Annexes to COM(1998)257 - Community regime for the control of exports of dual-use goods and technology - Main contents
Please note
This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(1998)257 - Community regime for the control of exports of dual-use goods and technology. |
|---|---|
| document | COM(1998)257  |
| date | June 22, 2000 |
2. The authorisation requirement applies not only to the physical export of goods or technologies, but also to transmission of technologies via electronic media, telephone and fax. However, this Regulation does not apply to the supply of services or the transmission of technology requiring cross-border movement of natural persons.
3. In pursuance of Article 4 or Article 5, an authorisation may be required for the export to all or certain destinations of certain dual-use items not listed in Annex I.
4. This Regulation does not apply to dual-use items which only pass through the territory of the Community, that is those which are not assigned a customs-approved treatment or use other than the external transit procedure or which are merely placed in a free zone or free warehouse and where no record of them has to be kept in an approved stock record.
5. Dual-use items which are exported by governments of Member States or legal or natural persons acting on behalf of governments of Member States are not subject to the authorisation requirement laid down in paragraph 1.
Article 4
1. An authorisation shall be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the competent authorities of the Member State in which he is established that the items in question are or may be intended, in their entirety or in part, for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or the development, production, maintenance or storage of missiles capable of delivering such weapons.
2. An authorisation shall also be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the authorities referred to in paragraph 1 that the items in question are or may be intended, in their entirety or in part, for a military end-use in a country subject to a UN embargo.
3. If the exporter is aware that the dual-use items are intended, in their entirety or in part, for one of the purposes referred to in paragraphs 1 and 2, he must notify the authorities referred to in paragraph 1, which will decide whether or not it is expedient to make the export concerned subject to authorisation.
4. Member States may adopt or maintain national legislation providing that the exporter must notify the authorities referred to in paragraph 1 where he has grounds for suspecting that the dual-use items are intended wholly or in part, for one of the purposes referred to in paragraphs 1 and 2, and that in such a case the export operation may be made subject to authorisation.
5. A Member State which imposes an authorisation requirement, in application of paragraphs 1 to 4 on an unlisted dual-use item, shall inform the other Member States and the Commission. The other Member States shall give all due considerations to this information and shall inform, to the extent possible, their customs offices and other relevant national authorities.
6. If a Member State denies authorisation for an export of an unlisted dual-use item, it shall immediately inform the other Member States and the Commission.
7. If a Member State authorises an export of an unlisted dual-use item that is essentially identical to an export which has been denied authorisation by another Member State, it shall inform the other Member States and the Commission of its decision and provide all relevant information on the reasons for the decision.
Article 5
1. A Member State may exceptionally prohibit or make subject to authorisation the export of dual-use items not listed in Annex I for reasons of national security.
2. Member States shall notify any measures adopted pursuant to paragraph 1 to the other Member States and the Commission immediately after their adoption and indicate the precise reasons for the measures and their envisaged duration.
Member States shall also immediately notify the other Member States and the Commission of any modifications to measures adopted pursuant to paragraph 1.
3. The Commission shall publish the measures notified to it pursuant to paragraph 2 in the 'C` series of the Official Journal of the European Communities.
CHAPTER III Export authorisation
Article 6
1. An authorisation shall be required for each export subject to this Regulation. The authorisation shall be granted by the competent authorities of the Member State where the exporter is established, except for those exports covered by the Community General Export Authorisation as set out in Annex II.
2. The authorisation may be an individual, global or general authorisation.
However, national general authorisations may be granted only in respect of a type or category of dual-use items for export to destinations other than those listed in Schedule B of Annex II.
3. Member States shall maintain or introduce in their respective national legislation the possibility of granting a global authorisation to a specific exporter in respect of a type or category of dual-use items which may be valid for exports to one or more specified countries.
4. The authorisation may be subject, if appropriate, to certain requirements and conditions. In particular, the competent authorities of a Member State shall require a statement of end-use for exports of goods and technology which are both:
(a) subject to an individual authorisation; and
(b) exported to a destination not listed in Schedule B of Annex II.
5. The authorisation shall be valid throughout the Community.
Article 7
1. If the dual-use items in respect of which an application has been made for an individual export authorisation to a destination not specifically mentioned in Annex II or to all destinations in the case of very sensitive dual-use items which are referred to in Annex IV are or will be located in a different Member State, or have been located in a different Member State in the last nine months, that fact shall be indicated in the application. The licensing authorities of the Member State to which the application for authorisation has been made shall immediately consult the licensing authorities of the Member State or States in question and provide the relevant information. The Member State or States consulted shall make known within 10 working days, any objections it or they may have to the granting of such an authorisation, which shall bind the Member State in which the application has been made.
If no objections are received within 10 working days, the opinion of the Member State consulted shall be regarded as positive.
In exceptional cases, the Member State consulted may request the extension of the 10-day period. However, the extension may not exceed 30 working days.
2. If an export might prejudice its essential security interests, a Member State may request another Member State not to grant an export authorisation or, if such authorisation has been granted, request its annulment, suspension, modification or revocation. The Member State receiving such a request shall immediately engage in consultations of a non-binding nature with the requesting Member State, to be terminated within 10 working days.
3. Member States shall furnish the Commission with a list of the competent authorities empowered to grant export authorisations for dual-use items.
4. The Commission shall publish the list of the authorities referred to in paragraph 3 in the 'C` series of the Official Journal of the European Communities.
Article 8
In deciding whether or not to grant an export authorisation, the Member States shall take into account:
(a) their commitments under international agreements on non-proliferation and the control of sensitive goods;
(b) their obligations under sanctions imposed by the UN Security Council or agreed in other international fora;
(c) considerations of national foreign and security policy, including, where relevant, those covered by the criteria agreed by the European Council in Luxembourg in June 1991 and in Lisbon in June 1992 with regard to the export of conventional arms;
(d) considerations about intended end-use and the risk of diversion.
Article 9
1. Exporters shall supply the competent authorities with all relevant information required for their applications for authorisation.
2. The competent authorities, acting in accordance with this Regulation, may refuse to grant an export authorisation and may annul, suspend, modify or revoke an export authorisation which they have already granted. Where they refuse, annull, suspend, substantially limit or revoke an authorisation, they shall inform the competent authorities of the other Member States and the Commission thereof and exchange the relevant information with the other Member States and the Commission, while complying with the provisions of Article 16(3) concerning the confidentiality of such information.
3. A Member State, before authorising an essential identical export that has been denied authorisation by another Member State, shall consult that Member State. If the first-mentioned Member State decides, after those consultations, to grant an export authorisation, it shall immediately inform the other Member States and the Commission of its decision, and provide all relevant information on the reasons for the decision.
Article 10
1. All individual national export authorisations shall be issued on forms in accordance with the model set out in Annex III.
2. At the request of exporters, national general and global authorisations shall be issued on the forms referred to in paragraph 1.
3. At the request of exporters, global authorisations that contain quantitative limitations may be split.
4. Legally valid copies of authorisations shall be made available to exporters in accordance with national regulations concerning certification of copies.
CHAPTER IV Imports and re-exports
Article 11
International Import Certificates or an equivalent end-use certificate shall be used only to certify that an authorisation for re-export from the Community exists.
Member States shall only give the commitment that the relevant items will not be re-exported without the authorisation of the authorities of the Member State in which the exporter is established.
CHAPTER V Updating of list of dual-use items
Article 12
The list set out in Annex I shall be updated by a List Group composed of a representative of each Member State and of the Commission.
2. The List Group shall be chaired by the Member State holding the Presidency of the Council and shall be assisted by a technical secretariat from one of the Member States.
3. The Member State holding the Presidency shall call for meetings and present appropriate proposals for the updating of Annex I, in particular after the meetings of the international non-proliferation regimes. Meetings may also be held at the request of any other Member State or the Commission. Member States and the Commission may submit proposals regarding the establishment and updating of Annex I.
4. Decisions on updating of Annex I shall be taken by the Member States' representatives by consensus and shall be implemented as amendments to Annex I by a Commission Regulation.
CHAPTER VI Customs procedures
Article 13
1. When completing the export formalities at the customs office responsible for handling the export declaration, the exporter shall furnish proof that the export has been duly authorised.
2. A translation of any documents furnished as proof into the official language or one of the official languages of the Member State where the declaration is presented may be required of the exporter.
3. Without prejudice to any powers conferred on it under, and pursuant to, the Community Customs Code, a Member State may also, for a period not exceeding 10 working days, suspend the process of release for export from its territory, or, if necessary, otherwise prevent the dual-use items listed in Annex I which are covered by a valid authorisation from leaving the Community via its territory, where it has grounds for suspicion that:
(a) relevant information was not taken into account when the authorisation was granted, or
(b) circumstances have materially changed since the grant of the authorisation.
In such cases, the competent authorities of the Member State which granted the export authorisation shall be consulted forthwith in order that they may take action pursuant to Article 9(2).
If those authorities decide to maintain the authorisation or if no reply is received within 10 working days, the dual-use items shall be released immediately.
Article 14
1. Member States may provide that customs formalities for the export of dual-use items may be completed only at customs offices empowered to that end.
2. Member States availing themselves of the option set out in paragraph 1 shall inform the Commission of the duly empowered customs offices. The Commission shall publish the information in the 'C` series of the Official Journal of the European Communities.
Article 15
The provisions of Part II, Title II, Chapter 11 of Regulation (EEC) No 2454/93 also apply to the restrictions relating to the re-exportation of dual-use items covered by this Regulation.
CHAPTER VII Administrative cooperation
Article 16
1. Acting in liaison with the Commission, Member States shall take all appropriate measures to establish direct cooperation and exchange of information between competent authorities, in particular to eliminate the risk that possible disparities in the application of export controls may lead to a deflection of trade, which could create difficulties for one or more Member States.
2. Member States shall take all appropriate measures to establish direct cooperation and exchange of information between competent authorities on sensitive end-users with a view to providing a similar level of guidance to exporters concerned by this Regulation.
3. Council Regulation (EC) No 515/97 of 13 March 1997 (9), and in particular the provisions on the confidentiality of information, shall apply mutatis mutandis, without prejudice to Article 19 of this Regulation.
CHAPTER VIII Control measures
Article 17
1. The exporters shall keep detailed registers or records of their transactions, in accordance with the practice in force in the respective Member States. Such registers or records shall include in particular commercial documents such as invoices, manifests and transport and other dispatch documents containing sufficient information to allow the following to be identified:
(a) the description of the dual-use items;
(b) the quantity of the dual-use items;
(c) the name and address of the exporter and of the consignee;
(d) where known, the end-use and end-user of the dual-use items.
2. The registers and records and the documents referred to in paragraph 1 shall be kept for at least three years from the end of the calendar year in which the export took place. They shall be produced to the competent authorities on request.
Article 18
In order to ensure that this Regulation is properly applied, each Member State shall take whatever measures are needed to permit the competent authorities:
(a) to gather information on any order or transaction involving dual-use items;
(b) to establish that the control measures are being properly applied, which may include in particular the power to enter the premises of persons with an interest in an export transaction.
CHAPTER IX General and final provisions
Article 19
1. A Coordinating Group chaired by a representative of the Commission shall be set up. Each Member State shall appoint a representative to the Coordinating Group.
The Coordinating Group shall examine any question concerning the application of this Regulation which may be raised either by the chairman or by a representative of a Member State and, in particular, the measures which should be taken by Member States to inform exporters of their obligations under this Regulation.
2. The Coordinating Group may, whenever it considers it to be necessary, consult organisations representative of exporters concerned by this Regulation.
Article 20
Each Member State shall take appropriate measures to ensure proper enforcement of all the provisions of this Regulation. In particular, it shall lay down the penalties applicable to infringements of the provisions of this Regulation or of those adopted for its implementation. Those penalties must be effective, proportionate and dissuasive.
In particular, for the implementation of Article 4(3), each Member State shall lay down and specify the nature of the breach of national law and shall determine the nature of the penalty to be imposed.
Article 21
Each Member State shall inform the Commission of the laws, regulations and administrative provisions adopted in implementation of this Regulation, including the measures referred to in Article 20. The Commission shall forward the information to the other Member States. Every three years the Commission shall present a report to the European Parliament and the Council on the application of this Regulation. Member States shall provide to the Commission all appropriate information for the preparation of the report.
Article 22
1. Paragraphs 2 to 5 shall apply in respect of consignments dispatched from one Member State to another.
2. For transfers of dual-use items listed in Annex IV, Part B, notification by the natural or legal person transferring the items to the competent authorities of the Member State where the items are located shall be required by all Member States. The information contained in such a notification must be identical to the information supplied to national authorities by a natural or legal person which applies for an individual export authorisation for those dual-use items.
The procedure for notification and provision of information shall not introduce or maintain unjustified and disproportionate restrictions on the free movement of goods within the Community.
3. In the case where a dual-use item listed in Annex IV has previously been transferred from one Member State to another and is subsequently to be exported, that fact shall be indicated in the application for an export authorisation. The Member State or States in which the item was originally located must be consulted by the Member State in which the potential exporter is established. The licensing authorities of the Member State or States consulted shall make known within 10 working days, any objections they may have to the grant of an export authorisation. The opinion of the consulted Member State shall be binding.
If no objections are received within 10 working days, the opinion of the Member State consulted shall be regarded as positive.
The Member State consulted may request the extension of the 10-day period.
4. Documents and records of intra-Community consignments of dual-use items listed in Annex I shall be kept for at least three years from the end of the year in which a transaction took place and shall be produced ot the competent authorities on request.
5. The relevant commercial documents relating to intra-Community transfers of dual-use items listed in Annex I shall indicate clearly that those items are subject to controls if exported from the Community. Relevant commercial documents are, in particular, the sales contract, the order confirmation, the invoice or the dispatch note.
Article 23
1. An authorisation shall be required for intra-Community transfers of separated plutonium and uranium enriched to more than 20 %, as well as installations, main components of crucial importance and technology related to reprocessing, to enrichment and to the production of heavy water, under the terms of the Declaration of Common Policy of 20 November 1984. The relevant items are listed in Annex IV, Part A.
2. The authorisation procedure pursuant to paragraph 1 shall not involve the application of internal frontier controls within the Community, but solely controls which are performed as part of the normal control procedures applied in a non-discriminatory fashion throughout the territory of the Community.
Article 24
This Regulation does not affect the application of the Treaty establishing the European Atomic Energy Community.
Article 25
Regulation (EC) No 3381/94 is repealed.
However, for export authorisation applications made before the date of entry into force of this Regulation, the relevant provisions of Regulation (EC) No 3381/94 shall continue to apply.
Article 26
This Regulation shall enter into force on . . .
This Regulation shall be binding in its entirety and directly applicable in all Member States.
(1) OJ L 367, 31.12.1994, p. 1.
(2) OJ L 90, 21.4.1995, p. 1.
(3) OJ L 367, 31.12.1994, p. 8.
(4) OJ L 92, 25.3.1998, p. 1.
(5) OJ L 302, 19.10.1992, p. 1.
(6) OJ L 17, 21.1.1997, p. 1.
(7) OJ L 253, 11.10.1993, p. 1.
(8) OJ L 212, 30.7.1998, p. 18.
(9) OJ L 82, 22.3.1997, p. 1.
ANNEX I
LIST OF PRODUCTS SUBJECT TO AN EXPORT AUTHORISATION
GENERAL NOTES TO ANNEX I
1. For control of goods which are designed or modified for military use, see the relevant list(s) of controls on military goods maintained by individual Member States. References in this Annex that state 'SEE ALSO MILITARY GOODS CONTROLS` refer to the same lists.
2. The object of the controls contained in this Annex should not be defeated by the export of any non-controlled goods (including plant) containing one or more controlled components when the controlled component or components are the principal element of the goods and can feasibly be removed or used for other purposes.
NB: In judging whether the controlled component or components are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the controlled component or components as the principal element of the goods being procured.
3. Goods specified in this Annex include both new and used goods.
Nuclear technology note (NTN)
(To be read in conjunction with Section E of Category 0)
The 'technology` directly associated with any goods controlled in Category 0 is controlled according to the provisions of Category 0.
'Technology` for the 'development`, 'production` or 'use` of goods under control remains under control even when applicable to non-controlled goods.
The approval of goods for export also authorises the export to the same end-user of the minimum 'technology` required for the installation, operation, maintenance and repair of the goods.
Controls on 'technology` transfer do not apply to information 'in the public domain` or to 'basic scientific research`.
General technology note (GTN)
(To be read in conjunction with Section E of Categories 1 to 9)
The export of 'technology` which is 'required` for the 'development`, 'production` or 'use` of goods controlled in Categories 1 to 9, is controlled according to the provisions of Categories 1 to 9.
'Technology` 'required` for the 'development`, 'production` or 'use` of goods under control remains under control even when applicable to non-controlled goods.
Controls do not apply to that 'technology` which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which are not controlled or whose export has been authorised.
NB: This does not release such 'technology` specified in 1E002.e. and 1E002.f. and 8E002.a. and 8E002.b.
Controls on 'technology` transfer do not apply to information 'in the public domain`, to 'basic scientific research` or to the minimum necessary information for patent applications.
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 either:
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; or
c) Telephone order transactions; and
2. Designed for installation by the user without further substantial support by the supplier; or
b) 'In the public domain`.
DEFINITIONS OF TERMS IN THIS ANNEX
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 (usually measured in terms of inaccuracy).
'Active flight control systems` (7) are systems that function to prevent undesirable 'aircraft` and missile motions or structural loads by autonomously processing outputs from multiple sensors and then providing necessary preventive commands to effect automatic control.
'Active pixel` (6, 8) is a minimum (single) element of the solid state array which has a photoelectric transfer function when exposed to light (electromagnetic) radiation.
'Adapted for use in war` (1) means any modification or selection (such as altering purity, shelf-life, virulence, dissemination characteristics, or resistance to UV radiation) designed to increase the effectiveness in producing casualties in humans or animals, degrading equipment or damaging crops or the environment.
'Adaptive control` (2) means a control system that adjusts the response from conditions detected during the operation (ref. ISO 2806-1980).
'Aircraft` (1, 7, 9) means a fixed wing, swivel wing, rotary wing (helicopter), tilt rotor or tilt-wing airborne vehicle.
NB: See also 'civil aircraft`.
'Angular position deviation` (2) means the maximum difference between angular position and the actual, very accurately measured angular position after the workpiece mount of the table has been turned out of its initial position (ref. VDI/VDE 2617, Draft: 'Rotary tables on coordinate measuring machines`).
'Asynchronous transfer mode` ('ATM`) (5) means a transfer mode in which the information is organised into cells; it is asynchronous in the sense that the recurrence of cells depends on the required or instantaneous bit rate (CCITT recommendation L.113).
'ATM` is equivalent to 'Asynchronous transfer mode`.
'Automatic target tracking` (6) means a processing technique that automatically determines and provides as output an extrapolated value of the most probable position of the target in real time.
'Basic gate propagation delay time` (3) means the propagation delay time value corresponding to the basic gate used within a 'family` of 'monolithic integrated circuits`. This may be specified, for a given 'family`, either as the propagation delay time per typical gate or as the typical propagation delay time per gate.
NB: 'Basic gate propagation delay time` is not be confused with the input/output delay time of a complex 'monolithic integrated circuit`.
'Basic scientific research` (GTN NTN) means experimental or theoretical work undertaken principally to acquire new knowledge of the fundamental principles of phenomena or observable facts, not primarily directed towards a specific practical aim or objective.
'Bias` (accelerometer) (7) means an accelerometer output when no acceleration is applied.
'Camming` (axial displacement) (2) means axial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle faceplate, at a point next to the circumference of the spindle faceplate (ref. ISO 230/1 1986, paragraph 5.63).
'Carbon fibre preforms` (1) means an ordered arrangement of uncoated or coated fibres intended to constitute a framework of a part before the 'matrix` is introduced to form a 'composite`.
'CE` is equivalent to 'computing element`.
'CEP` (circle of equal probability) (7) is a measure of accuracy; the radius of the circle centred at the target, at a specific range, in which 50 % of the payloads impact.
'Chemical laser` (6) means a 'laser` in which the excited species is produced by the output energy from a chemical reaction.
'Circulation-controlled anti-torque or circulation controlled direction control systems` (7) are systems that use air blown over aerodynamic surfaces to increase or control the forces generated by the surfaces.
'Civil aircraft` (1, 7, 9) means those 'aircraft` listed by designation in published airworthiness certification lists by the civil aviation authorities to fly commercial civil internal and external routes or for legitimate civil, private or business use.
NB: See also 'aircraft`.
'Commingled` (1) means filament to filament blending of thermoplastic fibres and reinforcement fibres in order to produce a fibre reinforcement 'matrix` mix in total fibre form.
'Comminution` (1) means a process to reduce a material to particles by crushing or grinding.
'Common channel signalling` (5) is a signalling method in which a single channel between exchanges conveys, by means of labelled messages, signalling information relating to a multiplicity of circuits or calls and other information such as that used for network management.
'Communications channel controller` (5) means the physical interface which controls the flow of synchronous or asynchronous digital information. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.
'Composite` (1, 2, 6, 8, 9) means a 'matrix` and an additional phase or additional phases consisting of particles, whiskers, fibres or any combination thereof, present for a specific purpose or purposes.
'Composite theoretical performance` ('CTP`) (3, 4) is a measure of computational performance given in millions of theoretical operations per second (Mtops), calculated using the aggregation of 'computing elements` ('CE`).
NB: See Category 4, Technical Note.
'Compound rotary table` (2) means a table allowing the workpiece to rotate and tilt about two non-parallel axes, which can be coordinated simultaneously for 'contouring control`.
'Computing element` ('CE`) (4) means the smallest computational unit that produces an arithmetic or logic result.
'Contouring control` (2) means two or more 'numerically controlled` motions operating in accordance with instructions that specify the next required position and the required feed rates to that position. These feed rates are varied in relation to each other so that a desired contour is generated (ref. ISO/DIS 2806-1980).
'Critical temperature` (1, 3, 6) (sometimes referred to as the transition temperature) of a specific 'superconductive` material means the temperature at which the material loses all resistance to the flow of direct electrical current.
'Cryptography` (5) means the discipline which embodies principles, means and methods for the transformation of data in order to hide its information content, prevent its undetected modification or prevent its unauthorised use. 'Cryptography` is limited to the transformation of information using one or more 'secret parameters` (e.g., crypto variables) or associated key management.
NB: 'Secret parameter`: a constant or key kept from the knowledge of others or shared only within a group.
'CTP` is equivalent to 'composite theoretical performance`.
'Data signalling rate` (5) means the rate, as defined in ITU Recommendation 53-36, taking into account that, for non-binary modulation, baud and bit per second are not equal. Bits for coding, checking and synchronisation functions are to be included.
NB: 1. When determining the 'data signalling rate`, servicing and administrative channels shall be excluded.
2. It is the maximum one-way rate, i.e., the maximum rate in either transmission or reception.
'Deformable mirrors` (6) (also known as adaptive optic mirrors) means mirrors having:
a) a single continuous optical reflecting surface which is dynamically deformed by the application of individual torques or forces to compensate for distortions in the optical waveform incident upon the mirror; or
b) multiple optical reflecting elements that can be individually and dynamically repositioned by the application of torques or forces to compensate for distortions in the optical waveform incident upon the mirror.
'Depleted uranium` (0) means uranium depleted in the isotope 235 below that occurring in nature.
'Development` (GTN NTN All) is related to all phases prior to serial production, such as: design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts.
'Diffusion bonding` (1, 2, 9) means a solid state molecular joining of at least two separate metals into a single piece with a joint strength equivalent to that of the weakest material.
'Digital computer` (4, 5) means equipment which can, in the form of one or more discrete variables, perform all of the following:
a) accept data;
b) store data or instructions in fixed or alterable (writable) storage devices;
c) process data by means of a stored sequence of instructions which is modifiable; and
d) provide output of data.
NB: Modifications of a stored sequence of instructions include replacement of fixed storage devices, but not a physical change in wiring or interconnections.
'Digital transfer rate` (5) means the total bit rate of the information that is directly transferred on any type of medium.
NB: See also 'total digital transfer rate`.
'Direct-acting hydraulic pressing` (2) means a deformation process which uses a fluid-filled flexible bladder in direct contact with the workpiece.
'Drift rate` (gyro) (7) means the time rate of output deviation from the desired output. It consists of random and systematic components and is expressed as an equivalent input angular displacement per unit time with respect to inertial space.
'Dynamic adaptive routing` (5) means automatic rerouting of traffic based on sensing and analysis of current actual network conditions.
NB: This does not include cases of routing decisions taken on predefined information.
'Dynamic signal analysers` (3) means 'signal analysers` which use digital sampling and transformation techniques to form a Fourier spectrum display of the given waveform including amplitude and phase information.
NB: See also 'signal analysers`.
'Effective gramme` (0, 1) of 'special fissile material` means:
a) for plutonium isotopes and uranium-233, the isotope weight in grammes;
b) for uranium enriched 1 % or greater in the isotope uranium-235, the element weight in grammes multiplied by the square of its enrichment expressed as a decimal weight fraction;
c) for uranium enriched below in the isotope uranium-235, the element weight in grammes multiplied by 0.0001.
'Electronic assembly` (3, 4, 5) means a number of electronic components (i.e., 'circuit elements`, 'discrete components`, integrated circuits, etc.) connected together to perform (a) specific function(s), replaceable as an entity and normally capable of being disassembled.
NB: 1. 'Circuit element`: a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
2. 'Discrete component`: a separately packaged 'circuit element` with its own external connections.
'Electronically steerable phased array antenna` (5, 6) means an antenna which forms a beam by means of phase coupling, i.e., the beam direction is controlled by the complex excitation coefficients of the radiating elements and the direction of that beam can be varied in azimuth or in elevation, or both, by application, both in transmission and reception, of an electrical signal.
'End-effectors` (2) include grippers, 'active tolling units` and any other tooling that is attached to the baseplate on the end of a 'robot` manipulator arm.
NB: 'Active tooling unit`: a device for applying motive power, process energy or sensing to the workpiece.
'Equivalent density` (6) means the mass of an optic per unit optical area projected onto the optical surface.
'Expert systems` (4, 7) means systems providing results by application of rules to data which are stored independently of the 'programme` and capable of any of the following:
a) modifying automatically the 'source code` introduced by the user;
b) providing knowledge linked to a class of problems in quasi-natural language; or
c) acquiring the knowledge required for their development (symbolic training).
'FADEC` is equivalent to 'full authority digital engine control`.
'Family` (3) means a group of microprocessor or microcomputer microcircuits with:
a) the same architecture;
b) the same basic instruction set; and
c) the same basic technology (e.g., only NMOS or only CMOS).
'Fault tolerance` (4) is the capability of a computer system, after any malfunction of any of its hardware or 'software` components, to continue to operate without human intervention, at a given level of service that provides: continuity of operation, data integrity and recovery of service within a given time.
'Fibrous or filamentary materials` (0, 1, 8) include:
a) continuous 'monofilaments`;
b) continuous 'yarns` and 'rovings`;
c) 'tapes`, fabrics, random mats and braids;
d) chopped fibres, staple fibres and coherent fibre blankets;
e) whiskers, either monocrystalline or polycrystalline, of any length;
f) aromatic polyamide pulp.
'Film type integrated circuit` (3) means an array of 'circuit elements` and metallic interconnections formed by deposition of a thick or thin film on an insulating 'substrate`.
NB: 'Circuit element` is a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
'Fixed` (5) means that the coding or compression algorithm cannot accept externally supplied parameters (e.g., cryptographic or key variables) and cannot be modified by the user.
'Flight control optical sensor array` (7) is a network of distributed optical sensors, using 'laser` beams, to provide real-time flight control data for on-board processing.
'Flight path optimisation` (7) is a procedure that minimises deviations from a four-dimensional (space and time) desired trajectory based on maximising performance or effectiveness for mission tasks.
'Focal plane array` (6) means a linear or two-dimensional planar layer, or combination of planar layers, of individual detector elements, with or without readout electronics, which work in the focal plane.
NB: This is not intended to include a stack of single detector elements or any two, three or four element detectors provided time delay and integration is not performed within the element.
'Frequency agility` (frequency hopping) (5) means a form of 'spread spectrum` in which the transmission frequency of a single communication channel is made to change by discrete steps.
'Frequency switching time` (3, 5) means the maximum time (i.e., delay), taken by a signal, when switched from one selected output frequency to another selected output frequency, to reach:
a) a frequency within 100 Hz of the final frequency; or
b) an outpout level within 1 dB of the final output level.
'Frequency synthesise` (3) means any kind of frequency source or signal generator, regardless of the actual technique used, providing a multiplicity of simultaneous or alternative output frequencies, from one or more outputs, controlled by, derived from or disciplined by a lesser number of standard (or master) frequencies.
'Full authority digital engine control` ('FADEC`) (7, 9) means an electronic control system for gas turbine or combined cycle engines utilising a digital computer to control the variables required to regulate engine thrust or shaft power output throughout the engine operating range from the beginning of fuel metering to fuel shutoff.
'Gas atomisation` (1) means a process to reduce a molten stream of metal alloy to droplets of 500 micrometre diameter or less by a high pressure gas stream.
'Gateway` (5) means the function, realised by any combination of equipment and 'software` to carry out the conversion of conventions for representing, processing or communicating information used in one system into the corresponding but different conventions used in another system.
'Geographically dispersed` (6) is where each location is distant from any other more than 1 500 m in any direction. Mobile sensors are always considered 'geographically dispersed`.
'Global interrupt latency time` (4) means the time taken by the computer system to recognise an interrupt due to the event, service the interrupt and perform a context switch to an alternate memory-resident task waiting on the interrupt.
'Guidance set` (7) means systems that integrate the process of measuring and computing a vehicle's position and velocity (i.e., navigation) with that of computing and sending commands to the vehicles flight control systems to correct the trajectory.
'Hot isostatic densification` (2) means the process of pressurising a casting at temperatures exceeding 375 K (102 °C) in a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal force in all directions to reduce or eliminate internal voids in the casting.
'Hybrid computer` (4) means equipment which can perform all of the following:
a) accept data;
b) process data, in both analogue and digital representations; and
c) provide output of data.
'Hybrid integrated circuit` (3) means any combination of integrated circuit(s), or integrated circuit with 'circuit elements` or 'discrete components` connected together to perform (a) specific function(s), and having all of the following characteristics:
a) containing at least one unencapsulated device;
b) connected together using typical IC production methods;
c) replaceable as an entity; and
d) not normally capable of being disassembled.
NB: 1. 'Circuit element`: a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
2. 'Discrete component`: a separately packaged 'circuit element` with its own external connections.
'Image enhancement` (4) means the processing of externally derived information-bearing images by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform). This does not include algorithms using only linear or rotational transformation of a single image, such as translation, feature extraction, registration or false coloration.
'Immunotoxin` (1) is a conjugate of one cell specific monoclonal antibody and a 'toxin` or 'sub-unit of toxin` that selectively affects diseased cells.
'In the public domain` (GTN NTN GSN), as it applies herein, means 'technology` or 'software` which has been made available without restrictions upon its further dissemination (copyright restrictions do not remove 'technology` or 'software` from being 'in the public domain`).
'Information security` (4, 5) is all the means and functions ensuring the accessibility, confidentiality or integrity of information or communications, excluding the means and functions intended to safeguard against malfunctions. This includes 'cryptography`, 'cryptanalysis`, protection against compromising emanations and computer security.
NB: 'Cryptanalysis`: analysis of a cryptographic system or its inputs and outputs to derive confidential variables or sensitive data, including clear text.
'Instantaneous bandwidth` (3, 5, 7) means the bandwidth over which output power remains constant within 3 dB without adjustment of other operating parameters.
'Instrumented range` (6) means the specified unambiguous display range of a radar.
'Insulation` (9) is applied to the components of a rocket motor, i.e., the case, nozzle, inlets, case closures, and includes cured or semi-cured compounded rubber sheet stock containing an insulating or refractory material. It may also be incorporated as stress relief boots or flaps.
'Integrated services digital network` (ISDN) (5) means a unified end-to-end digital network, in which data originating from all types of communication (e.g., voice, text, data, still and moving pictures) are transmitted from one port (terminal) in the exchange (switch) over one access line to and from the subscriber.
'Interconnected radar sensors` (6) means two or more radar sensors are interconnected when they mutually exchange data in real time.
'Interior lining` (9) is suited for the bond interface between the solid propellant and the case or insulating liner. Usually a liquid polymer based dispersion of refractory or insulating materials, e.g., carbon filled HTPB or other polymer with added curing agents sprayed or screeded over a case interior.
'Intrinsic magnetic gradiometer` (6) is a single magnetic field gradient sensing element and associated electronics the output of which is a measure of magnetic field gradient.
NB: See also 'magnetic gradiometer`.
'ISDN` is equivalent to 'Integrated services digital network`.
'Isolated live cultures` (1) includes live cultures in dormant form and in dried preparations.
'Isostatic presses` (2) mean equipment capable of pressurising a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal pressure in all directions within the cavity upon a workpiece or material.
'Laser` (0, 2, 3, 5, 6, 7, 8, 9) is an assembly of components which produce both spatially and temporally coherent light that is amplified by stimulated emission of radiation.
NB: See also: 'Chemical laser`; 'Q-switched laser`; 'Super high power laser`; 'Transfer laser`.
'Linearity` (2) (usually measured in terms of non-linearity) means the maximum deviation of the actual characteristic (average of upscale and downscale readings), positive or negative, from a straight line so positioned as to equalise and minimise the maximum deviations.
'Local area network` (4) is a data communication system having all of the following characteristics:
a) allows an arbitrary number of independent 'data devices` to communicate directly with each other; and
b) is confined to a geographical area of moderate size (e.g., office building, plant, campus, warehouse).
NB: 'Data device` means equipment capable of transmitting or receiving sequences of digital information.
'Magnetic gradiometers` (6) are instruments designed to detect the spatial variation of magnetic fields from sources external to the instrument. They consist of multiple 'magnetometers` and associated electronics the output of which is a measure of magnetic field gradient.
NB: See also 'intrinsic magnetic gradiometer`.
'Magnetometers` (6) are instruments designed to detect magnetic fields from sources external to the instrument. They consist of a single magnetic field sensing element and associated electronics the output of which is a measure of the magnetic field.
'Main storage` (4) means the primary storage for data or instructions for rapid access by a central processing unit. It consists of the internal storage of a 'digital computer` and any hierarchial extension thereto, such as cache storage or non-sequentially accessed extended storage.
'Materials resistant to corrosion by UF6` (0) may be copper, stainless steel, aluminium, aluminium oxide, aluminium alloys, nickel or alloy containing 60 weight percent or more nickel and UF6-resistant fully fluorinated hydrocarbon polymers, as appropriate for the type of separation process`.
'Matrix` (1, 2, 8, 9) means a substantially continuous phase that fills the space between particles, whiskers or fibres.
'Measurement uncertainty` (2) is the characteristic parameter which specifies in what range around the output value the correct value of the measureable variable lies with a confidence level of 95 %. It includes the uncorrected systematic deviations, the uncorrected backlash and the random deviations (ref. ISO 10360-2, or VDI/VDE 2617).
'Mechanical alloying` (1) means an alloying process resulting from the bonding, fracturing and rebonding of elemental and master alloy powders by mechanical impact. Non-metallic particles may be incorporated in the alloy by addition of the appropriate powders.
'Media access unit` (5) means equipment which contains one or more communication interfaces ('network access controller`, 'communications channel controller`, modem or computer bus) to connect terminal equipment to a network.
'Melt extraction` (1) means a process to 'solidify rapidly` and extract a ribbon-like alloy product by the insertion of a short segment of a rotating chilled block into a bath of a molten metal alloy.
NB: 'Solidify rapidly`: solidification of molten material at cooling rates exceeding 1 000 K/sec.
'Melt spinning` (1) means a process to 'solidify rapidly` a molten metal stream impinging upon a rotating chilled block, forming a flake, ribbon or rod-like product.
NB: 'Solidify rapidly`: solidification of molten material at cooling rates exceeding 1 000 K/sec.
'Microcomputer microcircuit` (3) means a 'monolithic integrated circuit` or 'multichip integrated circuit` containing an arithmetic logic unit (ALU) capable of executing general purpose instructions from an internal storage, on data contained in the internal storage.
NB: The internal storage may be augmented by an external storage.
'Microprocessor microcircuit` (3) means a 'monolithic integrated circuit` or 'multichip integrated circuit` containing an arithmetic logic unit (ALU) capable of executing a series of general purpose instructions from an external storage.
NB: 1. The 'microprocessor microcircuit` normally does not contain integral user-accessible storage, although storage present on-the-chip may be used in performing its logic function.
2. This includes chip sets which are designed to operate together to provide the function of a 'microprocessor microcircuit`.
'Microorganisms` (1, 2) means bacteria, viruses, mycoplasms, rickettsiae, chlamydiae or fungi, whether natural, enhanced or modified, either in the form of isolated live cultures or as material including living material which has been deliberately inoculated or contaminated with such cultures.
'Missiles` (1, 3, 5, 6, 7, 9) means complete rocket systems and unmanned air vehicle systems, capable of delivering at least 500 kg payload to a range of at least 300 km.
'Monofilament` (1) or filament is the smallest increment of fibre, usually several micrometres in diameter.
'Monolithic integrated circuit` (3) means a combination of passive or active 'circuit elements` or both which:
a) are formed by means of diffusion processes, implantation processes or deposition processes in or on a single semiconducting piece of material, a so-called 'chip`;
b) can be considered as indivisibly associated; and
c) perform the function(s) of a circuit.
NB: 'Circuit element` is a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
'Monospectral imaging sensors` (6) are capable of acquisition of imaging data from one discrete spectral band.
'Multichip integrated circuit` (3) means two or more 'monolithic integrated circuits` bonded to a common 'substrate`.
'Multi-data-stream processing` (4) means the 'microprogramme` or equipment architecture technique which permits simultaneous processing of two or more data sequences under the control of one or more instruction sequences by means such as:
a) single instruction multiple data (SIMD) architectures such as vector or array processors;
b) multiple single instruction multiple data (MSIMD) architectures;
c) multiple instruction multiple data (MIMD) architectures, including those which are tightly coupled, closely coupled or loosely coupled; or
d) structured array of processing elements, including systolic arrays.
NB: 'Microprogramme` means a sequence of elementary instructions, maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction into an instruction register.
'Multilevel security` (5) means a class of system containing information with different sensitivities that simultaneously permits access by users with different security clearances and needs-to-know, but prevents users from obtaining access to information for which they lack authorisation.
NB: 'Multilevel security` is computer security and not computer reliability which deals with equipment fault prevention or human error prevention in general.
'Multispectral imaging sensors` (6) are capable of simultaneous or serial acquisition of imaging data from two or more discrete spectral bands. Sensors having more than 20 discrete spectral bands are sometimes referred to as hyperspectral imaging sensors.
'Natural uranium` (0) means uranium containing the mixtures of isotopes occurring in nature.
'Network access controller` (4, 5) means a physical interface to a distributed switching network. It uses a common medium which operates throughout at the same 'digital transfer rate` using arbitration (e.g., token or carrier sense) for transmission. Independently from any other, it selects data packets or data groups (e.g., IEEE 802) addressed to it. It is an assembly that can be integrated into computer or telecommunications equipment to provide communications access.
'Neural computer` (4) means a computational device designed or modified to mimic the behaviour of a neuron or a collection of neurons, i.e., a computational device which is distinguished by its hardware capability to modulate the weights and numbers of the interconnections of a multiplicity of computational components based on previous data.
'Noise level` (6) means an electrical signal given in terms of power spectral density. The relation between 'noise level` expressed in peak-to-peak is given by S²pp = 8N0(f2-f1) where Spp is the peak-to-peak value of the signal (e.g., nanoteslas), N0 is the power spectral density (e.g., (nanotesla)²/Hz) and (f2-f1) defines the bandwidth of interest.
'Nuclear reactor` (0) means the items within or attached directly to the reactor vessel, the equipment which controls the level of power in the core, and the components which normally contain, come into direct contact with or control the primary coolant of the reactor core.
'Numerical control` (2) means the automatic control of a process performed by a device that makes use of numeric data usually introduced as the operation is in progress (ref. ISO 2382).
'Object code` (9) means an equipment executable form of a convenient expression of one or more processes ('source code` (source language)) which has been converted by programming system.
'Optical amplification` (5), in optical communications, means an amplification technique that introduces a gain of optical signals that have been generated by a separate optical source, without conversion to electrical signals, i.e., using semiconductor optical amplifiers, optical fibre luminescent amplifiers.
'Optical computer` (4) means a computer designed or modified to use light to represent data and whose computational logic elements are based on directly coupled optical devices.
'Optical fibre preforms` (5, 6) means bars, ingots, or rods of glass, plastic or other materials which have been specially processed for use in fabricating optical fibres. The characteristics of the preform determine the basic parameters of the resultant drawn optical fibres.
'Optical integrated circuit` (3) means a 'monolithic integrated circuit` or a 'hybrid integrated circuit` containing one or more parts designed to function as a photosensor or photoemitter or to perform (an) optical or (an) electro-optical function(s).
'Optical switching` (5) means the routing of or switching of signals in optical form without conversion to electrical signals.
'Overall current density` (3) means the total number of ampere-turns in the coil (i.e., the sum of the number of turns multiplied by the maximum current carried by each turn) divided by the total cross-section of the coil (comprising the superconducting filaments, the metallic matrix in which the superconducting filaments are embedded, the encapsulating material, any cooling channels, etc.).
'Participating state` (7, 9) means a participating state in the Wassenaar Arrangement.
'Peak power` (6), means energy per pulse in joules divided by the pulse duration in seconds.
'Personalised smart card` (5) means a smart card containing a microcircuit which has been programmed for a specific application and cannot be reprogrammed for any other application by the user.
'Power management` (7) means changing the transmitted power of the altimeter signal so that received power at the 'aircraft` altitude is always at the minimum necessary to determine the altitude.
'Pressure transducers` (2) are devices that convert pressure measurements into an electrical signal.
'Previously separated` (0, 1) means the application of any process intended to increase the concentration of the controlled isotope.
'Primary flight control` (7) means an 'aircraft` stability or manoeuvering control using force/moment generators, i.e., aerodynamic control surfaces or propulsive thrust vectoring.
'Principal element` (4), as it applies in Category 4, is a 'principal element` when its replacement value is more than 35 % of the total value of the system of which it is an element. Element value is the price paid for the element by the manufacturer of the system, or by the system integrator. Total value is the normal international selling price to unrelated parties at the point of manufacture or consolidation of shipment.
'Production` (GTN NTN All) means all production phases, such as: construction, production engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance.
'Production equipment` (9) means tooling, templates, jigs, mandrels, moulds, dies, fixtures, alignment mechanisms, test equipment, other machinery and components thereof, limited to those specially designed or modified for 'development` or for one or more phases of 'production`.
'Production facilities` (9) means equipment and specially designed software therefore integrated into installations for 'development` or for one or more phases of 'production`.
'Programme` (2, 6) means a sequence of instructions to carry out a process in, or convertible into, a form executable by an electronic computer.
'Pulse compression` (6) means the coding and processing of a radar signal pulse of long time duration to one of short time duration, while maintaining the benefits of high pulse energy.
'Pulse duration` (6) is the duration of a 'laser` pulse measured at full width half intensity (FWHI) levels.
'Q-switched laser` (6) means a 'laser` in which the energy is stored in the population inversion or in the optical resonator and subsequently emitted in a pulse.
'Radar frequency agility` (6) means any technique which changes, in a pseudo-random sequence, the carrier frequency of a pulsed radar transmitter between pulses or between groups of pulses by an amount equal to or larger than the pulse bandwidth.
'Radar spread spectrum` (6) means any modulation technique for spreading energy originating from a signal with a relatively narrow frequency band, over a much wider band of frequencies, by using random or pseudo-random coding.
'Real time bandwidth` (3) for 'dynamic signal analysers` is the widest frequency range which the analyser can output to display or mass storage without causing any discontinuity in the analysis of the input data. For analysers with more than one channel, the channel configuration yielding the widest 'real-time bandwidth` shall be used to make the calculation.
'Real time processing` (2, 4, 6, 7) means the processing of data by a computer system providing a required level of service, as a function of available resources, within a guaranteed response time, regardless of the load of the system, when stimulated by an external event.
'Required` (GTN 1-9), as applied to 'technology` or 'software`, refers to only that portion of 'technology` or 'software` which is peculiarly responsible for achieving or extending the controlled performance levels, characteristics or functions. Such 'required` 'technology` or 'software` may be shared by different goods.
'Resolution` (2) means the least increment of a measuring device; on digital instruments, the least significant bit (ref. ANSI B-89.1.12).
'Robot` (2, 8) means a manipulation mechanism, which may be of the continuous path or of the point-to-point variety, may use sensors, and has all the following characteristics:
a) is multifunctional;
b) is capable of positioning or orienting material, parts, tools or special devices through variable movements in three dimensional space;
c) incorporates three or more closed or open loop servo-devices which may include stepping motors; and
d) has 'user-accessible programmability` by means of teach/playback method or by means of an electronic computer which may be a programmable logic controller, i.e., without mechanical intervention.
NB: The above definition does not include the following devices:
1. Manipulation mechanisms which are only manually/teleoperator controllable;
2. Fixed sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed stops, such as pins or cams. The sequence of motions and the selection of paths or angles are not variable or changeable by mechanical, electronic or electrical means;
3. Mechanically controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed, but adjustable stops, such as pins or cams. The sequence of motions and the selection of paths or angles are variable within the fixed programme pattern. Variations or modifications of the programme pattern (e.g., changes of pins or exchanges of cams) in one or more motion axes are accomplished only through mechanical operations;
4. Non-servo-controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is variable but the sequence proceeds only by the binary signal from mechanically fixed electrical binary devices or adjustable stops;
5. Stacker cranes defined as Cartesian coordinate manipulator systems manufactured as an integral part of a vertical array of storage bins and designed to access the contents of those bins for storage or retrieval.
'Rotary atomisation` (1) means a process to reduce a stream or pool of molten metal to droplets to a diameter of 500 micrometre or less by centrifugal force.
'Roving` (1) is a bundle (typically 12-120) of approximately parallel 'strands`.
NB: 'Strand` is a bundle of 'monofilaments` (typically over 200) arranged approximately parallel.
'Run out` (out-of-true running) (2) means radial displacement in one revolution of the main spindle measured in a plane perpendicular to the spindle axis at a point on the external or internal revolving surface to be tested (ref. ISO 230/1-1986, paragraph 5.61).
'Scale factor` (gyro or accelerometer) (7) means the ratio of change in output to a change in the input intended to be measured. Scale factor is generally evaluated as the slope of the straight line that can be fitted by the method of least squares to input-output data obtained by varying the input cyclically over the input range.
'SDH` is equivalent to 'synchronous digital hierarchy`.
'Settling time` (3) means the time required for the output to come within one-half bit of the final value when switching between any two levels of the converter.
'SHPL` is equivalent to 'super high power laser`.
'Signal analysers` (3) means apparatus capable of measuring and displaying basic properties of the single-frequency components of multi-frequency signals.
'Signal processing` (3, 4, 5, 6) means the processing of externally derived information-bearing signals by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations beween domains (e.g., fast Fourier transform or Walsh transform).
'Software` (GSN All) means a collection of one or more 'programmes` or 'microprogrammes` fixed in any tangible medium of expression.
NB: 'Microprogramme` means a sequence of elementary instructions, maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction into an instruction register.
'SONET` is equivalent to 'synchronous optical network`.
'Source code` (or source language) (4, 5, 6, 7, 9) is a convenient expression of one or more processes which may be turned by a programming system into equipment executable form ('object code` (or object language)).
'Spacecraft` (7, 9) means active and passive satellites and space probes.
'Space qualified` (3, 6) refers to products designed, manufactured and tested to meet the special electrical, mechanical or environmental requirements for use in the launch and deployment of satellites or high altitude flight systems operating at altitudes of 100 km or higher.
'Special fissile material` (0) means plutonium-239, uranium-233, 'uranium enriched in the isotopes 235 or 233`, and any material containing the foregoing`.
'Specific modulus` (0, 1) is Young's modulus in pascals, equivalent to N/m² divided by specific weight in N/m³, measured at a temperature of (296 ± 2) K (23 ± 2) °C) and a relative humidity of (50 ± 5) %.
'Specific tensile strength` (0, 1) is ultimate tensile strength in pascals, equivalent to N/m² divided by specific weight in N/m³, measured at a temperature of (296 ± 2) K (23 ± 2) °C) and a relative humidity of (50 ± 5) %.
'Spectral efficiency` (5) is a figure of merit parametrised to characterise the efficiency of transmission system which uses complex modulation schemes such as QAM (quadrature amplitude modulation), Trellis coding, QPSK (Q-phased shift key), etc. It is defined as follows:
'Spectral efficiency` = >NUM>'Digital transfer rate` (bits/second)
>DEN>6 dB spectrum bandwidth (Hz)
'Splat quenching` (1) means a process to 'solidify rapidly` a molten metal stream impinging upon a chilled block, forming a flake-like product.
NB: 'Solidify rapidly`: solidification of molten material at cooling rates exceeding 1 000 K/sec.
'Spread spectrum` (5) means the technique whereby energy in a relatively narrow-band communication channel is spread over a much wider energy spectrum.
'Spread spectrum` radar (6) - see 'Radar spread spectrum`.
'Stability` (7) means the standard deviation (1 sigma) of the variation of a particular parameter from its calibrated value measured under stable temperature conditions. This can be expressed as a function of time.
'Stored programme controlled` (2, 3, 5) means controlled by using instructions stored in an electronic storage which a processor can execute in order to direct the performance of predetermined functions.
NB: Equipment may be 'stored programme controlled` whether the electronic storage is internal or external to the equipment.
'Substrate` (3) means a sheet of base material with or without an interconnection pattern and on which or within which 'discrete components` or integrated circuits or both can be located.
NB: 1. 'Discrete component`: a separately packaged 'circuit element` with its own external connections.
2. 'Circuit element`: a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.
'Substrate blanks` (6) means monolithic compounds with dimensions suitable for the production of optical elements such as mirrors or optical windows.
'Sub-unit of toxin` (1) is a structurally and functionally discrete component of a whole 'toxin`.
'Superalloys` (2, 9) means nickle-, cobalt- or iron-base alloys having strengths superior to any alloys in the AISI 300 series at temperatures over 922 K (649 °C) under severe environmental and operating conditions.
'Superconductive` (1, 3, 6, 8) means materials, i.e., metals, alloys or compounds, which can lose all electrical resistance, i.e., which can attain infinite electrical conductivity and carry very large electrical currents without Joule heating.
NB: The 'superconductive` state of a material is individually characterised by a 'critical temperature`, a critical magnetic field, which is a function of temperature, and a critical current density which is however, a function of both magnetic field and temperature.
'Super high power laser` ('SHPL`) (6) means a 'laser` of delivering (the total or any portion of) the output energy exceeding 1 kJ within 50 ms or having an average or CW power exceeding 20 kW.
'Superplastic forming` (1, 2) means a deformation process using heat for metals that are normally characterised by low values of elongation (less than 20 %) at the breaking point as determined at room temperature by conventional tensile strength testing, in order to achieve elongations during processing which are at least two times those values.
'Switch fabric` (5) is that hardware and associated 'software` which provides the physical or virtual connection path for in-transit message traffic being switched.
'Synchronous digital hierarchy` ('SDH`) (5) means a digital hierarchy providing a means to manage, multiplex and access various forms of digital traffic using a synchronous transmission format on different types of media. The format is based on the synchronous transport module (STM) which is defined by CCITT Recommendation G.703, G.707, G.708, G.709 and others yet to be published. The first level rate of 'SDH` is 155.52 Mbit/s.
'Synchronous optical network` ('SONET`) (5) means a network providing a means to manage, multiplex and access various forms of digital traffic using a synchronous transmission format on fibre optics. The format is the North American version of 'SDH` and also uses the synchronous transport module (STM). However, it uses the synchronous transport signal (STS) as the basic transport module with a first level rate of 51.81 Mbit/s. The 'SONET` standards are being integrated into those of 'SDH`.
'System tracks` (6) means processed, correlated (fusion of radar target data to flight plan position) and updated aircraft flight position report available to the Air Traffic Control centre controllers.
'Systolic array computer` (4) means a computer where the flow and modification of the data is dynamically controllable at the logic gate level by the user.
'Tape` (1) is a material constructed of interlaced or unidirectional 'monofilaments`, 'strands`, 'rovings`, 'tows`, or 'yarns`, etc., usually preimpregnated with resin.
NB: 'Strand` is a bundle of 'monofilaments` (typically over 200) arranged approximately parallel.
'Technology` (GTN NTN All) means specific information necessary for the 'development`, 'production` or 'use` of goods. This information takes the form of 'technical data` or 'technical assistance`.
NB: 1. 'Technical assistance` may take forms such as instructions, skills, training, working knowledge and consulting services and may involve the transfer of 'technical data`.
2. 'Technical data` may take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories.
'Terminal interface equipment` (4) means equipment at which information enters or leaves the telecommunication system, e.g., telephone, data device, computer, facsimile device.
'Three dimensional vector rate` (4) means the number of vectors generated per second which have 10 pixel poly line vectors, clip tested, randomly oriented, with either integer or floating point X-Y-Z coordinate values (whichever produces the maximum rate).
'Tilting spindle` (2) means a tool-holding spindle which alters, during the machining process, the angular position of its centre line with respect to any other axis.
'Time constant` (6) is the time taken from the application of a light stimulus for the current increment to reach a value of 1 - >NUM>1/
>DEN>e
times the final value (i.e., 63 % of the final value).
'Total control of flight` (7) means an automated control of 'aircraft` state variables and flight path to meet mission objectives responding to real time changes in data regarding objectives, hazards or other 'aircraft`.
'Total digital transfer rate` (5) means the number of bits, including line coding, overhead and so forth per unit time passing between corresponding equipment in a digital transmission system.
NB: See also 'digital transfer rate`.
'Tow` (1) is a bundle of 'monofilaments`, usually approximately parallel.
'Toxins` (1, 2) means toxins in the form of deliberately isolated preparations or mixtures, no matter how produced, other than toxins present as contaminants of other materials such as pathological specimens, crops, foodstuffs or seed stocks of 'microorganisms`.
'Transfer laser` (6) means a 'laser` in which the lasing species is excited through the transfer of energy by collision of a non-lasing atom or molecule with a lasing atom or molecule species.
'Tunable` (6) means the ability of a 'laser` to produce a continuous output at all wavelengths over a range of several 'laser` transitions. A line selectable 'laser` produces discrete wavelengths within one 'laser` transition and is not considered 'tunable`.
'Uranium enriched in the isotopes 235 or 233` (0) means uranium containing the isotopes 235 or 233, or both, in an amount such that the abundance ratio of the sum of these isotopes to the isotope 238 is more than the ratio of the isotope 235 to the isotope 238 occurring in nature (isotopic ratio 0.72 %).
'Use` (GTN NTN All) means operation, installation (including on-site installation), maintenance (checking), repair, overhaul and refurbishing.
'User-accessible programmability` (4, 5, 6) means the facility allowing a user to insert, modify or replace 'programmes` by means other than:
a) a physical change in wiring or interconnections; or
b) the setting of function controls including entry of parameters.
'Vaccine` (1) is a medicinal product which is intended to stimulate a protective immunological response in humans or animals in order to prevent disease.
'Vacuum atomisation` (1) means a process to reduce a molten stream of metal to droplets of a diameter of 500 micrometre or less by the rapid evolution of a dissolved gas upon exposure to a vacuum.
'Variable geometry airfoils` (7) means the use of trailing edge flaps or tabs, or leading edge slats or pivoted nose droop, the position of which can be controlled in flight.
'Yarn` (1) is a bundle of twisted 'strands`.
NB: 'Strand` is a bundle of 'monofilaments` (typically over 200) arranged approximately parallel.
ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX
An acronym or abbreviation, when used as a defined term, will be found in 'Definitions of terms used in this Annex`.
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2E101'Technology` according to the General Technology Note for the 'use` of equipment or 'software` specified in 2B004, 2B104, 2B109, 2B116 or 2D101.
2E201'Technology` according to the General Technology Note for the 'use` of equipment or 'software` specified in 2A225, 2A226. 2B001, 2B006, 2B007.b., 2B007.c., 2B008, 2B009, 2B201, 2B204, 2B206, 2B207, 2B209, 2B225 to 2B232, 2D201 or 2D202.
2E301'Technology` required for the 'use` of goods specified in 2B350 to 2B352.
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Outline of 'CTP` calculation method
'CTP` is a measure of computational performance given in Mtops. In calculating the 'CTP` of an aggregation of 'CEs` the following three steps are required:
1. calculate the effective calculating rate R for each 'CE`;
2. apply the word length adjustment (L) to the effective calculating rate (R), resulting in a theoretical performance (TP) for each 'CE`;
3. if there is more than one 'CE`, combine the TPs, resulting in a 'CTP` for the aggregation. Details for these steps are given in the following sections.
Technical note:
N.B. 1.: For aggregations of multiple 'CEs` which have both shared and unshared memory subsystems, the calculation of 'CTP` is completed hierarchically, in two steps: first, aggregate the groups of 'CEs` sharing memory; second, calculate the 'CTP` of the groups using the calculation method for multiple 'CEs` not sharing memory.
N.B. 2.: 'CEs` are limited to input/output and peripheral functions (e.g., disk drive, communication and video display controllers) are not aggregated into the 'CTP` calculation.
The following table shows the method of calculating the effective calculating rate R for each 'CE`.
Step 1: The effective calculating rate R
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Rates should be calculated for all supported operand lengths considering both pipelined operations (if supported), and non-pipelined operations using the fastest executing instruction for each operand length based on:
1. Pipelined or register-to-register operations. Exclude extraordinarily short execution times generated for operations on a predetermined operand or operands (for example, multiplication by 0 or 1). If no register-to-register operations are implemented, continue with (2).
2. The faster of register-to-memory or memory-to-register operations; if these also do not exist, then continue with (3).
3. Memory-to-memory.
In each case above, use the shortest execution time certified by the manufacturer.
Step 2: TP for each supported operand length WL
Adjust the effective rate R (or R') by the word length adjustment L as follows:
TP = R × L
where L = (1/3 + >NUM>WL/
>DEN>96
)
N.B.: The word length WL used in these calculations is the operand length in bits. (If an operation uses operands of different lengths, select the largest word length.)
The combination of a mantissa ALU and an exponent ALU of a floating point processor or unit is considered to be one 'CE` with a word length (WL) equal to the number of bits in the data representation (typically 32 or 64) for purposes of the 'CTP` calculation.
This adjustment is not applied to specialised logic processors which do not use XOR instructions. In this case TP = R.
Select the maximum resulting value of TP for:
Each XP-only 'CE` Rxp;
Each FP-only 'CE` Rfp;
Each combined FP and XP 'CE` (R);
Each simple logic processor not implementing any of the specified arithmetic operations; and
Each special logic processor not using any of the specified arithmetic or logic operations.
Step 3: 'CTP` for aggregations of 'CEs` including CPUs
For a CPU with a single 'CE` 'CTP` = TP
(for 'CEs` performing both fixed and floating point operations TP = max (TPfp, TPxp))
'CTP` for aggregations of multiple 'CEs` operating simultaneously is calculated as follows:
Note 1 For aggregations that do not allow all of the 'CEs` to run simultaneously, the possible combination of 'CEs` that provides the largest 'CTP` should be used. The TP of each contributing 'CE` is to be calculated at its maximum value theoretically possible before the 'CTP` of the combination is derived.
N.B.: To determine the possible combinations of simultaneously operating 'CEs`, generate an instruction sequence that initiates operations in multiple 'CEs`, beginning with the slowest 'CE` (the one needing the largest number of cycles to complete its operation) and ending with the fastest 'CE`. At each cycle of the sequence, the combination of 'CEs` that are in operation during that cycle is a possible combination. The instruction sequence must take into account all hardware and/or architectural constraints on overlapping operations.
Note 2 A single integrated circuit chip or board assembly may contain multiple 'CEs`.
Note 3 Simultaneous operations are assumed to exist when the computer manufacturer claims concurrent, parallel or simultaneous operation or execution in a manual or brochure for the computer.
Note 4 'CTP` values are not to be aggregated for 'CE` combinations (inter)connected by 'local area networks`, wide area networks, I/O shared connections/devices, I/O controllers and any communication interconnection implemented by software.
Note 5 'CTP` values must be aggregated for multiple 'CEs` specially designed to enhance performance by aggregation, operating simultaneously and sharing memory, - or multiple memory ('CE` - combinations operating simultaneously utilising specially designed hardware.
This aggregation does not apply to 'electronic assemblies` described by 4A003.d.
'CTP` = TP1 + C2 × TP2 + . . . + Cn × TPn,
where the TPs are ordered by value, with TP1 being the highest, TP2 being the second highest, . . ., and TPn being the lowest. Ci is a coefficient determined by the strength of the interconnection between 'CEs`, as follows:
For multiple 'CEs` operating simultaneously and sharing memory:
C2 = C3 = C4 = . . . = Cn = 0,75
Note 1 When the 'CTP` calculated by the above method does not exceed 194 Mtops, the following formula may be used to calculate Ci:
Ci = >NUM>0,75
>DEN>√ m
(i = 2, . . ., n)
where m = the number of 'CEs` or groups of 'CEs` sharing access.
provided:
1. the TPi of each 'CE` or group of 'CEs` does not exceed 30 Mtops;
2. the 'CEs` or groups of 'CEs` share access to main memory (excluding cache memory) over a single channel; and
3. only one 'CE` or group of 'CEs` can have use of the channel at any given time.
N.B.: This does not apply to items controlled under Category 3.
Note 2 'CEs` share memory if they access a common segment of solid state memory. This memory may include cache memory, main memory or other internal memory. Peripheral memory devices such as disk drives, tape drives or RAM disks are not included.
For multiple 'CEs` or groups of 'CEs` not sharing memory, interconnected by one or more data channels:
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The value of CSi is based on the number of 'CE`s, not the number of nodes.
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When calculating a Ci for group of 'CEs` the number of the first 'CE` in a group determines the proper limit for Ci. For example, in an aggregation of groups consisting of 3 'CEs` each, the 22nd group will contain 'CE`64, 'CE`65 and 'CE`66. The proper limit for Ci for this group is 0,60.
Aggregation (of 'CEs` or groups of 'CEs`) should be from the fastest-to-slowest; i.e.:
TP1 ≥ TP2 ≥ . . . ≥ TPn, and
in the case of TPi = TPi+1, from the largest to smallest, i.e.:
Ci ≥ Ci+1.
N.B.: The ki factor is not to be applied to 'CEs` 2 to 12 if the TPi of the 'CE` or group of 'CEs` is more than 50 Mtops; i.e., Ci for 'CEs` 2 to 12 is 0,75.
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ANNEX II
COMMUNITY GENERAL EXPORT AUTHORISATION
1. A general authorisation is granted for the export of dual-use items as specified in Schedule A hereto to any destination in any country specified in Schedule B hereto.
(a) Schedule A
Dual-use items specified in any entry in Annex I of the present Regulation except
- all entries in Category 0 (nuclear items)
- all entries in Category 5, part 2 (Information security)
- all entries with a '1` in the third position of the reference number (items controlled for reasons of missile proliferation)
- all entries of goods specified in Annex IV of the present Regulation
(b) Schedule B
Australia, Canada, Czech Republic, Hungary, Japan, New Zealand, Norway, Poland, Switzerland, United States of America
2. The registration and/or reporting requirement attached to the use of this authorisation are the respective requirement defined by Member States for the use of national General Authorisations.
3. The list of destinations specified in Schedule B shall be kept under constant review.
ANNEX III
MODEL FORM
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ANNEX IV
PART A
(a) List of goods subject to licensing requirement (Article 23.1)
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PART B
(b) List of goods subject to notification procedure (Article 22.1)
General note
1. The notification procedure does not apply to items listed in Category 5, Part 2 (Information security) when these items are transferred for personal use and are accompanying the user.
2. The necessity to maintain the notification procedure for items listed in Category 5, Part 2, shall be periodically reviewed.
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