ANNEX Commission Delegated Regulation Control Of Exports .
EUROPEANCOMMISSIONBrussels, 22.10.2014C(2014) 7567 finalANNEX 1ANNEXto theCommission Delegated Regulationamending Council Regulation (EC) No 428/2009 setting up a Community regime for thecontrol of exports, transfer, brokering and transit of dual use itemsENEN
ANNEX“ANNEX IList referred to in Article 3 of this RegulationLIST OF DUAL-USE ITEMSThis list implements internationally agreed dual-use controls including the Wassenaar Arrangement, the MissileTechnology Control Regime (MTCR), the Nuclear Suppliers' Group (NSG), the Australia Group and theChemical Weapons Convention (CWC).CONTENTSNotesAcronyms and abbreviationsDefinitionsCategory 0Nuclear materials, facilities and equipmentCategory 1Special materials and related equipmentCategory 2Materials processingCategory 3ElectronicsCategory 4ComputersCategory 5Telecommunications and "information security"Category 6Sensors and lasersCategory 7Navigation and avionicsCategory 8MarineCategory 9Aerospace and propulsion2
GENERAL NOTES TO ANNEX I1.For control of goods which are designed or modified for military use, see the relevant list(s) of controlson military goods maintained by individual Member States. References in this Annex that state "SEEALSO MILITARY GOODS CONTROLS" refer to the same lists.2.The object of the controls contained in this Annex should not be defeated by the export of anynon-controlled goods (including plant) containing one or more controlled components when thecontrolled component or components are the principal element of the goods and can feasibly beremoved or used for other purposes.N.B.:In judging whether the controlled component or components are to be considered theprincipal element, it is necessary to weigh the factors of quantity, value and technologicalknow-how involved and other special circumstances which might establish the controlledcomponent or components as the principal element of the goods being procured.3.Goods specified in this Annex include both new and used goods.4.In some instances chemicals are listed by name and CAS number. The list applies to chemicals of thesame structural formula (including hydrates) regardless of name or CAS number. CAS numbers areshown to assist in identifying a particular chemical or mixture, irrespective of nomenclature. CASnumbers cannot be used as unique identifiers because some forms of the listed chemical have differentCAS numbers, and mixtures containing a listed chemical may also have different CAS numbers.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 theprovisions of Category 0."Technology" for the "development", "production" or "use" of goods under control remains under control evenwhen 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 scientificresearch".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 goodscontrolled 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 undercontrol 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.N.B.:This does not release such "technology" specified in 1E002.e., 1E002.f., 8E002.a. and 8E002.b.Controls on "technology" transfer do not apply to information "in the public domain", to "basic scientificresearch" or to the minimum necessary information for patent applications.3
GENERAL SOFTWARE NOTE (GSN)(This note overrides any control within section D of Categories 0 to 9.)Categories 0 to 9 of this list do not control "software" which is any of the following:a.Generally available to the public by being:1.Sold from stock at retail selling points, without restriction, by means of:a.Over-the-counter transactions;b.Mail order transactions;c.Electronic transactions; ord.Telephone call transactions; and2.Designed for installation by the user without further substantial support by thesupplier;N.B.:Entry a. of the General Software Note does not release "software" specified inCategory 5 - Part 2 ("Information Security").b."In the public domain"; orc.The minimum necessary "object code" for the installation, operation, maintenance (checking)or repair of those items whose export has been authorised.N.B.:Entry c. of the General Software Note does not release "software" specified inCategory 5 - Part 2 ("Information Security").EDITORIAL PRACTICES IN THE OFFICIAL JOURNAL OF THE EUROPEAN UNIONIn accordance with the rules set out in paragraph 6.5 on page 108 of the Interinstitutional style guide (2011edition), for texts in English published in the Official Journal of the European Union:---a comma is used to separate whole number from decimals (e.g. 3,67 cm),a space is used to indicate thousands in whole numbers (e.g. 100 000).The text reproduced in this annex follows the above-described practice.4
ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEXAn acronym or abbreviation, when used as a defined term, will be found in 'Definitions of Terms used in thisAnnex'.ACRONYM OR VLISCADCASCDUCEPCNTDCRISLACVDCWCW (for Annular Bearing Engineers CommitteeAmerican Gear Manufacturers’ Associationattitude and heading reference systemsAmerican Iron and Steel Institutearithmetic logic unitAmerican National Standards Institutethe American Society for Testing and Materialsair traffic controlatomic vapour laser isotope separationcomputer-aided-designChemical Abstracts Servicecontrol and display unitcircular error probablecontrolled nucleation thermal depositionchemical reaction by isotope selective laser activation.chemical vapour depositionchemical warfarecontinuous wavedistance measuring equipmentdirectionally solidifiedelectron beam physical vapour depositionEuropean Broadcasting Unionelectro-chemical machiningelectron cyclotron resonanceelectrical discharge machineselectrically erasable programmable read only memoryElectronic Industries Associationelectromagnetic compatibilityEuropean Telecommunications Standards InstituteFast Fourier Transformglobal navigation satellite systemglobal positioning systemhetero-bipolar transistorshigh density digital recordinghigh electron mobility transistorsInternational Civil Aviation OrganisationInternational Electro-technical CommissionInstitute of Electrical and Electronic Engineersinstantaneous-field-of-viewinstrument landing systeminter-range instrumentation groupinternational standard atmosphereinverse synthetic aperture radar5
ACRONYM OR International Organization for StandardizationInternational Telecommunication UnionJapanese Industrial StandardJoule-Thomsonlight detection and rangingline replaceable unitmessage authentication coderatio of speed of an object to speed of sound (after Ernst Mach)molecular laser isotopic separationmicrowave landing systemsmetal organic chemical vapour depositionmagnetic resonance imagingmean-time-between-failuresmillion theoretical operations per secondmean-time-to-failureNuclear, Biological and Chemicalnon-destructive testprecision approach radarpersonal identification numberparts per millionpower spectral densityquadrature-amplitude-modulationradio frequencySuppliers of Advanced Composite Materials Associationsynthetic aperture radarsingle crystalsidelooking airborne radarSociety of Motion Picture and Television Engineersshop replaceable assemblystatic random access memorySACMA Recommended Methodssingle sidebandsecondary surveillance radartrusted computer system evaluation criteriatotal indicated readingultravioletultimate tensile strengthvery high frequency omni-directional rangeyttrium/aluminium garnet6
DEFINITIONS OF TERMS USED IN THIS ANNEXDefinitions 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:N.B.:Category references are given in brackets after the defined term."Accuracy" (2 6), usually measured in terms of inaccuracy, means the maximum deviation, positive or negative,of an indicated value from an accepted standard or true value."Active flight control systems" (7) are systems that function to prevent undesirable "aircraft" and missilemotions or structural loads by autonomously processing outputs from multiple sensors and then providingnecessary preventive commands to effect automatic control."Active pixel" (6 8) is a minimum (single) element of the solid state array which has a photoelectric transferfunction when exposed to light (electromagnetic) radiation."Adapted for use in war" (1) means any modification or selection (such as altering purity, shelf life, virulence,dissemination characteristics, or resistance to UV radiation) designed to increase the effectiveness in producingcasualties in humans or animals, degrading equipment or damaging crops or the environment."Adjusted Peak Performance" (4) is an adjusted peak rate at which "digital computers" perform 64-bit or largerfloating point additions and multiplications, and is expressed in Weighted TeraFLOPS (WT) with units of 1012adjusted floating point operations per second.N.B.:See Category 4, Technical Note."Aircraft" (1 7 9) means a fixed wing, swivel wing, rotary wing (helicopter), tilt rotor or tilt-wing airbornevehicle.N.B.: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 minimiseall systematic positioning errors for the particular machine-tool model or measuring errors for the particularcoordinate measuring machine are considered."Allocated by the ITU" (3 5) means the allocation of frequency bands according to the current edition of theITU Radio Regulations for primary, permitted and secondary services.N.B.:Additional and alternative allocations are not included."Angular position deviation" (2) means the maximum difference between angular position and the actual, veryaccurately measured angular position after the workpiece mount of the table has been turned out of its initialposition"Angle random walk" (7) means the angular error build up with time that is due to white noise in angular rate.(IEEE STD 528-2001)"APP" (4) is equivalent to "Adjusted Peak Performance".7
"Asymmetric algorithm" (5) means a cryptographic algorithm using different, mathematically-related keys forencryption and decryption.N.B.:A common use of "asymmetric algorithms" is key management."Automatic target tracking" (6) means a processing technique that automatically determines and provides asoutput an extrapolated value of the most probable position of the target in real time."Average output power" (6) means the total "laser" output energy, in joules, divided by the period over which aseries 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."Basic gate propagation delay time" (3) means the propagation delay time value corresponding to the basic gateused in a "monolithic integrated circuit". For a 'family' of "monolithic integrated circuits", this may be specifiedeither as the propagation delay time per typical gate within the given 'family' or as the typical propagation delaytime per gate within the given 'family'.N.B. 1: "Basic gate propagation delay time" is not to be confused with the input/output delay time ofa complex "monolithic integrated circuit".N.B. 2: 'Family' consists of all integrated circuits to which all of the following are applied as theirmanufacturing methodology and specifications except their respective functions:a.The common hardware and software architecture;b.The common design and process technology; andc.The common basic characteristics."Basic scientific research" (GTN NTN) means experimental or theoretical work undertaken principally toacquire new knowledge of the fundamental principles of phenomena or observable facts, not primarily directedtowards a specific practical aim or objective."Bias" (accelerometer) (7) means the average over a specified time of accelerometer output, measured atspecified operating conditions, that has no correlation with input acceleration or rotation. "Bias" is expressed ing or in metres per second squared (g or m/s2). (IEEE Std 528-2001) (Micro g equals 1x10-6 g)."Bias" (gyro) (7) means the average over a specified time of gyro output measured at specified operatingconditions that has no correlation with input rotation or acceleration. "Bias" is typically expressed in degreesper hour (deg/hr). (IEEE Std 528-2001)."Camming" (2) means axial displacement in one revolution of the main spindle measured in a planeperpendicular to the spindle faceplate, at a point next to the circumference of the spindle faceplate (Reference:ISO 230/1 1986, paragraph 5.63)."Carbon fibre preforms" (1) means an ordered arrangement of uncoated or coated fibres intended to constitute aframework of a part before the "matrix" is introduced to form a "composite"."CEP" (circle of equal probability) (7) is a measure of accuracy; the radius of the circle centred at the target, at aspecific range, in which 50% of the payloads impact."Chemical laser" (6) means a "laser" in which the excited species is produced by the output energy from achemical reaction."Chemical mixture" (1) means a solid, liquid or gaseous product made up of two or more components which donot react together under the conditions under which the mixture is stored."Circulation-controlled anti-torque or circulation controlled direction control systems" (7) are systems that useair blown over aerodynamic surfaces to increase or control the forces generated by the surfaces.8
"Civil aircraft" (1 3 4 7) means those "aircraft" listed by designation in published airworthiness certificationlists by the civil aviation authorities to fly commercial civil internal and external routes or for legitimate civil,private or business use.N.B.:See also "aircraft"."Commingled" (1) means filament to filament blending of thermoplastic fibres and reinforcement fibres in orderto produce a fibre reinforcement "matrix" mix in total fibre form."Comminution" (1) means a process to reduce a material to particles by crushing or grinding."Communications channel controller" (4) means the physical interface which controls the flow of synchronousor asynchronous digital information. It is an assembly that can be integrated into computer ortelecommunications equipment to provide communications access."Compensation systems" (6) consist of the primary scalar sensor, one or more reference sensors (e.g., vectormagnetometers) 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."Compound rotary table" (2) means a table allowing the workpiece to rotate and tilt about two non-parallelaxes, which can be coordinated simultaneously for "contouring control"."III/V compounds" (3 6) means polycrystalline or binary or complex monocrystalline products consisting ofelements of groups IIIA and VA of Mendeleyev's periodic classification table (e.g., gallium arsenide, galliumaluminium arsenide, indium phosphide)."Contouring control" (2) means two or more "numerically controlled" motions operating in accordance withinstructions that specify the next required position and the required feed rates to that position. These feed ratesare 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 directelectrical current."Cryptographic activation" (5) means any technique that activates or enables cryptographic capability, via asecure mechanism that is implemented by the manufacturer of the item and is uniquely bound to the item orcustomer for which the cryptographic capability is being activated or enabled (e.g., a serial number-basedlicence key or an authentication instrument such as a digitally signed certificate).Technical Note:“Cryptographic activation” techniques and mechanisms may be implemented as hardware,“software” or “technology”."Cryptography" (5) means the discipline which embodies principles, means and methods for the transformationof data in order to hide its information content, prevent its undetected modification or prevent its unauthorizeduse. "Cryptography" is limited to the transformation of information using one or more 'secret parameters' (e.g.,crypto variables) or associated key management.Note:"Cryptography" does not include "fixed" data compression or coding techniques.Technical Note:'Secret parameter': a constant or key kept from the knowledge of others or shared only within a group."CW laser" (6) means a "laser" that produces a nominally constant output energy for greater than 0,25 seconds.9
"Data-Based Referenced Navigation" ("DBRN") (7) Systems means systems which use various sources ofpreviously measured geo-mapping data integrated to provide accurate navigation information under dynamicconditions. Data sources include bathymetric maps, stellar maps, gravity maps, magnetic maps or 3-D digitalterrain maps."Deformable mirrors" (6) (also known as adaptive optic mirrors) means mirrors having:a.b.A single continuous optical reflecting surface which is dynamically deformed by theapplication of individual torques or forces to compensate for distortions in the opticalwaveform incident upon the mirror; orMultiple optical reflecting elements that can be individually and dynamically repositioned bythe application of torques or forces to compensate for distortions in the optical waveformincident upon the mirror."Depleted uranium" (0) means uranium depleted in the isotope 235 below that occurring in nature."Development" (GTN NTN All) is related to all phases prior to serial production, such as: design, designresearch, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, designdata, process of transforming design data into a product, configuration design, integration design, layouts."Diffusion bonding" (1 2 9) means a solid state joining of at least two separate pieces of metals into a singlepiece with a joint strength equivalent to that of the weakest material, wherein the principal mechanism isinterdiffusion of atoms across the interface."Digital computer" (4 5) means equipment which can, in the form of one or more discrete variables, perform allof the following:a.b.c.d.Accept data;Store data or instructions in fixed or alterable (writable) storage devices;Process data by means of a stored sequence of instructions whic
The text reproduced in this annex follows the above-described practice. 5 . FFT Fast Fourier Transform GLONASS global navigation satellite system . means a cryptographic algorithm using different, mathematically-related keys for encryption and decryption. N.B.: A
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