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Comprehensive Change Note Summary for Council Regulation (EU)
No. 428/2009 - October 2015
The summary of control text changes is for information purposes only and has no force in law.
Change Note Summary - Page 1
ChangeNoteSummary_EUReg_2015.docx 2015
INTRODUCTION
This document summarises all the differences in the Regime Origin Guide as a result of
Regulation (EU) No. ****/2015 (published in OJ L*** on ** *** 2015). This replaces
Annex I of Council Regulation (EC) No. 428/2009 (published in OJ L134 on 29 May
2009), as amended by Regulation (EU) No. 1382/2014 (published in OJ L371 on 30 Dec
2014).
OVERVIEW
The changes implemented are a result of the review of the Wassenaar Arrangement (WA)
Dual Use Lists and Missile Technology Control Regime (MTCR) Technical Annexes.
EDITORIAL PRACTICES
In the circulated documents a full stop (period) is used to separate the whole numbers
from the decimals, and whole numbers are presented in a series of three, each series
being separated by a comma.
Whereas the publication in the Official Journal of the European Communities will use a
comma is used to separate the whole number from the decimals, and whole numbers are
presented in series of three, each series being separated by a thin space.
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Comprehensive Change Note Summary for Council Regulation (EU)
No. 428/2009 - October 2015
The summary of control text changes is for information purposes only and has no force in law.
Change Note Summary - Page 2
ChangeNoteSummary_EUReg_2015.docx 2015
SUMMARY OF CHANGES FOR EACH SECTION OF ANNEX I:
Contents, Notes &
Acronyms
CRISLA Edit Deleted, not used since 2014
CPU WA New acronym
Definition
"Civil aircraft" WA Definition amended
"Cryptographic activation" WA Definition amended
"Fly-by-light systems" WA New definition
"Fly-by-wire systems" WA New definition
"Library" WA New definition
"Operations,
Administration or
Maintenance"
WA New definition
"Plasma atomisation" WA New definition
"Spacecraft bus" WA New definition
"Spacecraft payload" WA New definition
"Unidirectional
positioning repeatability"
WA New definition
Category 0
0B001 Edit Minor editorial change.
0B001a Edit Minor editorial change.
0B001a6 Edit Reference to AVLIS removed.
0B001a7 Edit Reference to MLIS removed.
0B001g Edit Text to atomic vapour laser-based separation process control
better aligned to NSG text.
0B001h Edit Text to molecular laser-based separation process control better
aligned to NSG text.
0B005 Tech Note Edit Text to Tech Note better aligned to NSG text.
Category 1
1C002c2h WA New sub-entry for a process to manufacture metal alloys from
powder added.
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Comprehensive Change Note Summary for Council Regulation (EU)
No. 428/2009 - October 2015
The summary of control text changes is for information purposes only and has no force in law.
Change Note Summary - Page 3
ChangeNoteSummary_EUReg_2015.docx 2015
1C007 & a WA Control on ceramic powders amended.
1C008b WA Control on thermoplastic liquid crystal polymers deleted.
1C010 Tech Notes 1 & 2 WA Tech Note 1 for fibrous and filamentary materials amended; Tech
Notes 1 & 2 moved.
1C010d1b WA Consequential change as a result of 1C008b deletion.
1C010e Note 1 Edit Text corrected
1C101 WA Consequential change as a result of 9A012 re-write.
1C111a1 MTCR ISO reference amended in control mon aluminum powder.
1C111a4c, j & o MTCR CAS numbers added to the hydrazine derivatives.
1C111a5 & Note WA Consequential change as a result of 9A012 re-write.
1C111a6 & a MTCR New control on a. 1.2-Dimethylaminoethylazide (DMAZ).
1C111b2 Edit Text edit to control.
1C111b5 Tech Note MTCR CAS numbers added to Tech Note.
1C111b6 MTCR New control on Polyglycidyl nitrate (PGN or poly-GLYN).
1C111c6b, c, e, f, g, h, i, j,
k & l
WA MTCR ferrocene derivatives now moved to Military List.
1C111c6m Edit Edit to Military Goods reference.
1C237 Edit Text edit to control
1C241 Edit Control on rhenium amended to avoid double coverage.
1C350.29 Edit Reference to Military List chemical corrected.
1C351c7 Edit Text corrected
1C351c19 Tech Note Edit Tech Note re-positioned to correct control entry.
1C351d6 Edit Tech Note deleted from control, moved to 1C350c19.
1E002c, 1 & 1c WA Technology control on ceramic powders amended included the
deletion of sub-control 1E002c1c3.
1E002d WA Technology control on aromatic polyamide fibres deleted.
1E002g WA Technology control on libraries amended; Tech Note deleted.
Category 2
2B Tech Notes 3, 5, 6 & 7 WA Tech Notes re-written for machine tools; new Note 7.
2B001a1 WA Control on machine tools for turning amended to refer to
"unidirectional positioning repeatability" rather than "positioning
accuracy".
2B001b1, 2 & 3 WA Control on machine tools for milling amended to refer to
"unidirectional positioning repeatability" rather than "positioning
accuracy".
2B001c WA Control on machine tools for grinding amended to refer to
"unidirectional positioning repeatability" rather than "positioning
accuracy".
2B001e2b WA Minor amendment to control on certain machine tools for
removing materials.
2B104 Edit Regime reference added.
2B201 Tech Note Edit New Technical Note for positional accuracy added to NSG
controlled machine tools.
2B201a1, 3 & Note Edit Sub-entry 1 amended; new sub-entry for 5-axis machine tools;
Note amended.
2B201b1, 3 & Note Edit Sub-entry 1 amended; new sub-entry for 5-axis machine tools;
Note amended.
2B201c Edit NSG control for machine tools for turning added to remove
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Comprehensive Change Note Summary for Council Regulation (EU)
No. 428/2009 - October 2015
The summary of control text changes is for information purposes only and has no force in law.
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possible gap in controls.
2B201 Note 2 Edit Note 2 amended to account for new sub-entry c.
Category 3
3A001a2 & 2c Edit MTCR reference removed.
3A001a5a Edit MTCR reference removed.
3A001a5b1 WA Digital to Analogue Converter (DAC) control amended
3A001a7, a, b & Tech
Notes
WA Field programmable logic devices control amended; Tech Note 1
deleted and others renumbers.
3A001b7 WA Converters and harmonic mixters control re-written; new sub-
paragraphs added
3A001b10 WA Oscillators control re-written; sub-paragraphs deleted.
3A001b11f & g WA Parameters in frequency synthesiser control amended.
3A002a5c & Tech Note 3 WA Waveform recorders control amended with new sub-paragraph;
New Tech Note 3.
3A002c, 1, 2, 3 & 4a WA Radio frequency analysers now signal analysers; parameters
amended in sub-paragraphs.
3A002d, Note 1 & Tech
Note 1
WA Control on frequency synthesized signal generators now call
signal generator; control and sub-paragraphs substantially
amended; Note 1 and Tech Note amended.
3A002e1 & 2 WA Parameters amended in network analysers control.
3B001f1a, 1b & 2 WA Parameters amended in lithography equipment control.
Category 4
4D001b1 WA Parameter for digital computer software amended.
4D002 WA Computer support software control deleted.
4E001b1 WA Parameter for digital computer technology amended.
APP Note 6 WA Note 6 for Adjusted Peak Performance amended.
Category 5 Part 1
5D001b WA Support software control deleted.
5E001c1 WA Parameter for technology for equipment employing digital
techniques amended.
Category 5 Part 2
Note 1 WA Note on control status of information security equipment
amended.
Note 4c Edit Note on equipment incorporating cryptography amended.
5A002a WA Control chapeaux for information security equipment amended.
5A002a2 & Tech Note WA Control for Cryptanalytic equipment amended; New Tech Note.
5A002b WA Control on cryptographic activation items amended
5A002 Note j WA Cryptographic activation decontrol amended.
5A002 Note l WA New decontrol for certain router, switches and relays
5A002 Note m WA New decontrol for certain servers.
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Comprehensive Change Note Summary for Council Regulation (EU)
No. 428/2009 - October 2015
The summary of control text changes is for information purposes only and has no force in law.
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5D002c Note WA New Note for certain OAM cryptographic software
5D002d WA Software for cryptographic activation amended.
5E002 Edit Chapeaux amended.
5E002b WA Technology for cryptographic activation amended.
Category 6
6A001a1a2a2 & Tech
Note
WA Control parameter for control on underwater survey equipment
amended; Tech Note amended.
6A001a1a3 WA Control on side scan sonar amended.
6A001a1c, Note 1, 1, 1a,
1b & Tech Note
WA Control on acoustic projector re-written, including revised sub-
paragraph 1 and deleted sub-paragraph 2; New Tech Note.
6A003, a & b WA Control on streak cameras rewritten, now includes 2 sub-controls.
6A003b4 Note 3c WA Decontrol Note for certain imaging cameras amended.
6A003b4 Note 4b WA Decontrol Note for certain imaging cameras amended.
6A004a Tech Note WA New Tech note for optical mirrors.
6A004a1, a & b WA Control on deformable mirrors amended and now includes 2 sub-
controls.
6A004a4, a & b WA Control on mirrors for beam steering amended and now includes
2 sub-controls.
6A004d2, a & b WA Control on certain optical components amended and now
includes 2 sub-controls.
6A004d4 WA Control on certain alignment mirrors deleted.
6A005c Note WA Note to control on tunable lasers deleted.
6A005e2 & Note WA Control on optical mirrors for lasers amended; Note added.
6A005e3, a, b & c WA New control on fibre laser components including 3 new sub-
controls.
6C005a & b, b1, b1 Note,
b2 & Tech Notes
WA Control on laser materials re-written; new control on rare-earth
doped fibres added including 2 sub-controls , Note and 2 Tech
Notes.
6D003d WA New control on software for the alignment of mirrors.
Category 7
7A003 Note 2 WA Note to control on inertial measuring equipment amended.
7A105a WA Consequential change as a result of 9A012 re-write.
7D004c WA Control on source code for fly-by-wire and fly-by-light systems
amended.
7E004b & 1 WA Control on development technology for fly-by-wire and fly-by-
light systems amended.
7E004b7, a, a Tech Note,
b, b1, b2, b2 Tech Note,
b3, b3 Note & b4
WA New control for technology for fly-by-wire systems added.
7E004b8, a & b WA New control for technology for fly-by-wire systems added.
Category 8
8A001f WA Control on surface effect vehicles (fully skirted) deleted.
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Comprehensive Change Note Summary for Council Regulation (EU)
No. 428/2009 - October 2015
The summary of control text changes is for information purposes only and has no force in law.
Change Note Summary - Page 6
ChangeNoteSummary_EUReg_2015.docx 2015
8A001g WA Control on surface effect vehicles (rigid sidewalls) deleted.
8A001h WA Control on hydrofoil vessels deleted.
8A001i WA Control on small waterplane area vessels deleted.
8A002k WA Control on skirts, seals and fingers deleted.
8A002l WA Control on lift fans deleted.
8A002m WA Control on hydrofoils deleted.
8A002n WA Control on active control systems deleted.
8A002o1 WA Control on certain water-screw propeller systems deleted.
8E002c1, 2, 3 & 4 WA New control for technology for surface-effect vehicles, hydrofoil
vessels and small waterplane area vessels.
Category 9
9A001a Note a & b WA Note to control on aero gas turbine engines amended.
9A003 WA Control on components for certain aero gas turbine engines
amended.
9A004, a, b, c, d, e & f WA Space buses, spacecraft payloads and terrestrial equipment added
to control on spacecraft; 6 new sub-controls.
9A006e & h MTCR Regime reference amended
9A010a1, 2 & 3 WA Control on components for space vehicles amended, now
includes 3 new sub-controls.
9A010b1, 2 & 3 WA Control on components for space vehicles amended, now
includes 3 new sub-controls.
9A012a 1, 2 & Tech Notes
1, 2 & 3
WA Control on UAVs re-written; 3 new Tech Notes.
9A012b1, 2 & 4 & N.B. WA Control on UAV remote control and navigation sub-entries
deleted; UAV engines amended; Nota Bene added
9A101b WA Consequential change as a result of 9A012 re-write.
9A102 WA Consequential change as a result of 9A012 re-write.
9A106d Note a & c MTCR Note on propellant control systems amended; new Note c added
9A106e MTCR New control on combustion chambers and nozzles
9A111 WA Consequential change as a result of 9A012 re-write.
9A112, a & b WA New control for MTCR UAVs as a result of 9A012 re-write.
9A115a WA Consequential change as a result of 9A012 re-write.
9A117 N.B. Edit Editorial amendment.
9A118 WA Consequential change as a result of 9A012 re-write.
9B001, b & c WA Control on gas turbine blades manufacturing equipment
amended; new control on directional-solidification or single-
crystal additive-manufacturing equipment.
9B010 WA UAV production equipment amended.
9B106a1b Edit Edit to align with MTCR text.
9D003 WA Control on software used in FADEC systems amended.
9D004c WA Control on software for directional solidification or single crystal
material growth equipment amended
9D004e WA &
Edit
Control on software for UAVs amended; MTCR regime
reference added.
9D005 WA New control for software for spacecraft payload and telemetry
equipment.
9D103 Edit Control on software for modelling/simulation/design integration
amended to align with MTCR control.
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Comprehensive Change Note Summary for Council Regulation (EU)
No. 428/2009 - October 2015
The summary of control text changes is for information purposes only and has no force in law.
Change Note Summary - Page 7
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9D105 & Tech Note Edit Control on software for coordinating subsystems in UAVs and
rockets amended to align with MTCR control and take into
account WA control; New Tech Note added.
9E003a3, a, b, c & Tech
Note
WA Control on technology for certain gas turbine components re-
written; New Tech Note
9E003a4 WA Control on technology for uncoooled turbine blade, vanes or tip-
shrouds amended.
9E003h Note WA Note for FADEC technology control amended.
9E003j & N.B. WA New control for technology for development of wing-folding
systems; New Nota Bene.
9E101a & b WA &
Edit
Consequential change as a result of 9A012 re-write; Editorial
correction as 9A006 technology already specified by 9E001 and
9E002.
9E102 WA Consequential change as a result of 9A012 re-write.
Annex IV (consequential
changes only)
1C101 WA Consequential change as a result of 9A012 re-write.
5A002a2 WA To align with amended Annex I 5A002a2.
5E002a WA To align with current Annex I.
N.B. 0C004 NSG Nota Bene for graphite not needed as a result of 2014 change.
0C003 Edit Nota Bene for deuterium removed and specific entry added.
For your convenience the following pages show the actual text changes summarised in
the tables above. They were created by electronically comparing the current X24 series
with the proposed X25_1 series Word documents.
Contents, Notes & Acronyms
CNTD controlled nucleation thermal deposition
CPU central processing unit
CVD chemical vapour deposition
Definitions
"Civil aircraft" (1 3 4 7) means those "aircraft" listed by designation in published airworthiness certification
lists by civil aviation authorities of one or more "Participating States" to fly commercial civil internal and
external routes or for legitimate civil, private or business use.
N.B.: See also "aircraft".
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Comprehensive Change Note Summary for Council Regulation (EU)
No. 428/2009 - October 2015
The summary of control text changes is for information purposes only and has no force in law.
Change Note Summary - Page 8
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"Cryptographic activation" (5) means any technique that activates or enables cryptographic capability of an
item, by means of a secure 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.
"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.
"Library" (1) (parametric technical database) means a collection of technical information, reference to
which may enhance the performance of relevant systems, equipment or components.
"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.
"Plasma atomisation" (1) means a process to reduce a molten stream or solid metal to droplets of 500 µm
diameter or less, using plasma torches in an inert gas environment.
"Spacecraft bus" (9) means equipment that provides the support infrastructure of the "spacecraft" and
location for the "spacecraft payload".
"Spacecraft payload" (9) means equipment, attached to the "spacecraft bus", designed to perform a mission
in space (e.g., communications, observation, science).
"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.
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Comprehensive Change Note Summary for Council Regulation (EU)
No. 428/2009 - October 2015
The summary of control text changes is for information purposes only and has no force in law.
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Category 0
0B001 Plant for the separation of isotopes of "natural uranium", "depleted uranium" or
[IV] "special fissile materials", and specially designed or prepared equipment and components
therefor, as follows:
[T5] a. Plant specially designed for separating isotopes of "natural uranium", "depleted
uranium", or "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 plant;
7. Molecular "laser" isotope separation plant;
8. Plasma separation plant;
9. Electro magnetic separation plant;
0B001
[IV]
g. Equipment and components, specially designed or prepared for laser-based separation
processes using atomic vapour laser isotope separation, as follows:
[T5.7.1] 1. Uranium metal vaporization systems designed to achieve a delivered power of 1
kW or more on the target for use in laser enrichment;
h. Equipment and components, specially designed or prepared for laser-based separation
processes using molecular laser isotope separation, as follows:
[T5.7.5] 1. Supersonic expansion nozzles for cooling mixtures of UF6 and carrier gas to 150
K
(-123oC) or less and made from "materials resistant to corrosion by UF6";
0B005 Plant specially designed for the fabrication of "nuclear reactor" fuel elements and specially
[T4] designed or prepared equipment therefor.
[IV]
Technical Note:
Specially designed or prepared equipment for the fabrication of "nuclear reactor" fuel
elements includes equipment which:
1. Normally comes into direct contact with or directly processes or controls the
production flow of nuclear materials;
2. Seals the nuclear materials within the cladding;
3. Checks the integrity of the cladding or the seal;
4. Checks the finish treatment of the sealed fuel; or
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Comprehensive Change Note Summary for Council Regulation (EU)
No. 428/2009 - October 2015
The summary of control text changes is for information purposes only and has no force in law.
Change Note Summary - Page 10
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Category 1
1C002
c. Metal alloy powder or particulate material, having all of the following:
1. Made from any of the following composition systems:
Technical Note:
X in the following equals one or more alloying elements.
a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine engine parts or
components, i.e. with less than 3 non-metallic particles (introduced during
the manufacturing process) larger than 100 µm in 109 alloy particles;
b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si, Nb-Ti-X or
Nb-X-Ti);
c. Titanium alloys (Ti-Al-X or Ti-X-Al);
d. Aluminium alloys (Al-Mg-X or
Al-X-Mg, Al-Zn-X or Al-X-Zn,
Al-Fe-X or Al-X-Fe); or
e. Magnesium alloys (Mg-Al-X or Mg-X-Al);
2. Made in a controlled environment by any of the following processes:
a. "Vacuum atomisation";
b. "Gas atomisation";
c. "Rotary atomisation";
d. "Splat quenching";
e. "Melt spinning" and "comminution";
f. "Melt extraction" and "comminution";
g. "Mechanical alloying"; or
h. "Plasma atomisation"; and
3. Capable of forming materials specified in 1C002.a. or 1C002.b.;
1C007 Ceramic powders, non-"composite" ceramic materials, ceramic-"matrix" "composite"
[W] materials and precursor materials, as follows:
[M6C5*] N.B.: SEE ALSO 1C107.
[M6C6*]
a. Ceramic powders of single or complex borides of titanium, having total metallic
impurities, excluding intentional additions, of less than 5,000 ppm, an average particle
size equal to or less than 5 µm and no more than 10% of the particles larger than
10 µm;
1C008 Non-fluorinated polymeric substances as follows:
[W]
b. Not used;
c. Not used;
1C010 "Fibrous or filamentary materials", as follows:
[W] N.B.: SEE ALSO 1C210 AND 9C110.
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Comprehensive Change Note Summary for Council Regulation (EU)
No. 428/2009 - October 2015
The summary of control text changes is for information purposes only and has no force in law.
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Technical Notes:
1. For the purpose of calculating "specific tensile strength", "specific modulus" or specific weight of "fibrous or filamentary materials" in 1C010.a., 1C010.b., 1C010.c. or
1C010.e.1.b., the tensile strength and modulus should be determined by using Method A
described in ISO 10618 (2004) or national equivalents.
2. Assessing the "specific tensile strength", "specific modulus" or specific weight of non-unidirectional "fibrous or filamentary materials" (e.g., fabrics, random mats or braids)
in 1C010 is to be based on the mechanical properties of the constituent unidirectional
monofilaments (e.g., monofilaments, yarns, rovings or tows) prior to processing into the
non-unidirectional "fibrous or filamentary materials".
[N2C7a*] a. Organic "fibrous or filamentary materials", having all of the following:
1. "Specific modulus" exceeding 12.7 x 106 m; and
2. "Specific tensile strength" exceeding 23.5 x 104 m;
Note: 1C010.a. does not control polyethylene.
[N2C7a*] b. Carbon "fibrous or filamentary materials", having all of the following:
1. "Specific modulus" exceeding 14.65 x 106 m; and
2. "Specific tensile strength" exceeding 26.82 x 104 m;
Note: 1C010.b. does not control:
a. "Fibrous or filamentary materials", for the repair of "civil aircraft"
structures or laminates, having all of the following:
1. An area not exceeding 1 m2;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm.
b. Mechanically chopped, milled or cut carbon "fibrous or filamentary
materials" 25.0 mm or less in length.
[WS] c. Inorganic "fibrous or filamentary materials", having all of the following:
1. "Specific modulus" exceeding 2.54 x 106 m; and
2. Melting, softening, decomposition or sublimation point exceeding 1,922 K
(1,649°C) in an inert environment;
Note: 1C010.c. does not control:
a. Discontinuous, multiphase, polycrystalline alumina fibres in chopped
fibre or random mat form, containing 3 % by weight or more silica,
with a "specific modulus" of less than 10 x 106 m;
b. Molybdenum and molybdenum alloy fibres;
c. Boron fibres;
d. Discontinuous ceramic fibres with a melting, softening, decomposition
or sublimation point lower than 2,043 K (1,770°C) in an inert
environment.
1C010
[WS] d. "Fibrous or filamentary materials", having any of the following:
1. Composed of any of the following:
a. Polyetherimides specified in 1C008.a.; or
b. Materials specified in 1C008.d. to 1C008.f.; or
2. Composed of materials specified in 1C010.d.1.a. or 1C010.d.1.b. and
"commingled" with other fibres specified in 1C010.a., 1C010.b. or 1C010.c.;
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Comprehensive Change Note Summary for Council Regulation (EU)
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The summary of control text changes is for information purposes only and has no force in law.
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[N2C7c*] e. Fully or partially resin-impregnated or pitch-impregnated "fibrous or filamentary
materials"
[M6C1*] (prepregs), metal or carbon-coated "fibrous or filamentary materials" (preforms) or
"carbon fibre preforms", having all of the following:
1. Having any of the following:
a. Inorganic "fibrous or filamentary materials" specified in 1C010.c.; or
b. Organic or carbon "fibrous or filamentary materials", having all of the
following:
1. "Specific modulus" exceeding 10.15 x 106
m; and
2. "Specific tensile strength" exceeding 17.7 x 104
m; and
2. Having any of the following:
a. Resin or pitch, specified in 1C008 or 1C009.b.;
b. 'Dynamic Mechanical Analysis glass transition temperature (DMA Tg)'
equal to or exceeding 453 K (180ºC) and having a phenolic resin; or
c. 'Dynamic Mechanical Analysis glass transition temperature (DMA Tg)'
equal to or exceeding 505 K (232ºC) and having a resin or pitch, not
specified in 1C008 or 1C009.b., and not being a phenolic resin;
Note 1: Metal or carbon-coated "fibrous or filamentary materials" (preforms) or
"carbon fibre preforms, not impregnated with resin or pitch, are specified by
"fibrous or filamentary materials" in 1C010.a., 1C010.b. or 1C010.c.
1C101 Materials and devices for reduced observables such as radar reflectivity,
[M17A1*] ultraviolet/infrared signatures and acoustic signatures, other than those specified
[M17C1*] in 1C001, usable in 'missiles', "missile" subsystems or unmanned aerial vehicles specified in
9A012 or 9A112.a.
[IV]
Note 1: 1C101 includes:
a. Structural materials and coatings specially designed for reduced radar
reflectivity;
b. Coatings, including paints, specially designed for reduced or tailored
reflectivity or emissivity in the microwave, infrared or ultraviolet regions of
the electromagnetic spectrum.
Note 2: 1C101 does not include coatings when specially used for the thermal control of
satellites.
Technical Note:
In 1C101 'missile' means complete rocket systems and unmanned aerial vehicle systems
capable of a range exceeding 300 km.
1C111 Propellants and constituent chemicals for propellants, other than those specified in 1C011, as
follows:
a. Propulsive substances:
[M4C2c] 1. Spherical or spheroidal aluminium powder other than that specified in the Military
Goods Controls, in particle size of less than 200 µm and an aluminium content of
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The summary of control text changes is for information purposes only and has no force in law.
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97% by weight or more, if at least 10% of the total weight is made up of particles
of less than 63 µm, according to ISO 2591-1:1988 or national equivalents;
Technical Note:
A particle size of 63 µm (ISO R-565) corresponds to 250 mesh (Tyler) or 230
mesh (ASTM standard E-11).
[M4C2b] 4. Hydrazine derivatives as follows:
N.B.: SEE ALSO MILITARY GOODS CONTROLS.
a. Trimethylhydrazine (CAS 1741-01-1); b. Tetramethylhydrazine (CAS 6415-12-9); c. N,N diallylhydrazine (CAS 5164-11-4); d. Allylhydrazine (CAS 7422-78-8); e. Ethylene dihydrazine; f. Monomethylhydrazine dinitrate; g. Unsymmetrical dimethylhydrazine nitrate; h. Hydrazinium azide (CAS 14546-44-2); i. Dimethylhydrazinium azide; j. Hydrazinium dinitrate (CAS 13464-98-7); k. Diimido oxalic acid dihydrazine (CAS 3457-37-2); l. 2-hydroxyethylhydrazine nitrate (HEHN);
m. See Military Goods Controls for Hydrazinium perchlorate; n. Hydrazinium diperchlorate (CAS 13812-39-0); o. Methylhydrazine nitrate (MHN) (CAS 29674-96-2); p. Diethylhydrazine nitrate (DEHN); q. 3,6-dihydrazino tetrazine nitrate (1,4-dihydrazine nitrate) (DHTN);
[M4C2f] 5. High energy density materials, other than that specified in the Military Goods
Controls, usable in 'missiles' or unmanned aerial vehicles specified in 9A012 or
9A112.a.;
a. Mixed fuel that incorporate both solid and liquid fuels, such as boron slurry, having a mass-based energy density of 40 x 10
6 J/kg or greater;
b. Other high energy density fuels and fuel additives (e.g., cubane, ionic solutions, JP-10) having a volume-based energy density of 37.5 x 10
9 J/m
3 or
greater, measured at 20 oC and one atmosphere (101.325 kPa) pressure;
Note: 1C111.a.5.b. does not control fossil refined fuels and biofuels
produced from vegetables, including fuels for engines certified for
use in civil aviation, unless specially formulated for 'missiles' or
unmanned aerial vehicles specified in 9A012 or 9A112.a..
[M4C2g] 6. Hydrazine replacement fuels as follows:
a. 2-Dimethylaminoethylazide (DMAZ) (CAS 86147-04-8);
[M4C5*] b. Polymeric substances:
1. Carboxy-terminated polybutadiene (including carboxyl-terminated polybutadiene)
(CTPB);
2. Hydroxy-terminated polybutadiene (including hydroxyl-terminated
polybutadiene) (HTPB), other than that specified in the Military Goods Controls;
3. Polybutadiene-acrylic acid (PBAA);
4. Polybutadiene-acrylic acid-acrylonitrile (PBAN); 5. Polytetrahydrofuran polyethylene glycol (TPEG);
Technical Note:
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Polytetrahydrofuran polyethylene glycol (TPEG) is a block co-polymer of poly
1,4-Butanediol (CAS 110-63-4) and polyethylene glycol (PEG) (CAS 25322-68-3).
6. Polyglycidyl nitrate (PGN or poly-GLYN) (CAS 27814-48-8).
c. Other propellant additives and agents:
1. SEE MILITARY GOODS CONTROLS FOR
[M4C6c1] Carboranes, decaboranes, pentaboranes and derivatives thereof;
[M4C6d1] 2. Triethylene glycol dinitrate (TEGDN) (CAS 111-22-8);
[M4C6e1] 3. 2-Nitrodiphenylamine (CAS 119-75-5);
[M4C6d2] 4. Trimethylolethane trinitrate (TMETN) (CAS 3032-55-1);
[M4C6d4] 5. Diethylene glycol dinitrate (DEGDN) (CAS 693-21-0);
M4C6c2] 6. Ferrocene derivatives as follows:
a. See Military Goods Controls for catocene;
b. See Military Goods Controls for Ethyl ferrocene;
c. See Military Goods Controls for Propyl ferrocene;
d. See Military Goods Controls for n-butyl ferrocene;
e. See Military Goods Controls for Pentyl ferrocene;
f. See Military Goods Controls for Dicyclopentyl ferrocene;
g. See Military Goods Controls for Dicyclohexyl ferrocene;
h. See Military Goods Controls for Diethyl ferrocene;
i. See Military Goods Controls for Dipropyl ferrocene;
j. See Military Goods Controls for Dibutyl ferrocene;
k. See Military Goods Controls for Dihexyl ferrocene;
l. See Military Goods Controls for Acetyl ferrocene / 1,1’-diacetyl
ferrocene;
m. See Military Goods Controls for ferrocene carboxylic acids;
n. See Military Goods Controls for butacene;
1C237 Radium-226 (226
Ra), radium-226 alloys, radium-226 compounds, mixtures containing
[N2C12] radium-226, manufactures thereof, and products or devices containing any of the foregoing.
1C241 Rhenium, and alloys containing 90% by weight or more rhenium; and alloys of rhenium and
[N2C20] tungsten containing 90% by weight or more of any combination of rhenium and tungsten,
other than those specified in 1C226, having both of the following characteristics:
a. In forms with a hollow cylindrical symmetry (including cylinder segments) with an inside diameter between 100 and 300 mm; and
b. A mass greater than 20kg.
1C350 Chemicals, which may be used as precursors for toxic chemical agents, as follows, and
"chemical mixtures" containing one or more thereof:
[A & C*] N.B.: SEE ALSO MILITARY GOODS CONTROLS AND 1C450.
29. SEE MILITARY GOODS CONTROLS FOR
[C1] O-Ethyl O-2-diisopropylaminoethyl methyl phosphonite (QL) (57856-11-8);
[C3B] 30. Triethyl phosphite (122-52-1);
1C351
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[II] c. Bacteria, whether natural, enhanced or modified, either in the form of "isolated live
cultures" or as material including living material which has been deliberately inoculated
or contaminated with such cultures, as follows:
1. Bacillus anthracis;
2. Brucella abortus;
3. Brucella melitensis;
4. Brucella suis;
5. Burkholderia mallei (Pseudomonas mallei);
6. Burkholderia pseudomallei (Pseudomonas pseudomallei);
7. Chlamydophila psittaci (formerly known as Chlamydia psittaci);
19. Shiga toxin producing Escherichia coli (STEC) of serogroups O26, O45, O103,
O104, O111, O121, O145, O157, and other shiga toxin producing serogroups;
Technical Note:
Shiga toxin producing Escherichia coli (STEC) is also known as
enterohaemorrhagic E. coli (EHEC) or verocytotoxin producing E. coli (VTEC).
20. Shigella dysenteriae;
21. Vibrio cholerae;
22. Yersinia pestis;
1C351
[II] d. "Toxins", as follows, and "sub-unit of toxins" thereof:
1. Botulinum toxins;
2. Clostridium perfringens alpha, beta 1, beta 2, epsilon and iota toxins;
3. Conotoxin;
[C1][IV] 4. Ricin;
[C1][IV] 5. Saxitoxin;
6. Shiga toxin;
7. Staphylococcus aureus enterotoxins, hemolysin alpha toxin, and toxic shock
syndrome toxin (formerly known as Staphylococcus enterotoxin F);
1E002 Other "technology" as follows:
c. "Technology" for the design or "production" of the following ceramic powders or non-
"composite" ceramic materials:
1. Ceramic powders having all of the following:
a. Any of the following compositions:
1. Single or complex oxides of zirconium and complex oxides of silicon
or aluminium;
2. Single nitrides of boron (cubic crystalline forms);
3. Single or complex carbides of silicon or boron; or
4. Single or complex nitrides of silicon;
b. Any of the following total metallic impurities (excluding intentional
additions):
1. Less than 1,000 ppm for single oxides or carbides; or
2. Less than 5,000 ppm for complex compounds or single nitrides; and
c. Being any of the following:
1. Zirconia (CAS 1314-23-4) with an average particle size equal to or less
than 1 µm and no more than 10% of the particles larger than 5 µm; or
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2. Other ceramic powders with an average particle size equal to or less
than 5 µm and no more than 10% of the particles larger than 10 µm;
2. Non-"composite" ceramic materials composed of the materials specified in
1E002.c.1;
Note: 1E002.c.2. does not control "technology" for the design or production
of abrasives.
d. Not used;
[WS] e. "Technology" for the installation, maintenance or repair of materials specified in
1C001;
[WS] f. "Technology" for the repair of "composite" structures, laminates or materials specified
in 1A002, 1C007.c. or 1C007.d.;
Note: 1E002.f. does not control "technology" for the repair of "civil aircraft"
structures using carbon "fibrous or filamentary materials" and epoxy resins,
contained in aircraft manufacturers' manuals.
g. "Libraries" specially designed or modified to enable equipment to perform the functions
of equipment specified in 1A004.c. or 1A004.d.
Category 2
2B Test, Inspection and Production Equipment
Technical Notes:
1. Secondary parallel contouring axes, (e.g., the w-axis on horizontal boring mills or a
secondary rotary axis the centre line of which is parallel to the primary rotary axis) are
not counted in the total number of contouring axes. Rotary axes need not rotate over
360°. A rotary axis can be driven by a linear device (e.g., a screw or a rack-and-
pinion).
2. For the purposes of 2B, the number of axes which can be co-ordinated simultaneously
for "contouring control" is the number of axes along or around which, during
processing of the workpiece, simultaneous and interrelated motions are performed
between the workpiece and a tool. This does not include any additional axes along or
around which other relative movement within the machine are performed such as:
a. Wheel-dressing systems in grinding machines;
b. Parallel rotary axes designed for mounting of separate workpieces;
c. Co-linear rotary axes designed for manipulating the same workpiece by holding it
in a chuck from different ends.
3. Axis nomenclature shall be in accordance with International Standard ISO 841:2001,
Industrial automation systems and integration - Numerical control of machines -
Coordinate system and motion nomenclature.
4. For the purposes of 2B001 to 2B009 a "tilting spindle" is counted as a rotary axis.
5. 'Stated "unidirectional positioning repeatability"' may be used for each machine tool
model as an alternative to individual machine tests, and is determined as follows:
a. Select five machines of a model to be evaluated;
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b. Measure the linear axis repeatability (R↑,R↓) according to ISO 230-2:2014 and evaluate "unidirectional positioning repeatability" for each axis of each of the five
machines;
c. Determine the arithmetic mean value of the "unidirectional positioning
repeatability"-values for each axis of all five machines together. These arithmetic
mean values of "unidirectional positioning repeatability" ( ) become the stated
value of each axis for the model ( x, y, …);
d. Since the Category 2 list refers to each linear axis there will be as many 'stated
"unidirectional positioning repeatability"'-values as there are linear axes;
e. If any axis of a machine model not controlled by 2B001.a. to 2B001.c. has a
'stated "unidirectional positioning repeatability"' equal to or less than the
specified "unidirectional positioning repeatability" of each machine tool model
plus 0.7 µm,, the builder should be required to reaffirm the accuracy level once
every eighteen months.
6. For the purposes of 2B001.a. to 2B001.c., measurement uncertainty for the
"unidirectional positioning repeatability" of machine tools, as defined in the
International Standard ISO 230-2:2014 or national equivalents, shall not be
considered.
7. For the purpose of 2B001.a. to 2B001c., the measurement of axes shall be made
according to test procedures in 5.3.2. of ISO 230-2:2014. Tests for axes longer than 2
meters shall be made over 2 m segments. Axes longer than 4 m require multiple tests
(e.g., two tests for axes longer than 4 m and up to 8 m, three tests for axes longer than 8
m and up to 12 m), each over 2 m segments and distributed in equal intervals over the
axis length. Test segments are equally spaced along the full axis length, with any
excess length equally divided at the beginning, in between, and at the end of the test
segments. The smallest "unidirectional positioning repeatability"-value of all test
segments is to be reported.
[N1B2a*] a. Machine tools for turning having all of the following:
1. "Unidirectional positioning repeatability" equal to or less (better) than 1.1 µm along
one or more linear axis; and
2. Two or more axes which can be coordinated simultaneously for "contouring
control";
Note: 2B001.a. does not control turning machines specially designed for
producing contact lenses, having all of the following:
a. Machine controller limited to using ophthalmic based software for part programming data input; and
b. No vacuum chucking.
[N1B2b*] b. Machine tools for milling having any of the following:
1. Having all of the following:
a. "Unidirectional positioning repeatability" equal to or less (better) than 1.1 µm
along one or more linear axis; and
b. Three linear axes plus one rotary axis which can be coordinated
simultaneously for "contouring control";
2. Five or more axes which can be coordinated simultaneously for "contouring
control" having any of the following;
UPR
UPR UPR
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N.B.: 'Parallel mechanism machine tools' are specified in 2B001.b.2.d.
a. "Unidirectional positioning repeatability" equal to or less (better) than 1.1
µm along one or more linear axis with a travel length less than 1 m;
b. "Unidirectional positioning repeatability" equal to or less (better) than 1.4 µm
along one or more linear axis with a travel length equal to or greater than 1 m
and less than 4 m;
c. "Unidirectional positioning repeatability" equal to or less (better) than 6.0
µm along one or more linear axis with a travel length equal to or greater than
4 m; or
d. Being a 'parallel mechanism machine tool';
Technical Note:
A 'parallel mechanism machine tool' is a machine tool having multiple rods
which are linked with a platform and actuators; each of the actuators
operates the respective rod simultaneously and independently.
3. A "unidirectional positioning repeatability" for jig boring machines, equal to or less (better) than 1.1 µm along one or more linear axis; or
4. Fly cutting machines having all of the following:
a. Spindle "run-out" and "camming" less (better) than 0.0004 mm TIR; and
b. Angular deviation of slide movement (yaw, pitch and roll) less (better) than
2 seconds of arc, TIR over 300 mm of travel;
[N1B2c*] c. Machine tools for grinding having any of the following:
1. Having all of the following:
a. "Unidirectional positioning repeatability" equal to or less (better) than 1.1
µm along one or more linear axis; and
b. Three or more axes which can be coordinated simultaneously for "contouring
control"; or
2. Five or more axes which can be coordinated simultaneously for "contouring
control" having any of the following:
a. "Unidirectional positioning repeatability" equal to or less (better) than 1.1
µm along one or more linear axis with a travel length less than 1 m;
b. "Unidirectional positioning repeatability" equal to or less (better) than 1.4
µm along one or more linear axis with a travel length equal to or greater than
1 m and less than 4 m; or
c. "Unidirectional positioning repeatability" equal to or less (better) than 6.0 µm
along one or more linear axis with a travel length equal to or greater than 4 m.
Note: 2B001.c. does not control grinding machine as follows:
a. Cylindrical external, internal, and external-internal grinding machines,
having all of the following:
1. Limited to cylindrical grinding; and
2. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length.
b. Machines designed specifically as jig grinders that do not have a z-axis
or a w-axis, with a "unidirectional positioning repeatability" less
(better) than 1.1 µm.
c. Surface grinders.
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e. Machine tools for removing metals, ceramics or "composites", having all of the
following:
1. Removing material by means of any of the following:
a. Water or other liquid jets, including those employing abrasive additives;
b. Electron beam; or
c. "Laser" beam; and
2. At least two rotary axes having all of the following:
a. Can be coordinated simultaneously for "contouring control"; and
b. A positioning "accuracy" of less (better) than 0.003°;
2B104 "Isostatic presses", other than those specified in 2B004, having all of the following:
[M6B3] N.B.: SEE ALSO 2B204.
[N1B5*]
a. Maximum working pressure of 69 MPa or greater;
b. Designed to achieve and maintain a controlled thermal environment of 873 K (600°C)
or greater; and
c. Possessing a chamber cavity with an inside diameter of 254 mm or greater.
2B201 Machine tools and any combination thereof, other than those specified in 2B001, as follows,
for removing or cutting metals, ceramics or "composites", which, according to the
manufacturer’s technical specification, can be equipped with electronic devices for
simultaneous "contouring control" in two or more axes:
Technical Note:
Stated 'positioning accuracy' levels derived under the following procedures from
measurements made according to ISO 230/2 (1988)1 or national equivalents may be used for
each machine tool model if provided to, and accepted by, national authorities instead of
individual machine tests.
Determination of 'Stated positioning accuracy':
a. Select five machines of a model to be evaluated;
b. Measure the linear axis accuracies according to ISO 230/2 (1988)1;
c. Determine the accuracy values (A) for each axis of each machine. The method of
calculating the accuracy value is described in the ISO 230/2 (1988)1 standard;
d. Determine the average accuracy value of each axis. This average value becomes the
stated 'positioning accuracy' of each axis for the model (Âx Ây...);
e. Since Item 2B201 refers to each linear axis, there will be as many stated 'positioning
accuracy' values as there are linear axes;
f. If any axis of a machine tool not controlled by 2B201.a., 2B201.b. or 2B201.c.. has a
stated 'positioning accuracy' of 6 µm or better (less) for grinding machines, and 8 µm
or better (less) for milling and turning machines, both according to ISO 230/2 (1988)1,
then the builder should be required to reaffirm the accuracy level once every eighteen
months.
[N1B2b] a. Machine tools for milling, having any of the following characteristics:
1. 'Positioning accuracies' with "all compensations available" equal to or less (better)
than 6 µm according to ISO 230/2 (1988) 1
or national equivalents along any linear
axis;
1 Manufacturers calculating positioning accuracy in accordance with ISO 230/2 (1997) or (2006) should
consult the competent authorities of the Member State in which they are established.
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2. Two or more contouring rotary axes; or 3. Five or more axes which can be coordinated simultaneously for "contouring
control";
Note: 2B201.a. does not control milling machines having the following
characteristics:
a. X-axis travel greater than 2 m; and
b. Overall 'positioning accuracy' on the x-axis more (worse) than 30 µm.
[N1B2c] b. Machine tools for grinding, having any of the following characteristics:
1. 'Positioning accuracies' with "all compensations available" equal to or less (better)
than 4 µm according to ISO 230/2 (1988)1 or national equivalents along any
linear axis;
2. Two or more contouring rotary axes; or 3. Five or more axes which can be coordinated simultaneously for "contouring
control";
Note: 2B201.b. does not control grinding machines as follows:
a. Cylindrical external, internal, and external-internal grinding machines
having all of the following characteristics:
1. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length; and
2. Axes limited to x, z and c;
b. Jig grinders that do not have a z-axis or a w-axis with an overall
'positioning accuracy' less (better) than 4 µm according to ISO 230/2
(1988)1 or national equivalents.
[N1B2a] c. Machine tools for turning, that have 'positioning accuracies' with all compensations
available better (less) than 6 μm according to ISO 230/2 (1988) 1 along any linear axis
(overall positioning) for machines capable of machining diameters greater than 35 mm;
Note: 2B201.c. does not control bar machines (Swissturn), limited to machining
only bar feed thru, if maximum bar diameter is equal to or less than 42 mm
and there is no capability of mounting chucks. Machines may have drilling
and/or milling capabilities for machining parts with diameters less than 42
mm.
Note 1: 2B201 does not control special purpose machine tools limited to the manufacture
of any of the following parts:
a. Gears; b. Crankshafts or camshafts; c. Tools or cutters; d. Extruder worms.
Note 2: A machine tool having at least two of the three turning, milling or grinding
capabilities (e.g., a turning machine with milling capability), must be evaluated
against each applicable entry 2B201.a., b. or c.
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Category 3
3A001 a.
2. "Microprocessor microcircuits", "microcomputer microcircuits", microcontroller
microcircuits, storage integrated circuits manufactured from a compound
semiconductor, analogue-to-digital converters, digital-to-analogue converters,
electro-optical or "optical integrated circuits" designed for "signal processing",
field programmable logic devices, custom integrated circuits for which either the
function is unknown or the control status of the equipment in which the integrated
circuit will be used is unknown, Fast Fourier Transform (FFT) processors,
electrical erasable programmable read-only memories (EEPROMs), flash
memories or static random-access memories (SRAMs), having any of the
following:
a. Rated for operation at an ambient temperature above 398 K (125°C);
b. Rated for operation at an ambient temperature below 218 K (-55°C); or
c. Rated for operation over the entire ambient temperature range from 218 K (-
55°C) to 398 K (125°C);
Note: 3A001.a.2. does not control integrated circuits for civil automobiles or
railway train applications.
5. Analogue-to-Digital Converter (ADC) and Digital-to-Analogue Converter (DAC)
integrated circuits, as follows:
a. ADCs having any of the following:
N.B. SEE ALSO 3A101 1. A resolution of 8 bit or more, but less than 10 bit, with an output rate
greater than 1,000 million words per second;
3A001 a. 5.
b. Digital-to-Analogue Converters (DAC) having any of the following:
1. A resolution of 10 bit or more with an 'adjusted update rate' of greater
than 3,500 MSPS; or
3A001 a.
7. Field programmable logic devices having any of the following:
a. A maximum number of single-ended digital input/outputs of greater than
700; or
b. An 'aggregate one-way peak serial transceiver data rate' of 500 Gb/s or
greater;
Note: 3A001.a.7. includes:
- Simple Programmable Logic Devices (SPLDs)
- Complex Programmable Logic Devices (CPLDs)
- Field Programmable Gate Arrays (FPGAs)
- Field Programmable Logic Arrays (FPLAs)
- Field Programmable Interconnects (FPICs)
Technical Notes:
1. Maximum number of digital input/outputs in 3A001.a.7.a. is also referred to
as the maximum user input/outputs or maximum available input/outputs,
whether the integrated circuit is packaged or bare die.
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2. 'Aggregate one-way peak serial transceiver data rate' is the product of the
peak serial one-way transceiver data rate times the number of transceivers
on the FPGA.
3A001 b.
7. Converters and harmonic mixers, that are any of the following:
a. Designed to extend the frequency range of "signal analysers" beyond 90
GHz;
b. Designed to extend the operating range of signal generators as follows:
1. Beyond 90 GHz;
2. To an output power greater than 100 mW (20 dBm) anywhere within
the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
c. Designed to extend the operating range of network analysers as follows:
1. Beyond 110 GHz;
2. To an output power greater than 31.62 mW (15 dBm) anywhere within
the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
3. To an output power greater than 1 mW (0 dBm) anywhere within the
frequency range exceeding 90 GHz but not exceeding 110 GHz; or
d. Designed to extend the frequency range of microwave test receivers beyond
110 GHz;
10. Oscillators or oscillator assemblies, specified to operate with a single sideband
(SSB) phase noise, in dBc/Hz, less (better) than -(126 + 20 log10F - 20 log10f))
anywhere within the range of 10 Hz ≤ F ≤ 10 kHz;
Technical Note:
In 3A001.b.10., F is the offset from the operating frequency in Hz and f is the
operating frequency in MHz.
11. "Frequency synthesiser" "electronic assemblies" having a "frequency switching
time" as specified by any of the following:
a. Less than 156 ps;
b. Less than 100 µs for any frequency change exceeding 1.6 GHz within the
synthesised frequency range exceeding 4.8 GHz but not exceeding
10.6 GHz;
c. Less than 250 µs for any frequency change exceeding 550 MHz within the
synthesised frequency range exceeding 10.6 GHz but not exceeding
31.8 GHz;
d. Less than 500 µs for any frequency change exceeding 550 MHz within the
synthesised frequency range exceeding 31.8 GHz but not exceeding
43.5 GHz;
e. Less than 1 ms for any frequency change exceeding 550 MHz within the
synthesised frequency range exceeding 43.5 GHz but not exceeding 56 GHz;
f. Less than 1 ms for any frequency change exceeding 2.2 GHz within the
synthesized frequency range exceeding 56 GHz but not exceeding 90 GHz;
or
g. Less than 1 ms within the synthesized frequency range exceeding 90 GHz;
3A002 General purpose electronic equipment as follows:
[W] a. Recording equipment and oscilloscopes as follows:
5. Waveform digitisers and transient recorders, having all of the following:
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a. Digitising rate equal to or more than 200 million samples per second and a
resolution of 10 bit or more;
b. A 'continuous throughput' of 2 Gbit/s or more; and
c. Triggered acquisition of transients or aperiodic signals.
Technical Notes:
1. For those instruments with a parallel bus architecture, the 'continuous
throughput' rate is the highest word rate multiplied by the number of bits in
a word.
2. 'Continuous throughput' is the fastest data rate the instrument can output to
mass storage without the loss of any information whilst sustaining the
sampling rate and analogue-to-digital conversion.
3. For the purposes of 3A002.a.5.c., acquisition can be triggered internally or
externally.
c. "Signal analysers" as follows:
1. "Signal analysers" having a 3 dB resolution bandwidth (RBW) exceeding 10 MHz
anywhere within the frequency range exceeding 31.8 GHz but not exceeding 37
GHz;
2. "Signal analysers" having Displayed Average Noise Level (DANL) less (better)
than -150 dBm/Hz anywhere within the frequency range exceeding 43.5 GHz but
not exceeding 90 GHz;
3. "Signal analysers" having a frequency exceeding 90 GHz;
4. "Signal analysers" having all of the following:
a. "Real-time bandwidth" exceeding 170 MHz; and
b. 100% probability of discovery with less than a 3 dB reduction from full
amplitude due to gaps or windowing effects of signals having a duration of
15 s or less;
Technical Notes:
1. Probability of discovery in 3A002.c.4.b. is also referred to as
probability of intercept or probability of capture.
2. For the purposes of 3A002.c.4.b., the duration for 100% probability of
discovery is equivalent to the minimum signal duration necessary for
the specified level measurement uncertainty.
Note: 3A002.c.4. does not control those "signal analysers" using only
constant percentage bandwidth filters (also known as octave or
fractional octave filters).
3A002
d. Signal generators having any of the following:
1. Specified to generate pulse-modulated signals having all of the following,
anywhere within the frequency range exceeding 31.8 GHz but not exceeding 37
GHz:
a. 'Pulse duration' of less than 25 ns; and
b. On/off ratio equal to or exceeding 65 dB;
2. An output power exceeding 100 mW (20 dBm) anywhere within the frequency
range exceeding 43.5 GHz but not exceeding 90 GHz;
3. A "frequency switching time" as specified by any of the following:
a. Not used;
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b. Less than 100 µs for any frequency change exceeding 2.2 GHz within the
frequency range exceeding 4.8 GHz but not exceeding 31.8 GHz;
c. Not used;
d. Less than 500 µs for any frequency change exceeding 550 MHz within the
frequency range exceeding 31.8 GHz but not exceeding 37 GHz;
e. Less than 100 µs for any frequency change exceeding 2.2 GHz within the
frequency range exceeding 37 GHz but not exceeding 90 GHz; or
f. Not used;
4. Single sideband (SSB) phase noise, in dBc/Hz, specified as being any of the
following:
a. Less (better) than -(126 + 20log10F - 20log10f) anywhere within the range of
10 Hz < F < 10 kHz anywhere within the frequency range exceeding 3.2
GHz but not exceeding 90 GHz; or
b. Less (better) than –(206- 20log10f) anywhere within the range of
10 kHz < F ≤ 100 kHz anywhere within the frequency range exceeding 3.2
GHz but not exceeding 90 GHz; or
Technical Note:
In 3A002.d.4., F is the offset from the operating frequency in Hz and f is the
operating frequency in MHz;
5. A maximum frequency exceeding 90 GHz;
Note 1.: For the purpose of 3A002.d., signal generators include arbitrary waveform
and function generators.
Note 2.: 3A002.d. does not control equipment in which the output frequency is either
produced by the addition or subtraction of two or more crystal oscillator
frequencies, or by an addition or subtraction followed by a multiplication of
the result.
Technical Notes:
1. The maximum frequency of an arbitrary waveform or function generator is
calculated by dividing the sample rate, in samples/second, by a factor of 2.5.
2. For the purposes of 3A002.d.1.a, 'pulse duration' is defined as the time interval
from the point on the leading edge that is 50% of the pulse amplitude to the point
on the trailing edge that is 50% of the pulse amplitude.
3A002
e. Network analysers having any of the following:
1. An output power exceeding 31.62 mW (15 dBm) anywhere within the operating
frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
2. An output power exceeding 1 mW (0 dBm) anywhere within the operating
frequency range exceeding 90 GHz but not exceeding 110 GHz;
3. 'Nonlinear vector measurement functionality' at frequencies exceeding 50 GHz but
not exceeding 110 GHz; or
Technical Note
'Nonlinear vector measurement functionality' is an instrument’s ability to analyse
the test results of devices driven into the large-signal domain or the non-linear
distortion range.
3B001
f. Lithography equipment as follows:
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1. Align and expose step and repeat (direct step on wafer) or step and scan (scanner)
equipment for wafer processing using photo-optical or X-ray methods and having
any of the following:
a. A light source wavelength shorter than 193 nm; or
b. Capable of producing a pattern with a 'Minimum Resolvable Feature size'
(MRF) of 45 nm or less;
Technical Note:
The 'Minimum Resolvable Feature size' (MRF) is calculated by the following
formula:
MRF = (an exposure light source wavelength in nm) x (K factor)
numerical aperture
where the K factor = 0.35
2. Imprint lithography equipment capable of producing features of 45 nm or less;
Note: 3B001.f.2. includes:
- Micro contact printing tools
- Hot embossing tools
- Nano-imprint lithography tools
- Step and flash imprint lithography (S-FIL) tools
Category 4
4D001 "Software" as follows:
[W]
[WS*] a. "Software" specially designed or modified for the "development" or "production" of
equipment or "software" specified in 4A001 to 4A004, or 4D.
b. "Software", other than that specified in 4D001.a., specially designed or modified for the
"development" or "production" of equipment as follows:
[WS*] 1. "Digital computers" having an "Adjusted Peak Performance" ("APP") exceeding
1.0 Weighted TeraFLOPS (WT);
2. "Electronic assemblies" specially designed or modified for enhancing
performance by aggregation of processors so that the "APP" of the aggregation
exceeds the limit in 4D001.b.1.
4D002 Not used.
4E001
b. "Technology", other than that specified in 4E001.a., specially designed or modified for
the "development" or "production" of equipment as follows:
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[WS*] 1. "Digital computers" having an "Adjusted Peak Performance" ("APP") exceeding
1.0 Weighted TeraFLOPS (WT);
2. "Electronic assemblies" specially designed or modified for enhancing performance by aggregation of processors so that the "APP" of the aggregation exceeds the limit
in 4E001.b.1.
TECHNICAL NOTE ON "ADJUSTED PEAK PERFORMANCE" ("APP")
Note 6 "APP" values must be calculated for processor combinations containing processors specially
designed to enhance performance by aggregation, operating simultaneously and sharing memory;
Technical Note:
1. Aggregate all processors and accelerators operating simultaneously and located on the same die.
2. Processor combinations share memory when any processor is capable of accessing any memory location in the system through the hardware transmission of cache lines or memory
words, without the involvement of any software mechanism, which may be achieved using
"electronic assemblies" specified in 4A003.c.
Category 5
5D001 "Software" as follows:
b. Not used;
5E001 "Technology" as follows:
c. "Technology" according to the General Technology Note for the "development" or
"production" of any of the following:
1. Equipment employing digital techniques designed to operate at a "total digital
transfer rate" exceeding 560 Gbit/s;
Technical Note:
For telecommunication switching equipment the "total digital transfer rate" is the
unidirectional speed of a single interface, measured at the highest speed port or
line.
Part 2 - "INFORMATION SECURITY"
Note 1: The control status of "information security" items or functions is determined in
Category 5, Part 2 even if they are components, "software" or functions of other
systems or equipment.
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Note 4: Category 5 – Part 2 does not control items incorporating or using "cryptography"
and meeting all of the following:
a. The primary function or set of functions is not any of the following:
1. "Information security";
2. A computer, including operating systems, parts and components
therefor;
3. Sending, receiving or storing information (except in support of
entertainment, mass commercial broadcasts, digital rights management
or medical records management); or
4. Networking (includes operation, administration, management and
provisioning);
b. The cryptographic functionality is limited to supporting their primary
function or set of functions; and
c. When necessary, details of the items are accessible and will be provided,
upon request, to the competent authorities of the Member State in which the
exporter is established in order to ascertain compliance with conditions
described in paragraphs a. and b. above.
5A002 "Information security" systems, equipment and components therefor, as follows:
[W]
a. Systems, equipment and components, for "information security", as follows:
N.B.: For the control of Global Navigation Satellite Systems (GNSS) receiving
equipment containing or employing decryption, see 7A005 and for related
decryption "software" and "technology" see 7D005 and 7E001.
[IV] 2. Designed or modified to perform 'cryptanalytic functions';
Note: 5A002.a.2. includes systems or equipment, designed or modified to
perform 'cryptanalytic functions' by means of reverse engineering.
Technical Note
'Cryptanalytic functions' are functions designed to defeat cryptographic
mechanisms in order to derive confidential variables or sensitive data, including
clear text, passwords or cryptographic keys.
b. Systems, equipment and components, designed or modified to enable, by means of
"cryptographic activation" an item to achieve or exceed the controlled performance
levels for functionality specified by 5A002.a. that would not otherwise be enabled.
Note: 5A002 does not control any of the following:
j. Equipment, having no functionality specified by 5A002.a.2., 5A002.a.4.,
5A002.a.7., 5A002.a.8. or 5A002.b.,meeting all of the following: :
1. All cryptographic capability specified by 5A002.a. meets any of the
following:
a. It cannot be used; or
b. It can only be made useable by means of "cryptographic
activation"; and
2. When necessary as determined by the competent authorities of the
Member State in which the exporter is established, details of the
equipment are accessible and will be provided to the authority upon
request, in order to ascertain compliance with conditions described
above;
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N.B. 1: See 5A002.a. for equipment that has undergone "cryptographic
activation".
N.B. 2: See also 5A002.b., 5D002.d. and 5E002.b.
k. Mobile telecommunications Radio Access Network (RAN) equipment
designed for civil use, which also meet the provisions of paragraphs a.2. to
a.4. of the Cryptography Note (Note 3 in Category 5, Part 2), having an RF
output power limited to 0.1W (20 dBm) or less, and supporting 16 or fewer
concurrent users.
l. Routers, switches or relays, where the "information security" functionality is
limited to the tasks of "Operations, Administration or Maintenance"
("OAM") implementing only published or commercial cryptographic
standards; or
m. General purpose computing equipment or servers, where the "information
security" functionality meets all of the following:
1. Uses only published or commercial cryptographic standards; and
2. Is any of the following:
a. Integral to a CPU that meets the provisions of Note 3 to Category
5–Part 2;
b. Integral to an operating system that is not specified by 5D002.; or
c. Limited to "OAM" of the equipment.
5D002 "Software" as follows:
[W] c. Specific "software", as follows:
[IV*] 1. "Software" having the characteristics, or performing or simulating the functions of
the equipment, specified in 5A002;
2. "Software" to certify "software" specified in 5D002.c.1.
Note 5D002.c. does not control "software" limited to the tasks of "OAM"
implementing only published or commercial cryptographic standards.
[W] d. "Software" designed or modified to enable, by means of "cryptographic activation", an
item to achieve or exceed the controlled performance levels for functionality specified
by 5A002.a. that would not otherwise be enabled.
5E002 "Technology" as follows:
[W] a. "Technology" according to the General Technology Note for the "development",
[IV*] "production" or "use" of equipment specified in 5A002, 5B002 or "software" specified
in 5D002.a. or 5D002.c.
[W] b. "Technology" to enable, by means of "cryptographic activation", an item to achieve or
exceed the controlled performance levels for functionality specified by 5A002.a. that
would not otherwise be enabled.
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Category 6
6A001 Acoustic systems, equipment and components, as follows:
[W]
a. Marine acoustic systems, equipment and specially designed components therefor, as
follows:
1. Active (transmitting or transmitting-and-receiving) systems, equipment and
specially designed components therefor, as follows:
Note: 6A001.a.1. does not control equipment as follows:
a. Depth sounders operating vertically below the apparatus, not
including a scanning function exceeding ± 20°, and limited to
measuring the depth of water, the distance of submerged or
buried objects or fish finding;
b. Acoustic beacons, as follows:
1. Acoustic emergency beacons;
2. Pingers specially designed for relocating or returning to an
underwater position.
a. Acoustic seabed survey equipment as follows:
1. Surface vessel survey equipment designed for seabed topographic
mapping and having all of the following:
a. Designed to take measurements at an angle exceeding 20° from
the vertical;
b. Designed to measure seabed topography at seabed depths
exceeding 600 m;
c. 'Sounding resolution' less than 2; and
d. 'Enhancement' of the depth accuracy through compensation for all
the following:
1. Motion of the acoustic sensor;
2. In-water propagation from sensor to the seabed and back;
and
3. Sound speed at the sensor;
Technical Notes
1. 'Sounding resolution' is the swath width (degrees) divided by the
maximum number of soundings per swath.
2. 'Enhancement' includes the ability to compensate by external
means.
2. Underwater survey equipment designed for seabed topographic
mapping and having any of the following:
Technical Note:
The acoustic sensor pressure rating determines the depth rating of the
equipment specified in 6A001.a.1.a.2.
a. Having all of the following:
1. Designed or modified to operate at depths exceeding 300 m;
and
2. 'Sounding rate' greater than 3,800 m/s; or
Technical Note:
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'Sounding rate' is the product of the maximum speed (m/s) at
which the sensor can operate and the maximum number of
soundings per swath assuming 100 % coverage. For systems that
produce soundings in two directions (3D sonars), the maximum of
the 'sounding rate' in either direction should be used.
3. Side Scan Sonar (SSS) or Synthetic Aperture Sonar (SAS), designed
for seabed imaging and having all of the following, and specially
designed transmitting and receiving acoustic arrays therefor:
a. Designed or modified to operate at depths exceeding 500 m;
b. An 'area coverage rate' of greater than 570 m2/s while operating at
the maximum range that it can operate with an 'along track
resolution' of less than 15 cm; and
c. An 'across track resolution' of less than 15 cm;
Technical Notes:
1. 'Area coverage rate' (m2/s) is twice the product of the sonar range
(m) and the maximum speed (m/s) at which the sensor can operate
at that range.
2. 'Along track resolution' (cm), for SSS only, is the product of
azimuth (horizontal) beamwidth (degrees) and sonar range (m)
and 0.873.
3. 'Across track resolution' (cm) is 75 divided by the signal
bandwidth (kHz).
6A001 a. 1. continued
c. Acoustic projectors (including transducers), incorporating piezoelectric,
magnetostrictive, electrostrictive, electrodynamic or hydraulic elements
operating individually or in a designed combination, and having any of the
following:
Note 1: The control status of acoustic projectors, including transducers,
specially designed for other equipment not specified in 6A001 is
determined by the control status of the other equipment.
Note 2: 6A001.a.1.c. does not control electronic sources which direct the
sound vertically only, or mechanical (e.g., air gun or vapour-
shock gun) or chemical (e.g., explosive) sources.
Note 3: Piezoelectric elements specified in 6A001.a.1.c. include those
made from lead-magnesium-niobate/lead-titanate
(Pb(Mg1/3Nb2/3)O3-PbTiO3, or PMN-PT) single crystals grown
from solid solution or lead-indium-niobate/lead-magnesium
niobate/lead-titanate (Pb(In1/2Nb1/2)O3–Pb(Mg1/3Nb2/3)O3–
PbTiO3, or PIN-PMN-PT) single crystals grown from solid
solution.
1. Operating at frequencies below 10 kHz and having any of the following:
a. Not designed for continuous operation at 100% duty cycle and
having a radiated 'free-field Source Level (SLRMS)' exceeding
(10log(f) + 169.77) dB (reference 1 µPa at 1 m) where f is the frequency in Hertz of maximum Transmitting Voltage Response
(TVR) below 10kHz; or
b. Designed for continuous operation at 100% duty cycle and having a
continuously radiated 'free-field Source Level (SLRMS)' at 100%
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duty cycle exceeding (10log(f) + 159.77) dB (reference 1 µPa at 1
m) where f is the frequency in Hertz of maximum Transmitting
Voltage Response (TVR) below 10kHz; or
Technical Note:
The 'free-field Source Level (SLRMS)' is defined along the maximum
response axis and in the far field of the acoustic projector. It can be
obtained from the Transmitting Voltage Response using the following
equation: SLRMS = (TVR + 20log VRMS) dB (ref 1µPa at 1 m), where
SLRMS is the source level, TVR is the Transmitting Voltage Response
and VRMS is the Driving Voltage of the Projector.
2. Not used
3. Side-lobe suppression exceeding 22 dB;
6A003 Cameras, systems or equipment, and components therefor, as follows:
[W] N.B.: SEE ALSO 6A203.
[N5B3*] N.B.: For television and film-based photographic still cameras specially designed
or modified for underwater use, see 8A002.d.1. and 8A002.e.
a. Instrumentation cameras and specially designed components therefor, as follows:
3. Mechanical or electronic streak cameras as follows:
a. Mechanical streak cameras having writing speeds exceeding 10mm/s;
b. Electronic streak cameras having temporal resolution better than 50 ns;
[N5B3] 4. Electronic framing cameras having a speed exceeding 1,000,000 frames/s;
6A003 b. 4.
Note 3: 6A003.b.4.b. does not control imaging cameras having any of the
following:
a. A maximum frame rate equal to or less than 9 Hz ;
b. Having all of the following:
1. Having a minimum horizontal or vertical 'Instantaneous-
Field-of-View (IFOV)' of at least 10 mrad/pixel
(milliradians/pixel);
2. Incorporating a fixed focal-length lens that is not designed
to be removed;
3. Not incorporating a 'direct view' display, and
4. Having any of the following:
a. No facility to obtain a viewable image of the detected
field-of-view, or
b. The camera is designed for a single kind of
application and designed not to be user modified; or
c. The camera is specially designed for installation into a civilian
passenger land vehicle and having all of the following:
1. The placement and configuration of the camera within the
vehicle are solely to assist the driver in the safe operation of
the vehicle;
2. Is only operable when installed in any of the following:
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a. The civilian passenger land vehicle for which it was
intended and the vehicle weighs less than 4,500 kg
(gross vehicle weight); or
b. A specially designed, authorized maintenance test
facility; and
3. Incorporates an active mechanism that forces the camera
not to function when it is removed from the vehicle for which
it was intended.
Technical Notes:
1. 'Instantaneous Field of View (IFOV)' specified in 6A003.b.4. Note
3.b. is the lesser figure of the 'Horizontal IFOV' or the 'Vertical
IFOV'.
'Horizontal IFOV' = horizontal Field of View (FOV) / number of
horizontal detector elements
'Vertical IFOV' = vertical Field of View (FOV) / number of
vertical detector elements.
2. 'Direct view' in 6A003.b.4. Note 3.b. refers to an imaging camera
operating in the infrared spectrum that presents a visual image to
a human observer using a near-to-eye micro display
incorporating any light-security mechanism.
6A003 b. 4