.

[1C002] Metal alloys, metal alloy powder and alloyed materials, as follows:

NB: SEE ALSO 1C202.

Note: 1C002 does not control metal alloys, metal alloy powder and alloyed materials, specially formulated for coating purposes.

[^F193 Technical Note: For the purposes of 1C002, metal alloys are those containing a higher percentage by weight of the stated metal than of any other element.^F193]