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Introduction 2 International Munitions List - (EGCO Group 1)
The COCOM New International Industrial List COCOM agreed in 1985 to maintain a differential
in the application of controls of strategic goods to
The new International Industrial List, consisting of the People's Republic of China, The Notes herein
_nine Categories, reflects the 'Core List' agreement - concerning exports to the PRC may change in detail
reached in COCOM in May 1991, on goods and shortly after publication of this booklet.
technologies which are controlled for strategic
reasons. The COCOM implementation date is Why do Poland, Hungary and the Czech Br Slovak
1 September 1991. This List covers goods which Federal Republic receive different treatment7
COCOM has agreed should be embargoed to the
COCOM-proscribed countries and defines In recognition of their changed political status,
conditions under which certain embargoed goods COCOM agreed in 1990 to introduce a differential
may be licenced to those countries. in the application of controls on exports to Poland,
Hungary and the Czech & Slovak Federal Republic.
Each category is divided into five sections: In addition to the listed concessions, although
A. Equipment, Assemblies and Components; not specified within these texts, many of the
B. Test, Inspection and Production Equipment; goods embargoed by the new Industrial List now
C. Materials; qualifY for COCOM 'Favourable Consideration'
D. Software; for export to these countries.
E. Technology.
General Software Note to the Industrial List 1. A.2. "Composite" structures or laminates:
a. Having an organic ','matrix" and made from
(This overrides any embargo within Section D of each materials embargoed by 1.C.I0.c., d. or e.; or
category) b. Having a metal or carbon "matrix" and made
from:
The Industrial List does not embargo "software" 1. Carbon "fibrous or filamentary materials" with:
which is either: a. A 'specific modulus' exceeding
10.15 x 10 6 m; and
1. Generally available to the public by being: b. A 'specific tensile strength' exceeding
a. Sold from stock at retail selling points, 17.7 x 10 4 m; or
without restriction, by means of: 2. Materials embargoed by 1.C.IO.c.;
1. Over-the-counter transactions;
2. Mail order transactions: or (See Technical Note 1. C.t 0.)
3. Telephone call transactions; and
b. Designed for installation by the user without 1. A.3. Manufactures ofnon-fluorinated polymeric
further substantial support by the supplier; or substances embargoed by I.C.S.a., in film, sheet,
2. "In the public domain". tape or ribbon form:
a. With a thickness exceeding 0.254 mm; or
b. Coated or laminated with carbon, graphite, metals
or ma.gnetic substances;
ingredients, any of the following compounds or 3. The total acid or base number is less than 0.40.
materials: e. Autogenous ignition temperature is determined
1. Synthetic hydrocarbon oils or silahydrocarbon using the method described in ASTM E-659 or
oils with: national equivalents.
NOTE: FOr/he purpose cif 1.C.6.a.l.,
silahydrocarbon oils contain extlusively silicon, 1. C.7. Ceramic base materials, non-"composite"
hydrogen and carbon. ceramic materials, ceramic-"matrix" "composite"
a. A flash point exceeding 477 K (204°C); materials and precur.;or materials, as follows:
b. A pour point at 239 K (-34°C) or less; 1. C. 7. B. Base materials of single or complex borides of
c. A viscosity index of75 or more; and titanium having total metallic impurities,
d. A thermal stability at 616 K (343°C); or excluding intentional additions, ofless than 5,000
2. Chlorofluorocarbons with: ppm, an average particle size equal to or less than
NOTE: For the purpose of1.C6.a.2., 5 micrometre and no more than 10% of the
chlorofluorocarbons contain exclusively carbon, fluorine particles larger than 10 micrometre;
and chlorine. 1. C. 7. b. Non-"composite" ceramic materials in crude or
a. No flash point; semi-fabricated form, except abrasives, composed
b. An autogenous ignition temperature ofborides of titanium with a density of98% or
exceeding 977 K (704°C); more of the theoretical density;
c. A pour point at 219 K (-54°C) or less; 1. C. 7. c. Ceramic-ceramic "composite" materials with a
d. A viscosity index of 80 or more; and glass or oxide-"matrix" and reinforced with fibres
e. A boiling point at 473 K (200°C) or higher; from any of the following systems:
1. C. 6. b. Lubricating materials containing, as their principal 1. Si-N;
ingredients, any of the following compounds or 2. Si-C;
materials: 3. Si-Al-O-N; or
1. Phenylene or alkylphenylene ether.; or thioether.;, 4. Si-O-N;
or their mixtures, containing more than 1. C. 7. d. Ceramic-ceramic "composite" materials, with or
two ether or thio-ether functions or mixtures without a continuous metallic phase, containing
thereof; or finely dispersed particles or phases of any fibrous
2. Fluorinated silicone fluids with a kinematic or whisker-like material, where carbides or
viscosity ofless than 5,000 mm2/s (5,000 nitrides of silicon, zirconium or boron form the
centistokes) measured at 298 K (25°C); "matrix";
1. C. 6. c. Damping or flotation fluids with a purity exceeding 1. C. 7. e. Precur.;or materials (i.e., special purpose polymeric
99.8%, containing less than 25 particles of200 or metallo-organic materials) for producing any
micrometre or larger in size per 100 ml and made phase or phases of the materials embargoed by
from at least 85% of any of the following 1.C7.c., as follows:
compounds or materials: 1. Polydiorganosilanes (for producing silicon
1. Dibromotetrafluoroethane; carbide);
2. Polychlorotrifluoroethylene (oily and waxy 2. Polysilazanes (for producing silicon nitride);
modifications only); or 3. Polycarbosilazanes (for producing ceramics with
3. Polybromotrifluoroethylene; silicon, carbon and nitrogen components);
Technical Note: .
For the purpose of 1.C.6.: 1. C.8. Non-fluorinated polymeric substances, as follows:
a. Flash point is determined using the Cleveland 1. C. 8. B. 1. Bismaleimides;
Open Cup Method described in ASTM D-92 2. Aromatic polyamide-imides;
or national equivalents. 3. Aromatic polyimides;
b. Pour point is determined using the method 4. Aromatic polyetherimidcs having a glass
described in ASTM D-97 or national equivalents. transition temperature (Tg ) exceeding 503 K
c. Viscosity index is determined using the method (230°C) as measured by the wet method;
described in ASTM D-2270 or national NOTE: 1.CS.a. does not embargo nonjusible
equivalents. compression moulding powders or mouldedforms.
d. Thermal stability is determined by the following 1. C. 8. b. Thermoplastic liquid crystal copolymer.; having a
test procedure or national equivalents: heat distortion temperature exceeding 523 K
Twenty ml of the fluid under test is placed in a (250°C) measured according to ASTM D-648,
46 ml type 317 stainless steel chamber containing method A, or national equivalents, with a load of
one each of12.5 mm (nominal) diameter balls of 1.82 N/mm2 and composed of:
M-I0 tool steel, 52100 steel and naval bronze 1. Either of the following:
(60% Cu, 39% Zn, 0.75% Sn). The chamber is a. Phenylene, biphenylene or naphthalene; or
purged with nitrogen, sealed at atmospheric b. Methyl, tertiary-butyl or phenyl substituted
pressure and the temperature raised to and phenylene, biphenylene or naphthalene; and
maintained at 644 ± 6 K (371 ± 6°C) for six 2. Any of the following acids:
hour.;. a. Terephthalic acid;
The specimen will be considered thermally stable b. 6-hydroxy-2 naphthoic acid; or
if, on completion of the above procedure, all of c. 4-hydroxybenzoic acid;
the following conditions are met: 1. C. 8. c. Polyarylene ether ketones, as follows:
1. The loss in weight of each ball is less than 1. Polyether ether ketone (PEEK);
10 mg/mm2 of ball surface; 2. Polyether ketone ketone (PEKK);
2. The change in original viscosity as determined 3. Polyether ketone (PEK);
at 311 K (38°C) is less than 25%; and 4. Polyether ketone ether ketone ketone (PEKEKK);
·controlled" mac;:hine "tools is to be deter- f. Repeat steps 2 to 5 five times, twice in the same
mined and presented in accordance with direction of the axis travel and
ISO/DIS 23012, paragraph 2.13, in three times in the opposite direction of
conjunction with the requirements below: travel for a total of six test points;
a. Test conditions (paragraph 3): g. If the axis movement is between 80%
1. For 12 hours before and during and 120010 orthe minimum programmable input
measurments, the machine tool and for four of the six test points, the machine is
accuracy measuring equipment will be kept embargoed.
at the same ambient temperature. During For rotary'axes, the measurement is taken
the pre-measurement time the slides of the 200 mm from the centre of rotation.
machine will be continuously cycled in
the same manner that the accuracy 2. B. Notes: 1. 2.B.l.c.1. does not embargo cylindrical external.
measurements will be taken; internal, and external-internal grindingmachines
2. The machine shall be equipped with any having all of the following characteristics:
mechanical, electronic, or software a. Not centreless (shoe-type) grinding machines;
compensation to be exported with the b. Limited to cylindrical grinding;
machine; c. A maximum workpiece outside diameter or
3. Accuracy of measuring equipment for the length of 150 mm;
measurements shall be at least four times d. Only two axes which can be coordinated
more accurate than the expected machine simultaneously for" contouring control"; and
tool accuracy; e. No contouring c axis.
4. Power supply for slide drives shall be 2. 2.B.l.c.l. does not embargo machines designed
as follows: specifically as jig grinders having both of the
a. Line voltage variation shall not exceed following characteristics:
± 10 % of nominal rated voltage; a. Axes limited to x, y, c and a, where the c axis is
b. Frequency variation shall not exceed used to maintain the grinding wheel normal to
± 2 Hz of normal frequency; the work surface and the a axis is configured to
c. Lineouts or interrupted service are not grind barrel cams; and
permitted. b. A spindle "run out" not less (not better) than
b. Test programme (paragraph 4): 0.0006 mm.
1. Feed rate (velocity of slides) during 3. 2.B.1.c.1. does not embargo tool or cutter
measurement shall be the rapid travel'lle grinding machines having all of the following
rate; characteristics:
N.B.: In the case of machines tools which a. Shipped as a complete system with "software"
generate optical quality surfaces, the feed rate specially designed for the production of tools or
shall be equal to or less than 50 mm per minute; cutters;
2. Measurements shall be made in an b. No more than two rotary axes which can be
incremental manner from one limit of coordinated simultaneously for "contouring
the axis travel to the other without control";
returning to the starting position for c. "Run out" (out-of-true running) in one
each move to the target position; revolution of the spindle not less (not better)
3. Axes not being measured shall be retained than 0.0006 mm TIR; and
at midtravel during test of an axis. d. The positioning accuracies, with all
e. Presentation of test results (paragraph 2): compensations available, are not less (not better)
The results of the measurements must include: than:
1. positioning accuracy (A); and 1. 0.004 mm along any linear axis for overall
2. The mean reversal error (B). positioning; or
2. Minimum increment of motion test (slide 2. 0.001 0 on any rotary axis.
motion from rest): 4. Licence applications will be f.wourably considered
The test is conducted only if the machine tool is for the export of turning machines embargoed by
equipped with a conrtol unit the minimum 2.B.1.c.1. provided:
increment of which is less (better) than a. They arc not intended for use in nuclear related
0.5 micrometre. Prepare the machine for testing in activities; alld
accordance with ISO 230/2 paragraphs b. They have all of the following characteristics:
3.1,3.2,3.3. 1. Only two axes which can be coordinated
Conduct the test on each axis (slide) of the simultaneously for "contouring control";
machine tool as follows: 2. The positioning accuracy, with all
a. Move the axis over at least 50% of the compensations available, is not less (not
maximum travel in plus and minus better) than 0.002 mm per 300 mm of travel;
directions twice at maximum feed rate, 3. Geometric alignment of the axes, parallel or
rapid traverse rate or jog control; perpendicular to each other, is not less (not
b. Wait at least 10 seconds; better) than 0.001 mm per 300 mm of travel;
c. With manual data input, input the minimum 4. Slide trave! in both axes is not longer than
programmable increment of the control unit; 400 mm;
d. Measure the axis movement; 5. "Run-out" (out-of-true running) in one
e. Clear the control unit with the servo null, reset revolution of the spindle is nore (worse)
or whatever clears any signal (voltage) in the than 0.0004 mm TIR; and
servo loop; 6. "Camming" (axial displacement) in one
noztle exit) in 'a vacuum chamber capable of 2.8.6.c. Systems for simultaneous linear-angular inspection
evacuation down to 0.01 Pa prior to the of hemishells, having both of the following
spraying process; or , characteristics:
2. Incorporating in,situcoating thickness control; 1. "Measurement uncertainty" along any linear
2. B. 5. e. "Stored programme controlled" sputter deposition axis equal to or less (better) than 3.5 micrometre
production equipment capable of current densities per 5 mm; and
of 0.1 mA/mm2 or higher at a deposition rate of 2. "Angular position deviation" equal to or less
15 micrometre/hr or more; (better) th:tn 0.02°;
2. B. 5. f. "Stored programme controlled" cathodic arc 2.8.6. d. Equipment for measuring surface irregularities, by
deposition production equipment incorporating a measuring optical scatter as a function of angle,
grid of electromagnets for steering control of the with a sensitivity of 0.5 om or less (better);
arc spot on the cathode; Technical Notes:
2. B. 5. g. "Stored programme controlled" ion plating 1. The probe used in determining the "measurement
production equipment allowing for the in situ uncertainty" ofa dimensional inspection system shall
measurement of either: be as described in VDIIVDE 2617 Parts 2,3 and 4.
1. Coating thickness on the substrate and rate 2, All measurement values in 2.B.6. represent
control; or permissible positive and negative deviations
2. Optical characteristics; from the target value, i.e., not total band.
NOTE: 2.B.5.g, does not embargo standard ion NOTES:
plating coating equipment for cutting or machining tools, 1, Machine tools which can be used as
measuring machines are embargoed if they meet or
2. B. 6. Dimensional inspection or measuring systems or exceed the criteria spedjied for the machine tool
equipment, as follows: function or the measuring machine function,
2. B. 6. a. Computer controlled, "numerically controlled" 2. A machine described in 2.B.6, is embargoed if it
or "stored programme controlled" dimensional exceeds the embargo threshold anywhere within its
inspection machines, having both of the following operating range.
characteristics: (} '~/mq.bt>grtIlfkdal-1'(lItjolUl1!)iSqttion,jor
1. Two or more axes; and . thuxportofequiplMlt embtUg«d by 2.B.6.b.1, to
2. A one dimensional length "measurement ·cilli#.mil-Users'nol en~d'i"at1osp4a or nutkar
uncertainty" equal to or less (better) than ;:1- .JJIdi1ikifs..tJ1.ll'J) I L l t · · · , • ,,-':::Jf; ~ ''1 f" -]
I
Security Export Control September 1991 .~5
Cetegory 2: co/'ftinued·..
1. CoatiDa Prpceu (1)* 2.. S~ 3•. Resultant Coll[lina B.2. Ion assisted . Ceramics and Low- Dielectric bye,,(15)
resistive heating expansi()n glasses (14)
A. Chemical Vapour :'SuperalIoys" A1uminides for internal Physical Vapour
Deposition (CVD) passages Deposition (Ion
Pbting) Carbon-carbon, Dielectric bye" (15)
Ceramic and
,Ceramics and Low- Silicides
Metal "matrix"
expansion gIasses(14) Carbides UcOIllposites"
DiFlectric laye" (15)
Cemented tungsten Dielectric laye" (15)
Carbon-carbon, SiIlcides carbide (16),
Ceramic and Carbides Silicon carbide
Metal "matrix" Refractory metals
U composites" Mixtures thereof (4) Molybdenum and
Dielectric laye" (IS) Molybdenum alloys Dielectric laym (IS)
A1uminides
Alloyed aluminides (2) Beryllium and
Beryllium alloys Dielectric bye" (15)
Cemented tungsten Carbides
carbide (16), Tungsten Sensor window Dielectric laye" (IS)
Silicon carbide Mixtures thereof (4) materials (9)
Dielectric laye" (IS)
.8.3. Physical Vapour Ceramics and Low- Silicides
Molybdenum and Dielectric laye" (IS) Deposition: expansion glasses (14) Dielectric laye" (IS)
Molybdenum alloys ulaser" evaporation
* The numbe" in parenthesis refer to the Notes following this Table. Refractory metals A1uminides
and alloys (8) Silicides
Carbides
indices are 'used to reflect;'ttansmit or' absorb various' non line-of-sight deposition.
waveleiigth bands: Dielectric layers refers to more than N.B.: This dd/nition does not include random tathodic arc
four dielectric layers or dielectric/metal "composite" deposition with non-biased substrates.
layers. c. Ion Plating is a special modification of a general TE-PVD
16, Cemented tun~ten carbide does not include cutting and process in which a plasma or an ion source is used to
forming tool materials consisting of tungsten carbide/ ionize the species to be deposited, and a negative bias is
(cobalt, nickel), titanium carbide/(cobalt, nickel), applied to the substrate in order to facilitate the extraction
chromium carbidenickel-chromium and chromium of the species to be deposited from the plasma. The
carbide/nickel. introduction of reactive species, evaporation of solids
within the process chamber, and the use of monitors to
Table· Deposition Techniques· Technical Note: provide in-process measurement of optical characteristics
and thicknesses of coatings are ordinary modifications of
Processes specified in Column 1 of the Table are defined as the process.
follows: d. Pack Cementation is a surface modification coating or
a. Chemical Vapour Deposition (CVD) is an overlay overlay coating process wherein a substrate is immersed
coating or surface modification coating process wherein a in a powder mixture (a pack), that consists of:
metal, alloy, "composite", dielectric or ceramic is 1. The metallic powders that are to be deposited
deposited upon a heated substrate. Gaseous reactants are (usually aluminium, chromium, silicon or
decomposed or combined in the vicinity of a substrate combinations thereof);
resulting in the deposition of the desired elemental, alloy 2. An activator (normally a halide salt); and
or compound material on the substrate. Energy for this 3. An inert powder, most frequently alumina.The
decomposition or chemical reaction process may be substrate and powder. mixture is contained within a
provided by the heat of the substrate, a glow discharge retort which is heated to between 1,030 K (757°C) to
plasma, or "laser" irradiation. 1,375 K (1 ,102°C) for sufficient time to deposit the
N.B.: 1. CVD includes the following processes: coating.
directed gas flow out-oJ-pack deposition, pulsating e. Plasma Spraying is an overlay coating process wherein a
CVD, controlled nucleation thermal decomposition gun (spray torch) which produces and controls a plasma
(CNTD), plasma enhanced or plasma assisted CVD accepts powder or wire coating materials, melts them and
processes. propels them towards a substrate, whereon an integrally
2. Pack denotes a substrate immersed in a powder bonded coating is formed. Plasma spraying constitutes
mixture. either low pressure plasma spraying or high velocity
3. The gaseous reactants used in the out-<if-pack plasma spraying carried out underwater.
process are produced using the same basic reactions and N.B.: 1. Low pressure means less than ambient atmospheric
parameters as the pack cementation process, except pressure.
that the substrate to be coated is not in contact with 2. High velocity rtfers to nozzle-exit gas velocity
the powder mixture. exceeding 750 m/s calculated at 293 K (200C) at
b. Thermal Evaporation-Physical Vapour Deposition 0.1 MPa.
(TE-PVD) is an overlay coating process conducted f. Slurry Deposition is a surface modification coating or
in a vacuum with a pressure less than 0.1 Pa wherein a overlay coating process wherein a metallic or ceramic
source of thermal energy is used to vaporize the coating powder with an organic binder is suspended in a liquid
material. This process results in the condensation, or and is. applied to a substrate by either spraying, dipping or
deposition, of the evaporated speCies onto appropriately painting, subsequent air or oven drying, and heat
positioned substrates. The addition of gases to the treatment to obtain the desired coating.
vacUum chamber during the coating process to synthesize g. Sputter Deposition is an overlay coating process based on
compound coatings is an ordinary modification of the a momentum transfer phenomenon, wherein positive
process. The use of ion or electron beams, or plasma, to ions are accelerated by an electric field towards the
activate or assist the coating's deposition is also a common surface of a target (coating material). The kinetic energy
modification in this technique. The use of monitors to of the impacting ions is sufficient to cause target surface
provide in-process measurement of optical characteristics atoms to be released and deposited on an appropriately
and thickness of coatings can be a feature of these positioned substrate.
processes. N.B.: 1. The Table rtfers only to triode, magnetron or reactive
Specific TE-PVD processes are as follows: spuller deposition which is used to increase adhesion of
1. Electron Beam PVD uses an electron beam to heat and the coating and rate of deposition and to radio
evaporate the material which forms the coating; frequency (RF) augmented sputter deposition used to
2. Resistive Heating PVD employs electrically resistive permit vapourisation of non-metallic coating materials.
heating sources capable of producing a controlled and 2. Low-energy ion beams ~ess than 5 ke V? can be used
uniform flux of evaporated coating species; to activate the deposition.
3. "Laser" Evaporation uses either pulsed or continuous h. Ion Implantation is a surface modification coating process
wave "laser" beams to heat the material which forms in which the element to be alloyed is ionized, accelerated
the coating; through a potential gradient and implanted into the
4. Cathodic Arc Deposition employs a consumable surface region of the substrate. This includes processes in
cathode of the material which forms the coating and which ion implantation is performed simultaneously with
has an arc discharge established on the surface by a electron beam physical vapour deposition or sputter
momentary contact of a ground trigger. Controlled deposition.
motion of arcing erodes the cathode surface creating a
highly ionized plasma. The anode can be either a cone
attached to the periphery of the cathode, through an
insulator, or the chamber. Substrate biasing is used for
- (126-+ 20 I081OF .. 20 log1of) in dBc/Hz, where F 3.B.6. and having either of the following:
is the off-set fro. t1ttI ()Pt~ting frequency in Hz 1. Magnetic confinement; or
and: lis the operating frequency in MHz; 2. Electron cyclotron resonance (ECR);
N(>TB: 3.A.2.d. dOts not embargo equipment in
which the outputfrequency is either produced by the 3. B. 4. "Stored programme controlled" plasma enhanced
addition or subtraction of two or m"ore crystal oscillator CVD equipment, as follows:
frequendts, or by an addition or subtrdttion followed by a. With cassette-to-cassette operation and load-locks,
a multiplication of the result. and having either of the following:
3. A.2. e. Network analysers with a'maximum operating 1. Magnetic confinement; or
frequency exceeding 31 Gl-iz; 2. Electron cyclotron resonance (ECR);
NOTE: l.A.2.e. does not ~';'bargo ttsweptfrequency b. Specially designed for equipment embargoed by
network analysers" with a maximum operatingfrequency 3.B.6. and having either of the following:
not exceeding 40 GHz and which do not contain a data 1. Magnetic confinement; or
bus for remote control interfacing. 2. Electron cyclotron resonance (ECR);
3. A. 2. f. Microwave test receivers with both of the following:
1. A maximum operating frequency exceeding 3. B. 5. "Stored programme controlled" multifunctional
31 GHz; and focussed ion beam systems specially designed for
2. Capable of measuring amplitude and phase manufacturing, repairing, physical layout analysis and
simultaneously; testing of masks or semiconductor devices, having
3. A. 2. g. Atomic frequency standards having either of the either of the following:
following characteristics: a. Target-to-beam position feedback control
1. Long term stability (aging) less (better) than precision of 0.25 micrometre or finer; or
1 x 10-11 /month; or b. Digital-to-analogue conversion resolution
2. "Space qualified"; exceeding 12 bit;
NOTE: 3.A.2.g.1. does not embargo non -{(space
qualified" rubidium standards. 3. B. 6. "Stored programme controlled" automatic loading
3. A. 2. h. Emulators for microcircuits embargoed by 3.A.1.a.3. multi-chamber central wafer handling systems,
or 3.A.1.a.9.; having interfaces for wafer input and output, to
NOTE: 3.A.2.h.does not embargo emulators designed for which more than two pieces of semiconductor
a tJamily" which contains at least one device not processing equipment are to be connected, to form
embargoed by 3.A.l.a.3. or 3.A.l.a.9. an integrated system in a vacuum environment for
sequential multiple wafer processing;
3. B. Test, Inspection and Production Equipment NOTE: 3.B.6. does not embargo automatic robotic wqfer
handling systems not designed to operate in a vacuum
3. B. Equipment for the manufacture or testing of environment.
semiconductor devices or materials, as follows, and
specially designed components and accessories 3. B. 7. "Stored programme controlled" lithography
therefor: equipment, as follows:
3. B. 7. 8. Align and expose step and repeat equipment for
3. B.1. "Stored programme controlled" equipment for wafer processing using photo-optical or X-ray
epitaxial growth, as follows: methods, having any of the following:
a. Capable of producing a layer thickness uniform to 1. A light source wavelength shorter than 400 nm;
less than ± 2.5% across a distance of 75 mm or 2. A numerical aperture more than 0.40; or
more; 3. An overlay accuracy of± 0.20 micrometre
b. Metal organic chemical vapour deposition (3 sigma) or better;
(MOCVD) reactors specially designed for NOTE: 3.B.7.a. does not embargo align and expose step
compound semiconductor crystal growth by the and repeat equipment having all of the following:
chemical reaction between materials embargoed 1. A light source wavelength of 436 nm or more;
by 3.C.3 or 3.C.4; 2. A numerical aperture 0.38 or less,. and
c. Molecular beam epitaxial growth equipment using 3.An image size diameter 22 mm or less.
gas sources; 3. B. 7. b. Equipment specially designed for mask making or
semiconductor device processing using deflected
3. B.2. "Stored programme controlled" equipment designed focussed electron beam, ion beam or "laser" beam,
for ion implantation, having any of the following: with any of the following:
a. An accelerating voltage exceeding 200 keV; 1. A spot size smaller than 0.2 micrometre;
b. Specially designed and optimized to operate at an 2. Capable of producing a pattern with a feature size
accelerating voltage of less than 10 keY; of less than 1 micrometre; or
c. Direct write capability; or 3. An overlay accuracy ofbetter than ± 0.20
d. Capable of high energy oxygen implant into a micrometre (3 sigrna);
heated semiconductor material "substrate";
3. B. 8. Masks or retides, as follows:
3.8.3. "Stored programme controlled" anisotropic plasma a. For integrated circuits embargoed by 3.A.i.;
dry etching equipment, as follows: b. Multi-layer masks with a phase shift layer;
a. With cassette-to-cassette operation and load-locks,
and having ei~her of the following: 3. B. 9.. "Stored programme' controlled" test equipment,
1. Magnetic confinement; Of specially designed for testing semiconductor devices
2. Electron cyclotron resonance (ECR); and unencapsulated dice, as follows:
b. Specially designed for equipment embargoed by 3. B. 9. 8. For testing S-parameters of transistor devices at
Category 4 - Computers
This category encompasses and replaces the
following former Industrial List Items as follows:
network" interfaces are evaluated as "network access e. "Software" having characteristics or performing
controllers". functions exceeding the limits in Category 5
("Information Security");
4. A.4. Computers, as follows, and specially designed f. Operating systems specially designed for "real time
related equipment, "assemblies" and components processing" equipment which guarantees a "global
therefor; interrupt latency time"ofless than 30 microseconds;
a. "Syst~lic array computers";
b. "Neural computers"; 4. E. Technology
c. "Optical computers";
4. E.1. "Technology" according to the General Technology
4. B. Test, Inspection Br Production Equipment Note, for the "development", "production" or
"use" of equipment, materials or "software"
4. B. Equipment for the development and production of embargoed by 4.A, 4.B, 4.C or 4.0;
magnetic and optical storage equipment, as follows: 2. a. "Technology" for the "development" or
1. Equipment specially designed for the application "production" of equipment released under
of magnetic coating to embargoed non-flexible 4.A.3.h.;
(rigid) magnetic or magneto-optical media; b. "Technology" for the "development" or
NOTE: 4.B.1. does not embargo general purpose "production" of equipment desib'lled for
"sputtering" equipment. "multi-data-stream processing";
2. "Stored programme controlled" equipment c. Technology "required" for the "development"
specially designed for monitoring, grading, or "production" of magnetic hard disk drives
exercising or testing embargoed rigid magnetic with a "maximum bit transfer rate" exceeding
media; 11 Mbit/s;
3. Equipment specially designed for the production
or alignment of heads or head/disk assemblies for 4. Notes: 1. Licensesmay·be.granted.at National
embargoed rigid magnetic and magneto-optical Discretion for the export of "digital computers".
storage, and electro-mechanical or optical embargoed by 4.A.3.c.• or specially designed
components therefor; components therefor, and "software" embargoed
by".D.h;-provided:
4. C. Materials a, They will' be operated by civil end-users for
'.<;ivil applications;'
4. C. Materials specially formulated for and required for .b. 'the}"'i~Ve been primarily designed and used for
the fabrication of head/disk assemblies for embar- non.,st'rategic applications.;
goed magnetic and magneto-optical hard disk drives; c. The "CTP" of the "digital computers" does not
exceed 20 Mtop!;
4. D. Software d.'f!leY:-do not contain any embargoed rel~ted
equipment;
e. When exp0'tedas enha,ncements. the enhanced
4. D. NOTE: The embargo status of "software "for the
"digital comP.!1ter'· does not exceed the limit in
Hdevelopment", "production", or U use " of equipment
Note. Le:; ~ ..
described in other Categories is dealt with in the appropri- , '\
f. They are not Shipped as enhancements to
ate Category. The embargo status of "software" for
computers designed wit~ a proscribed
equipment described in this Category is dealt with herein.
country;
N.R: This dHS not prtdude the enhanament of
4. D.1. "Software" specially designed or modified for the
such COnlputm wIun they art used by civil end-users
"development", "production" or "use" of equip-
ill civil applkatiOflS.
ment, materials or "software" embargoed by 4.A,
g. Any'enibargoed "software" is the minimum
4.B, 4.C or 4.0;
requir~d for the "me" of the approved "digital
t:dmpiit~rs';; .' , .
4. D.2. "Software" specially designed or modified to support
h. The exporter shall: .
"technology" embargoed by 4.E;
1: Sa9,sfY. ~e-Department of Trade and Vtdu~try
4. D.3. Specific "software", as follows:
a. "Pr9gramme" proof and validation "software"
. "~;~-:quiPrilent:will be used: p~rily for
,the speoqc non~strategic appli<;aclon -for
using mathematical and analytical techniques and
./ which,the,~xportwoll1dbeai1Proved;and
designed or modified for "programmes" having
b: The equipment will Dot be used for the
more than 500,000 "source code" instructions;
.', ",: .design, development or prqduction of
b. "Software" allowing the automatic generation of
'.....:,··emb~d P~UclS;'. ,/. .
"source codes" from data acquired on line from
2.~mpdy notifY the Departm,ent of Trade
external sensors described in these Lists;
,.., _:.:arid Industry· of any information concerning
c. Operating system "software", "software" develop-
.the ~val·()r.diversion Ofthe.equipment
ment tools and compilers specially designed for
"multi-data-stteam processing" equipment, in
'. ::frmn the authorised pUrpOSesre!ati:d to the
"source code";
specific export-licence. ..
d. "Expert systems" or "software" for "expert
.2.licenceS1l112Y be 8ranted at National Dis<:retion
',for ,th~ ~ of equipiJlentl'embUgoed by
system" inference engines providing both:
1. Time dependent rules; and
4A3::".;n.. £ p{OVided:. 'L' '. • ,
(for CEs performing both fixed and floating point The following text is split into two sections:
operations TP = max (TPfp, TPxp)) Category 5 Part 1 - Telecommunications and
For aggregations of multiple CEs operating Category 5 Part 2 - "Information Security".
simultaneously:
Note 1: For configurations which do not allow all of the The origins of this Category are from the following former
CEs to run simultaneously, the configuration of Industrial List Items:
permissible CEs that provides the largest CTP should be • Optical Fibre & Cable Manufacture and Test Equipment
used. The TP of each contributing CE is to be calculated (IL 1353)
at its maximum value theoretically possible bifore the • Communication. detection or tracking equipment
CTP of the combination is derived. (IL 1502)
2: A single integrated circuit chip or board assembly may • Radio Receivers (IL 1516)
contain multiple CEs. • Radio Transmitters (IL 1517)
3: Simultaneous operations are assumed to exist when the • Lasers (IL 1522)
computer manufacturer claims concurrent, parallel or • Transmission Equipment (IL 1519)
simultaneous operation or execution in a manual or • Radio Relay Equipment (IL 1520)
brochurefor the computer. • Cable and Optical Fibre (IL 1526)
• Cryptographic Equipment (IL 1527)
CTP = TP t + C 2 * TP 2 + ... + C n * TP n • • Electronic Test Equipment (IL 1529)
where TP 1 is the highest of the TPs. and Ci is a • Frequency Synthesisers & Equipment Containing Them
coefficient determined by the strength of the (IL 1531)
interconnection between CEs, as follows: • Signal Analysers (IL 1533)
For multiple CEs sharing memory: • Microwave Equipment (IL 1537)
C 2 = C 3 = C 4 = ... = C n = 0.75 • Electronic Computers (IL 1565)
Note: CEs share memory if they access a common • Software (IL 1566)
segment ofsolid state memory. This memory may include • Stored Programme Controlled Switching (IL 1567)
cache storage, main storage. or other internal memory. • Related specially designed software
Peripheral memory devices such as disk drives, tape drives • Related technologies
or RAM disks are not included.
The above list is for reference only and it is not exhaustive.
For multiple CEs not sharing memory. intercon-
nected by one or more data channels: Part 1 . Telecommunications
Cj = 8 * Si
(WLj * TPJ 5. Notes: A.The embargo status of components. "lasers", test
(i = 2 n) and production equipment. materials and "soft
where Si = sum of the maximum data rates (in units ware" therefor which are specially designed for
of MByte/sec) for all data channels connected to the telecommunications 'equipment or systems is
i'h CE or CPU. defined in this Category.
Note: This d~es not include channels dedicated to transfers B. "Digital computers". related equipment or
between one individual processor and its most immediate "software". when essential for the operation and
memory or related equipment. support of telecommunications equipment
described in this Category. are regarded as
WL j is the operand length for which TP j was specially designed components. provided they are
obtained. and the factor 8 normalizes Si (measured in the standard models customarily supplied by the
bytes per second) and WL (given in bits). manufacturer. This includes operation.
Note: lfC; exceeds 0.75, theformulafor CE/CPU administration. maintenance. engineering or
sharing direct addressable memory applies (i.e. Ci cannot billing computer systems.
exceed 0.75).
5. A. 1. Equipment, Assemblies and Components
BIeck text Goods described an: e1igible.for Iicc!nsing at
5. A. 1. a. Any type of telecommunications equipment having
on colour" '. National Oicretion und«~e specified" ~onditions .. any of the following characteristics, functions or
tint . "Any limitation'oil die qualifyiilg..cOUlitrles 'is
features:
beoqround indicllted within the text..
1. Specially designed to withstand transitory
electronic effects or electromagnetic pulse arising
Coloured Goods described may qualify for licensing under
from a nuclear explosion;
text COCOM's Favourable Consideration procedure
2. Specially hardened to withstand gamma, neutron
when meeting the specified conditions. Any
or ion radiation;
limitation on the qualifYing countries is indicated
3. SpecWly p~ed to operate, outside the
within the text.
provisions cif this Note shall establish a precedent for the 2. For each licenet granted under this Not~ ,the
approval cif exports under'other C<ttegories in this .ust. expl'rter provideS'to' the DtpdHinmt of TrJe ;".[; C'
17. Favourable consideration will be given to licence IndllStry:' , , "i' ". ;:
applications for the export to Poland, Hungary and the' b. End-use aSSuranasprovilleiJ by the importer and
Czech & Slovak Federal Republic of technology ! Meleed'by ltis't1ifiional /lutlil,,(tks (e.g. 'an
embargoed by this Category, and of instrumentation, 1fttmatlolial fmpi'l't'CiJ'tjjitJ~):' '. .
test equipment, components and specially designed /i. An' assu'ranttthat tIi't i";~1l ma~t' available
"software" theref~r, and materials an<l,compQnents ffUh injormatioft dJ'riilscm.ib1t "quested by the
embargoed by this Category or other Categories on
.1Departmenf.l1j Trade 'aritl" JitdllJtrY;and:
"
Category 5 Part 1: Notes continued
C. All aSSl<rance that tire importer will allow oil-site 5.8.2. b. Measuring equipment specially designed
inspectioll if reqllested by tire Department of Trade to evaluate and validate the "information security"
and Industry. functions embargoed by 5.A.2. or 5.D.2.;
4. ~ m#.IJi~~IiIIOi~~a.it&l{6· ,.~ • Manufacturing and testing equipment for optical cable (1L 1353)
,I ~ '~Ilt, ~"':.'. • Machine tools for optical quality surfaces (IL 1370)
fotcMl~,', • Technology (IL 1389)
Nib . tdfer. . .
• Radar (IL 1501)
" ' "<JMflten ~.point ofWe • Communications detection or tracking equipment (IL 1502)
. ',1 ";"~W '. • ~~ ...,', • Marine or Terrestrial acoustic or ultrasound systems (IL 1510)
'~", '~'(I'IN)'(StiiDti1ar data to prevent • Lasers (IL 1522)
. tIiOmf.e~h,~, 'tid:bifttdo«DOt;aIJow for • Optical fibres (1L 1526)
, ~ ;U~e}lt: diJwly ~~to • Photosensitive components (IL 1548)
.~,"j:' ;,,··>tth~~el~;i.iu· ;"".. "",~,j> • Electron Tubes (IL 1555)
,~. '"Oa~b~etqiiPiitI!lit \diClh :calcUlates,.", :, ' • Optical Elements (IL 1556)
<' . "M~~tionb6de~Ml\:C) or similar mult' • Software (IL 1566)
t. ,.',< mt6~nAtno"aiteutioD'cit1~xtjllis'bkeD placCtONO, '.' • Magnetometers (IL 1571)
; m. 'alithcit1iBtAfUtett;'tl6t-~{liiIaw'for~j)ii.Of • Electronic Devices (Supercooled) (IL 1574)
data, text or dther nf'tdia o~'tiwti~JlecdW for the • Cameras (IL 1585)
!;fiIthelitlcatl~;:;~';;.~ \ " ·.·d:.,,· ',,1· ·L· .1'1 ; :A..: • Gravimeters (IL 1595)
..,. r. :.,1 . ,:(i;~'equipmmt~~gncd, .....
• Compounds and materials (IL 1757)
n th!.Jel~ &lfiKIdifi& fOtl\&>ih IIlIICtlines for banking. • Optical fibre preforms (IL 1767)
", "" 'or m&1ey ~o&s,!Nch-as automatic ~
.mathihl!s\ self-str'iice StatetiJent tiriiitcnl Wim ofsale , 6. A. Equipm.nt, Assemblies end Compon.nts
l ~1'Iftin:aIs, bt eqdi}1mCill'(Or 'the ttiliryption.~ ,,'
. intctbalilin8"~,~ ihtencled tor wc 'only in·
'. such appIicltions/' - ~. '" " . '
6. A. 1. Acoustics
, 'S:LitencerD!aj be granted"i'tNitic:lrial Disaetion
" ';'1'f9ttl1e'expoftl6fthe' f(jIloWing~&.i' ,c' 6. A. 1. B. Marine acoustic systems, equipment or specially
"ibftWare":II· . J'", ~}... ,:.ch' ,:' ;-;~.:
1 ._.-:".
designed components therefor, as follows:
'. ,~ . , a:l'lSOfrWare'\leq~ ~d1e .. of equipment 6, A. 1.·B. 1. Active (transmitting or transmitting-and-receiving)
. "".' 'eligible for t:reatDfeftt·at National Discretion under systems, equipment or specially designed
'. :..... h~'Notes 3 «nd'4;" i·.. .-<-' ,. , :C'. " ' ,
components therefor, as follows:
b. "Software" proViding my.of dfe'fimctions-of " ~: •.- NOTE: 6.A.1.a.1. d«s not embargo depth sounders
,~ eqJipment eligible for' ~at National Disctetion operating vertically below the apparatus. tWt including a
, under Notes 3'ai1d 4. ,\,.,,, ,. ..,,,! '''. . '.":, _ . Wlnningjimdion exceeding ±1l)O. and limited to
measuring the depth of wato, the diltana of submerged or
buried objects or fish jinding.
6. A. 1. B. 1. a. Wide-swath bathymetric survey systems for sea
bed topographic mapping:
1'. Designed:
a. To take measurements at an angle exceeding
tOO from the vertical; and
b. To measure depths exceeding 600 m below
the water surface; and
2. Designed:
a. To incorporate multiple beams any of which
is less than 2°; or
b. To provide data accuracies of better than
0.5% of water depth across thc swath
averaged over the individual measurements
within the swath;
6. A. 1. B. 1. b. Object detection or location systems having any
of the following:
1. A transmitting frequency below 10kHz;
2. Sound pressure level exceeding 224 dB
. ·'i<
(reference 1 micropascal at 1 m) for equipment
with an operating frequency in the band from
Coloured Goods described may qualifY for licensing under 10 kHz to 24 kHz inclusive;
text COCOM's Favourable Consideration procedure 3. Sound pressure level exceeding 235 dB
when meeting the specified conditions. Any (reference 1 micropasca1 at 1 m) for equipment
limitation on the qualifYing countries is indicated with an operating frequency in the band
within the text. between 24 kHz and 30 kHz;
4. Fonning beams of less, than 1° on any axis and
~ving an operating frequency of less than 4. When designed to operate at depths not
l00~kHz; exceeding 35 m, hydrophone sensitivity better
5. Designed to withstand pressure during nonnal than -186 dB with acceleration compensation;
operation at depths exceeding 1,000 m and 5. When designed for normal operation at depths
having transducers: exceeding 35 m, hydrophone sensitivity better
a. Dynamically,compensated for pressure; or than -192 dB with acceleration compensation;
b. Incorporating other than lead zirconate 6. When designed for normal operation at depths
titanate as the transduction element; or exceeding 100 m, hydrophone sensitivity better
6. Designed to measure distances to objects at than -204 dB; or
ranges exceeding 5,120 m; 7. Designed for operation at depths exceeding
6. A. 1. B. 1. c. Acoustic projectors, including transducers, 1,000m; ,
incorporating piezoelectric, magnetostrictive, Technical Note: Hydrophone sensitivity is
electrostrictive, electrodynamic or hydraulic defined as twenty times the logarithm to the
elements operating individually or in a designed base 10 of the ratio of rms output voltage to a
combination, having any of the following: 1 V rms reference, when the hydrophone
NOTE: The embargo status of acoustic projectors, sensor, without a pre-amplifier, is placed in a
including transducers, specially designed for other plane wave acoustic field with an rms pressure
equipment is determined by the embargo status of of 1 micropascal. For example, a hydrophone
the other equipment. of -160 dB (reference 1 V per micropascal)
1. An instantaneous radiated acoustic power would yield an ~utput voltage of 10- 8 V in such
density exceeding 0.01 mW/mm2/Hz for a field, while one of -180 dB sensitivity would
devices operating at frequencies below 10kHz; yield only 10- 9 V output. Thus, -160 dB is
2. A continuously radiated acoustic power density better than -180 dB.
exceeding 0.001 mW/mm2/Hz for devices 6. A. 1. s. 2. b. Towed acoustic hydrophone arrays with:
operating at frequencies below 10kHz; 1. Hydrophone group spacing of less than 12.5 m;
Technical Note: Acoustic power density is 2. Hydrophone group spacing of 12.5 m to less
obtained by dividing the output acoustic power than 25 m and or able to be modified
by the product of the area of the radiating to operate at depths exceeding 35 m; or
surface and the frequency of operation. Technical Note: 'Able to be modified' in
3. Designed to withstand pressure-during normal 6.A.l.a.2.b.2. means having provisions to all?w
operation at depths exceeding 1,000 m; or a change of the wiring or interconnections to
4. Side-lobe suppression exceeding 22 dB; alter hydrophone group spacing or operating
NOTE: 6.A.1.a.1.c. does not embargo electronic depth limits. These provisions are: spare wiring
sources which direct the sound vertically only, or exceeding 10% of the number of wires,
mechanical (e.g., air gun or vapour-shock gun) or hydrophone group spacing adjustment blocks or
chemical (e.g., explosive) sources. internal depth limiting devices that are adjust-
6. A. 1. B. 1. d. Acoustic systems, equipment or specially designed able or that control more than one hydrophone
components for determining the position of group.
surface vessels or underwater vehicles designed: 3. Hydrophone group spacing of25 m or more
NOTE: 6.A.1.a.1.d. includes equipment using and designed to operate at depths exceeding
coherent usignal processing" between two or more 100 m;
beacons and the hydrophone .unit carried by the surface 4. Heading sensors:
vessel or underwater vehicle, or capable of automatically a. Having an accuracy of better than ± 0.5 0 ;
correcting speed-of-sound propagation errors for b. Incorporated within the array hosing and
calculation of a point. designed or able to be modified to operate at
1. To operate at a range exceeding 1,000 m with depths exceeding 35 m; or
a positioning accuracy of less than 10 m rms Technical Note: 'Able to be modified' in
(root mean square) when measured at a range of 6.A.l.a.2.bA.b. means having an adjustable or
1,000 m; or removable depth sensing device.
2. To withstand pressure at depths exceeding c. Mounted external to the array hosing and
1,000 m; having a sensor unit capable of operating with
6. A. 1. B. 2. Passive (receiving, whether or not related in normal 3600 roll at depths exceeding 35 m;
application to separate active equipment) systems, 5. Non-metallic strength members or longitudi-
equipment or specially designed components nally reinforced array hoses;
therefor, as follows: 6. An assembled array of less than 40 mm in
6. A. 1. B. 2. a. Hydrophones (transducers) with any of the diameter;
following characteristics: 7. Multiplexed hydrophone group signals; or
1. Incorporating continuous flexible sensors or 8. Hydrophone characteristics specified in
assemblies of discrete sensor elements with 6.A.l.a.2.a. ;
either a diameter or length less than 20 mm and 6. A. 1. B. 2. c. Processing equipment, specially designed for
with a separation between elements of less towed acoustic hydrophone arrays, with either of
than 20 mm; the following:
2. Having any of the following sensing elements: 1. A Fast Fourier or other transform of 1024 or
a. Optical fibres; more complex points in less than 20 ms with no
b. Piezoelectric polymers; or "user-accessible programmability"; or
c. Flexible piezoelectric ceramic materials; 2. Time or frequency domain processing and
3. Hydrophone sensitivity better than -180 dB at correlation, including spectral analysis, digital
any depth with no acceleration compensation; filtering and beamforming using Fast Fourier or
1. An output energy exceeding 1 J per pulse and a pulsed "peak power" exceeding 1 W; or
and a pulsed "peak power" exceeding 20 W; or b. An average or CW output power exceeding
2. An average or CW output power exceeding 1 W;
20W; or 2. A wavelength of 150 nm or more but not
c. An output wavelength exceeding 1,400 nm and: exceeding 800 nm and:
1. An output energy exceeding 50 mJ per pulse a. An output energy exceeding 1.5 J per pulse
and a pulsed "peak power" exceeding 1 W; or and a pulsed "peak power" exceeding 30 W; or
2. An average or CW output power exceeding b. An average or CW output power exceeding
1 W; 30W;
6. A. 5. c.2. Non-"tunable" "lasers", as follows: 3. A wavelength exceeding 800 nm but not
NOTE: 6.A.5.c.2. includes atomic transition solid state exceeding 1,400 nm, as follows:
ulasers". a. "Q-switched lasers" with:
6. A. 5. c.2. a. Ruby "lasers" having an output energy exceeding 1. An output energy exceeding 0.5 J per
20 J per pulse; pulse and a pulsed "peak power" exceeding
6. A. 5. c.2. b. Neodymium glass "lasers", as follows: 50 W; or
1. "Q-switched lasers" having: 2. An ayerage output power exceeding:
a. An output energy exceeding 20 J but not a. 10 W for single-mode "lasers";
exceeding 50 J per pulse and an average b. 30 W for multimode "lasers";
output power exceeding lOW; or b. Non-"Q-switched lasers" with:
b. An output energy exceeding 50 J per pulse; 1. An output energy exceeding 2 J per pulse
2. Non-"Q-switched lasers" having: and a pulsed "peak power" exceeding
a. An output energy exceeding 50 J but not 50 W; or
exceeding 100 J per pulse and an average 2. An average or CW output power
.output power exceeding 20 W; or exceeding 50 W; or
b. An output energy exceeding 100 J per pulse; 4. A wavelength exceeding 1,400 nm and:
6. A. 5. c. 2. c. Neodymium-doped (other than glass) "lasers", as a. An output energy exceeding 100 mJ per pulse
follows, with an output wavelength exceeding and a pulsed "peak power" exceeding 1 W; or
1,000 nm but not exceeding 1,100 nm: b. An average or CW output power exceeding
(For Neodymium-doped (other than glass) "lasers" 1 W;
having an output wavelength not exceeding 1,000 6. A. 5. d. Dye and other liquid "lasers", having any of the
nm or exceeding 1,100 nm, see 6.A.5.c.2.d.) following:
1. Pulse excited, mode-locked, "Q-switched 1. A wavelength less than 150 nm and:
lasers" with a "pulse duration" of less than 1 ns a. An output energy exceeding 50 mJ per pulse
and: and a pulsed "peak power" exceeding 1 W; or
a. A "peak. power" exceeding 5 GW; b. An average or CW output power exceeding 1 W;
b. An average ,output power exceeding 10 W; or 2. A wavelength of 150 nm or more but not
c. A pulsed energy exceeding 0.1 J; exceeding 800 nm and:
2. Pulse-excited, "Q-switched lasers", with a pulse a. An output energy exceeding 1.5 J per pulse and
duration equal to or more than 1 ns, and: a pulsed "peak power" exceeding 20 W;
a. A single-transverse mode output with: b. An average or CW output power exceeding 20 W;
1. A "peak power" exceeding 100 MW; or
2. An average output power exceeding 20 W; or c. A pulsed single longitudinal mode oscillator
3. A pulsed energy exceeding 2 J; or with an average output power exceeding 1 W
b. A multiple-transverse mode output with: and a repetition rate exceeding 1 kHz if the
1. A "peak power" exceeding 200 MW; "pulse duration" is less than 100 ns;
2. An average output power exceeding 50 W ~ or 3. A wavelength exceeding 800 nm hut not
3. A pulsed energy exceeding 2J; exceeding 1,400 nm and:
3. Pulse-excited, non-"Q-switched lasers", having: a. An output energy exceeding 0.5 J per pulse and
a. A single-transverse mode output with: a pulsed "peak power" exceeding IOW; or
1. A "peak power" exceeding 500 kW; or b. An average or CW output power exceeding
2. An average output power exceeding 10 W; or
150 W; or 4. A wavelength exceeding 1,400 nm and:
b. A multiple-transverse mode output with: a. An output energy exceeding 100 mJ per pulse
1. A "peak power" exceeding 1 MW; or and a pulsed "peak power" exceeding 1 W; or
2. An average power exceeding 500 W; b. An average or CW output power exceeding 1 W;
4. Continuously excited "lasers" having: 6. A.5. 8. Free electron "lasers";
a. A single-transverse mode output with: 6. A.5. f. Components, as follows:
1. A "peak power" exceeding 500 kW; or 1. Mirrors cooled either by active cooling or by heat
2. An average or CW output power pipe cooling;
( exceeding 150 W; or Technical Note: Active cooling is a cooling
b. A multiple-transverse mode output with: technique for optical components using flowing
1. A "peak power" exceeding 1 MW; or fluids within the subsurface (nominally less than
2. An average or CW output power 1 mm below the optical surface) of the optical
exceeding 500 W; component to remove heat from the optic.
6. A. 5. c.2. d. Other non-"tunable" "lasers", having any of the 2. Optical mirrors or transmissive or partially
following: transmissive optical or electro-optical components
1. A wavelength less than 150 nm and: specially designed for use with embargoed "lasers";
a. An output energy exceeding 50 mJ per pulse 6. A. 5. g. Optical equipment, as follows:
exceeding 200 nm but not exceeding 14,000 nm; antennae" embargoed by 6.A.8.e.; and
h. "Optical fibre preforms" made from bulk b. Limit the average side-lobe level increase
fluoride compounds containing ingredients with by less than 13 dB for frequencies equal to
a purity of99.999"1o or better, specially designed or higher than 2 GHz;
for the manufacture of "fluoride fibres"
embargoed by 6.A.4.£; 6. E. Technology
6. C.S. Lasers 6. E.1. Technology according to the General Technology
Crystalline "laser" host material in unfinished form, Note for the "development" of equipment, materials
as follows: or "software" embargoed by 6.A., 6.B., 6.C. or
a. Titanium doped sapphire; 6.0.;
b. Alexandrite;
8. E.2. Technology according to the General Technology
6. C.6. Magnetometers - None Note for the "production" of equipment or
materials embargoed by 6.A., 6.B. or 6.C;
6. C.7. Gravimeters - None
6. E.3. Other technology:
6. C.S. Radar - None a. Acoustics - None
b. Optical Sensors - None
6. D. Software c. Cameras - None
d. Optics
6. 0.1. "Software" specially designed for the "development" 1. Optical surface coating and treatment
or "production" of equipment embargoed by 6.A.4, technology required to achieve uniformity of
6.A.5., 6.A.8 or 6.B.8.; 99.5% or better for optical coatings 500 mm
or more in diameter or major axis length and
6.0.2. "Software" specially designed for the "use" of with a total loss (absorption and scatter) ofless
equipment embargoed by 6.A.2.b., 6.A.8 or 6.B.8.; than 5 x 10-3 ;
2. Optical fabrication technologies, as follows:
6.0.3. Other "software", as follows: a. For serially producing optical components
a. Acoustics at a rate exceeding 10 m' of surface area
1. "Software" specially designed for acoustic per year on any single spindle and with:
beam forming for the "real time processing" 1. An area exceeding 1 m'; and
ofacoustic data for passive reception using 2. A surface figure exceeding
towed hydrophone arrays; lambda/l0 rms at the designed wavelength;
2. "Source code" for the "real time processing" b. Single point diamond turning techniques
of acoustic data for passive reception using producing surface finish accuracies of better
towed hydrophone arrays; than 10 nm rms on non-planar surfaces
b. Optical Sensors - None exceeding 0.5 m'; (See also 2.E.3.d.)
c. Cameras - None e. Lasers
d. Optics - None 1. Technology for optical filters with a band
e. Lasers - None width equal to or less than 10 nm, a field of
f. Magnetometers view (FOV) exceeding 40° and a resolution
1. "Software" specially designed for magnetic exceeding 0.75 line pairs per mm;
compensation systems for magnetic sensors 2. "Technology" "required" for the
designed to operate on mobile platforms; "development", "production" or "use" of
2. "Software" specially designed for magnetic specially designed diagnostic instruments or
anomaly detection on mobile platforms; targets in test facilities for "Super High Power
g. Gravimeters Lasers" (SHPL) testing or testing or evaluation
"Software" specially designed to correct of materials irradiated by SHPL beams;
motional influences of gravity meters or gravity f. Magnetometers
gradiometers; Technology "required" for the "development"
h. Radar or "production" of fluxgate "magnetometers"
1. Air Traffic Control "software" application or fluxgate "magnetometer" systems having a
"programmes" hosted on general purpose noise level:
computers located at Air Traffic Control 1. Less than 0.05 nT rms per square root Hz at
centres and capable of any of the following: frequencies ofless than 1 Hz; or
a. Processing and displaying more than 150 2. 1 x 10.3 nT rms per square root Hz at
simultaneous "system tracks"; frequencies of 1 Hz or more;
b. Accepting radar target data from more than g. Gravimeters - None
four primary radars; or h. Radar - None
c. Automatically handing over primary radar
target data (if not correlated with secondary Notes
surveillance radar (SSR) data) from the host
ATC centre to another ATC centre;
2. "Software" for the design or "production" of
radomes which:
a. Are specially designed to protect the
"electronically steerable phased array
Gyro-asU'o cQm~es, and other devices which c. Gyro run-in!motor test stations;
'lderivt position or orientation by means of d. Gyro evacuation and fill stations;
automatically tracking celestial bodies or satellites, e. Centrifuge fixtures for gyro bearings;
with an azimuth accuracy of equal to or less (better) f. Accelerometer axis align stations;
than 5 seconds of arc;
7. C. Materials
7. A.5. Global Positioning Satellite (GPS) receiving
equipment having either of the following None
characteristics, and specially d~signed components
therefor: 7. D. Software
a. Employing encryption/decryption; or
b. A null-steerable antenna;
1. D.1. "Software" specially designed or modified for the
"development" or "production" of equipment
7. A.I. Airborne altimeters operating at frequencies other
embargoed by 7.A. or 7.B.;
than 4.2 to 4.4 GHz inclusive, having either of the
following characteristics:
7. D.2. "Source code" for the "use" of any inertial
a. "Power management"; or
navigation equipment or Attitude Heading
b. U~ing phase shift key modulation;
Reference Systems (AHRS) (except gimballed
AHRS) including inertial equipment not
(For automatic pilots for untletWater vehicles, see Category 8. For radar,
embargoed by 7.A.3. or 7.A.4.;
see Category 6. For inertial navigation equipmentfor ships or
Technical Note: AHRS generally differ from inertial
submersibles, see Item 9f. on the Munitions List.)
navigation systems (INS) in that an AHRS provides
attitude heading information and normally does not
provide the acceleration, velocity and position
7. B. Test, Inspection and Production Equipment information associated with an INS.
7. B.1. Test, calibration or alignment equipment specially 7. D.3. Other "software", as follows:
designed for equipment embargoed by 7.A., except 7.0.3. B. "SoftWare" specially designed or modified to
equipment for Maintenance Level I or Maintenance improve the operational performance or reduce
Level II; the navigational error of systems to the levels
Technical Notes: specified in 7.A.3. or 7.A.4.;
1. Maintenance Level I 7.0.3. b. "Source code" for hybrid integrated systems
The failure of an inertial navigation unit is which improves the operational performance or
detected on the aircraft by indications from the reduces the navigational error of systems to the
control and display unit (CDU) or by the status level specified in 7.A.3. by continuously
message from the corresponding sub-system. By combining inertial data with any of the following
following the manufacturer's manual, the cause of navigation data:
the failure may be localised at the level of the 1. Doppler radar velocity;
malfunctioning line replaceable unit (LRU). The 2. Global Positioning Satellite (GPS) references; or
operator then removes the LRU and replaces it 3. Terrain data base;
with a spare. 7.0.3.c. "Source code" for: integrated avionics or mission
2. Maintenance Level II systems which combine sensor data and employ
The defective LRU is sent to the maintenance knowledge-based expert systems;
workshop (the manufacturer's or that of the 7.0.3.d. "Source code" for the "development" of:
operator responsible for level II maintenance). At 1. Digital flight management systems for flight path
the maintenance workshop, the malfunctioning optimization;
LRU is tested by various appropriate means to 2. Integrated propulsion and flight control systems;
verify and localise the defective shop replaceable 3. Fly-by-wire or fly-by-light control systems;
assembly (SRA) module responsible for the failure. 4. Fault-tolerant or self-reconfiguring "active flight
This SRA is removed and replaced by an control systems";
operative spare. The defective SRA (or possibly 5. Airborne automatic direction finding equipment;
the complete LRU) is then shipped to the 6. Air data systems based on surface static data;
manufacturer. 7. Raster-type head-up displays or three dimensional
N.B.: Maintenance Level 11 does not include the displays;
removal of embargoed accelerometers orgyro sensors from
the SRA. 7. E. Technology
7.8.2. Equipment, as follows, specially designed to
7. E.1. Technology according to the General Technology
characterize mirrors for ring "laser" gyros:
Note for the "development" of equipment or
a. Scatterometers having a measurement accuracy of
"software" embargoed by 7.A., 7.B. or 7.D.;
10 ppm or less (better);
b. Profilometers having a measurement accuracy of
7. E.2. Technology according to the General Technology
0.5 nm (5 angstrom) or less (better);
Note for the "production" of equipment
embargoed by 7.A. or 7.B.;
7. B.3. Equipment specially designed for the ptoduction
of equipment embargoed by 7.A., including:
7. E.3. Technology according to the General Technology
a. Gyro tuning test stations;
Note for the repair, refurbishing or overhaul of
b. Gyro dynamic balance stations;
NQTE: Only jUmtions having proportion4J contr,!l 8. A. 2. n. Active systems specially designed OT .modified to' l'
using positional feedback or by using a'dewted stored - control automatically the sea~ihducei:f'motioitof
programme computer are counted when determining the vehicles or vessels .eml>argoed by 8.A.L£, g., h. ot: i.,
number of degrees offreedom of movement. 8. A. 2. o. 1. Water-screw propeller or power transmission
8. A. 2. j. Air independent power systems, as follows, specially systems, as follows, specially designed for surface
designed for underwater use: effect vehicles (fully skirted or rigid sidewall variety),
8. A. 2. j. 1. Brayton, Stirling or Rankine cycle engine air hydrofoils or small waterplane area vessels
independent power systems having any of the embargoed by 8.A.L£, g., h. or i.:
following: a. Supercavitating, super-ventilated, partially-
a. Chemical scrubber or absorber systems specially submerged or surface piercing propellers rated at
designed to remove carbon dioxide, carbon more than 7.5 MW;
monoxide and particulates from recirculated b. Contrarotating propeller systems rated at more
engine exhaust; than 15 MW;
b, Systems specially designed to use a monoatomic gas; c. Systems employing pre-swirl or post-swirl
c. Devices or enclosures specially designed for techniques for smoothing the flow into a
underwater noise reduction in frequencies below propeller;
10kHz, or special mounting devices for shock d. Light-weight, high capacity (K factor exceeding
mitigation; or 3(0) reduction gearing;
d. Systems specially designed: e. Power transmission shaft systems, incorporating
1. To pressurise the products ofreaction or for "composite" material components, capable of
fuel reformation; transmitting more than 1 MW;
2. To store the products of the reaction; and 8. A. 2. 0.2. Water-screw propeller, power generation or
3. To discharge the products of the reaction transmission systems for use on vessels, as follows:
against a pressure of 100 kPa or more; a. Controllable-pitch propellers and hub assemblies
8. A. 2. j. 2. Diesel cycle engine air independent systems, having rated at more than 30 MW;
all of the following: b. Internally liquid-cooled electric propulsion
a. Chemical scrubber or absorber systems specially engines with a power output exceeding 2.5 MW;
designed to remove carbon dioxide, carbon c. "Superconductive" propulsion engines, or
monoxide and particulates from recirculated permanent magnet electric propulsion engines,
engine exhaust; with a power output exceeding 0.1 MW;
b. Systems specially designed to use a monoatomic d. Power transmission shaft systems, incorporating
gas; "composite" material components, capable of
c. Devices or enclosures specially designed for transmitting more than 2 MW;
underwater noise reduction in frequencies below e. Ventilated or base-ventilated propeller systems
10kHz or special mounting devices for shock rated at more than 2.5 MW;
mitigation; and 8. A. 2. o. 3. Noise reduction systems for use on vessels of 1,000
d. Specially designed exhaust systems that do not tonnes displacement or more, as follows:
exhaust continuously the products of combustion; a. Noise reduction systems that attenuate at
8. A. 2. j. 3. Fuel cell air independent power systems with an frequencies below 500 Hz and consist of
output exceeding 2 kW having either of the compound acoustic mounts for the acoustic
following: isolation of diesel engines, diesel generator sets, gas
a. Devices or enclosures specially designed for turbines, gas turbine generator sets, propulsion
underwater noise reduction in frequencies below motors or propulsion reduction gears, specially
10 kHz or special mounting devices for shock designed for sound or vibration isolation, having
mitigation; or an intermediate mass exceeding 30"10 of the
b. Systems specially designed: equipment to be mounted;
1. To pressurise the products of reaction or for b. Active noise reduction or cancellation systems, or
fuel reformation; magnetic bearings, specially designed for power
2. To store the products of the reaction; and transmission systems, and incorporating electronic
3. To discharge the products of the reaction control systems capable of actively reducing
against a pressure of 100 kPa or more; equipment vibration by the generation of anti-
8. A. 2. k. Skirts, seals and fingers, as follows: noise or anti-vibration signals direcdy to the
1. Designed for cushion pressures of 3,830 Pa or source;
more, operating in a significant wave height of 8. A. 2. p. Pumpjet propulsion systems with a power output
1.25 m (Sea State 3) or more and specially exceeding 2.5 MW using divergent nozzle and flow
designed for surface effect vehicles (fully skirted conditioning vane techniques to improve propulsive
variety) embargoed by 8.A.1.£; efficiency or reduce propulsion-generated
2. Designed for cushion pressures of 6,224 Pa or underwater-radiated noise;
more, operating in a significant wave height of (For underwater communic4tions systems. see C4UgOry 5.
3.25 m (Sea State 5) or more and specially (Telecommunications)) .
designed for surface effect vehicles (rigid sidewalls)
embargoed by 8.A.1.g.; 8. B. Test, In.p~ion and Production Equipment
8. A. 2. I. Lift fans ["..ted at more than 400 kW specially
designed for surface effect vehicles embargoed by Water tunnels, having a background noise ofless
8.A.1.£ or 8.A.1.g.; than 100 dB (reference 1 micropascal, 1 Hz) in the
8. A. 2. m. Fully submerged subcavitating or supercavitating frequency range from 0 to 500 Hz, designed for
hydrofoils specially designed for vessels embargoed measuring acoustic fields ge~rated by a hydro-flow
by 8.A.1.h.; around propulsion ~ystem models;
9...A.9. Hybrid rocket propulsion systems with: 9. B.8. Speqally dosigned acoustic vibration test equipment
a. Total impulse capacity exceeding 1.1 MNs; or capable of producing sound pressure levels of t60 dB
b. Thrust levels exceeding 220 kN in vacuum exit or more (referenced to 20 micropascals) with a rated
conditions; output of 4 kW or more at a test cell temperature
exceeding 1,273 K (I,OOO°C). and tpecially designed
9. A.10. Specially designed components or structures, for transducen, strain gauges. accelerometen•..
launch vehicles or launch vehicle propulsion systems, thermocouples or quartz heaten therefor;
873 K (600°C) or more; rebuild and overhaul. Excludedfrom embargo are: technical
data, drawings or documentation for maintenance activities
9. C. Materials directly associated with calibration, removal or replacement
of damaged or unseroiceable line replaceable units, including
None. replacement of whole engines or engine modules.
(For technology for the repair of embargoed structures)
9. D. Software laminates or materials, see 1.E.2.f.)
9. D.1. "Software" required for the "development" of 9. E.3. Other technology, as follows:
equipment or technology embargoed by 9.A., 9.B. 9. E. 3. 8. Technology "required" for the "development" or
or 9.E.3.; "production" of the following gas turbine engine
components or systems:
9. D.2. "Software" required for the "production" of 1. Oirectionally solidified gas turbine blades, vanes
equipment embargoed by 9.A. or 9.B.; or tip shrouds rated to oper~te at gas path
temperatures exceeding 1,593 K (1,320°C);
9. D.3. "Software" required for the "use" of full authority 2. Single crystal blades, vanes or tip shrouds;
digital electronic engine controls (FADEC) for 3. Multiple domed combustors operating at average
propulsion systems embargoed by 9.A. or equipment burner outlet temperatures exceeding 1,643 K
embargoed by 9.B., as follows: (1,370°C), or combustors incorporating thermally
a. "Software" in digital electronic controls for decoupled combustion liners, non-metallic liners
propulsion systems, aerospace test facilities or air or non-metallic shells;
breathing aero-engine test facilities; 4. Components manufactured from organic
b. Fault-tolerant "software" used in FADEC systems "composite" materials designed to operate above
for propulsion systems and associatep test facilities; 588 K (315°C), or from metal "matrix"
"composite", ceramic "matrix", intermetallic or
9.0.4. Other "software", as follows: intermetallic reinforced materials embargoed by
a. "Software" specially designed for vibration test 1.A.2. or l.C.7.;
equipment using real time digital controls with 5. Uncooled turbine blades, vanes, tip-shrouds or
individual exciters (thrusters) with a maximum other components designed to operate at gas path
thrust exceeding 100 kN; temperatures of 1,323 K (1,050 0 C) or more;
b. 20 or 3D viscous "software" validated with wind 6. Cooled turbine blades, vanes or tip-shrouds,
tunnel or flight test data required for detailed other than those described in 9.E.3.a.1. and 2.,
engine flow modelling; exposed to gas path temperatures of 1,643 K
c. "Software" required for the "development" or (1,370°C) or more;
"production" of real time full authority electronic 7. Airfoil-to-disk blade combinations using solid
test facilities for engines or components state joining;
embargoed by 9.A.; 8. Gas turbine engine components using
d. "Software" for testing aero gas turbine engines, "diffusion bonding" technology embargoed by
assemblies or components, specially designed to 2.E.3.b.;
collect, reduce and analyse data in real time, and 9. Damage tolerant gas turbine engine rotating
capable of feedback control, including the components using powder metallurgy materials
dynamic adjustment of test articles or test embargoed by 1.C.2.b.;
conditions, as the test is in progress; 10. FAOEC for gas turbine and combined cycle
e. "Software" speciilly designed to control engines and their related diagnostic components,
directional solidification or single crystal casting; sensors and specially designed components;
f. "Software" in "source code", "object code" or 11. Adjustable flow path geometry and associated
machine code required for the "use" of active control systems for:
compensating systems for rotor blade tip clearance a. Gas generator turbines;
control; b. Fan or power turbines;
NOTE: 9.D.4f does not embarga itsoftware" c. Propelling nozzles;
embedded in unembargoed equipment or requiredfor NOTES: 1. Adjustable flow path geometry and
maintenance activities associated with the calibration or associated control systems do not include
repair or updates to the active compensating clearance inlet guide vanes, variable pitch fans,
control system. variable stators or bleed valves for
compressors .
ML9 ML10
Vessels of war and special naval equipment, as follows, Aircraft and helicopters, unmanned airborne vehicles,
and specially designed components therefor: aero-engines and aircraft or helicopter equipment,
a. Combatant vessl'is or vessels (surface or underwater) associated equipment and components, specially
specially designed or modified for offensive or defensive designed for military purposes, as follows:
action, whether or not converted to non-military use and a. Combat aircraft and helicopters and other aircraft and
regardless of current state of repair or operating helicopters specially designed for military purposes,
condition, and hulls or parts of hulls for such vessels; including military reconnaissance, assault, military
b. Engines, as follows: training and logistic support, and all aircraft and
1. Diesel engines specially designed for submarines helicopters having special structural features such as
with both of the following characteristics: multiple hatches, special doors, ramps and reinforced
a. A power output of 1.12 MW (1,500 hp.) or floors, for transporting and airdropping troops, military
more; and equipment and supplies, and specially designed
b. A rotary speed of700 rev/min or more; components therefor;
2. Electric motors specially designed for submarines b. Aero-engines specially designed or adapted for use
having all of the following characteristics: with aircraft and helicopters embargoed by sub-item (a)
a. A power output of more than 0.75 MW (1,000 hp.); above, except aero-enp;ines not embargoed by Category
b. Quick reversing; 9.A.1., and specially designed components therefor;
c. Liquid cooled; and c. Unmanned airborne vehicles, including remotely
d. Totally enclosed; piloted air vehicles (RPVs), and autonomous,
3. Non-magnetic diesel engines specially designed for programmable vehicles specially designed or modified for
military purposes with a power output of37.3 kW military purposes and their launchers, ground support and
(50 hp.) or more; associated equipment for command and control;
Note: An engine shall be presumed to be specially designed for d. Airborne equipment, including airborne refuelling
military purposes if: equipment, specially designed for use with the
a. It has non-magnetic parts other than crankcase, aircraft and helicopters and the aero-engines
block, head, pistons, covers, end plates, valve embargoed by sub-items a. and b., and specially
facings, gaskets, andfuel, lubrication and other designed components therefor;
supply lines; or e. Pressure refuellers, pressure refuelling equipment,
b. Its non-magnetic content exceeds 75% oftotal mass; equipment ~.pecially designed to facilitate operations in
c. Underwater detection devices specially designed for confined areas and ground equipment, developed
military purposes and controls thereof; specially for aircraft and helicopters embargoed by sub-
d. Submarine and torpedo nets; item a., or for aero-engiTles embugoed by sub-item b.;
£.. Pressurised breathing equipment and partial pressure suits security purposes' or for counteracting such
for use in aircraft and helicopters t anti-g suits t military surveillance and monitoring;
crash helmets and ,'protective masks t liquid oxygen d. Underwater counter measure, including acoustic
converters used for aircraft, helicopters 'and missiles, and magnetic jamming and decoy, equipment
catapults and cartridge actuated devices utilised in designed to introduce extraneous or erroneous
emergency escape of personnel from aircraft and signals into sonar receivers;
helicopters; e. Data processing security equipment, data security
g. Parachutes used for combat personnel, cargo dropping equipment and transmission and signalling line
and air deceleration, as follows: security equipment, using ciphering processes;
1. Parachutes for: £ Identification, authentication and keyloader equipment
a. Pin point dropping of rangers; and key management, manufacturing and distribution
b. Dropping of paratroopers; equipment.
2. Cargo parachutes;
3. Paragliders (drag parachutes, drogue parachutes ML12
for stabilisation and attitude control of dropping
bodies, e.g., recovery capsules, ejection seats, bombs); Photographic and electro-optical imaging equipment,. as
4. Drogue parachutes for use with ejection seat follows, and specially designed components therefor:
systems for deployment and inflation sequence a. Air reconnaissance cameras, and associated
regulation of emergency parachutes; equipment designed for military purposes;
5. Recovery parachutes for guided missiles, drones b. Film processing and printing machines designed for
and space vehicles; military purposes;
6. Approach parachutes and landing deceleration c. Other cameras and electro-optical imaging devices,
parachutes; including infrared and imaging radar sensors, whether
7. Other military parachutes; recording, or transmitting via data link, designed for
h. Automatic piloting systems for parachuted loads; military, including reconnaissance, purposes;
equipment specially designed or modified for military d. Specialised equipment for the cameras and electro-optical
purposes for controlled opening jumps at any height, imaging devices embargoed by sub-item c. designed to
including oxygen equipment. make the recorded o~ transmitted information militarily
useful.
FOR THE PE()PLE'S REPUBLIC OF CHINA ONLY: NOTE:
Licence applications for the following, for the People's Spedalised equipment embargoed by sub-item d. which
Republic of C:hina only, will receive favourable relates to electro-optical imaging devices and imaging radar
consideration: sensors includes digital image processors and softcopy imagery
a. Light transport, trainer, observer or patrol aircraft having display devices.
either of the follo\\ring characteristics: (See also Item ML15.)
1. Maxinlun1 take-off 111ass 4,546 kg or less; or
2. Total engine power at the shaft less than 0.75 MW ML13
(1,000 hp) or a thrust of 17.8 kN;
except those specially designed or lTlodified to be Special armoured equipment, as follows:
fitted with radar detection equipnlent or electronic a. Armoured plate;
warfare devices, or incorporating signature reduction b. Combinations and constructions of metallic and
technology; non-metallic materials specially designed to provide
b. Aircraft and helicopter ground service support and ballistic protection for military systems;
11laintenallce equipn1cnt specially designed for use with c. Military helmets;
aircraft or helicopters which have previously been d. Body armour, flak suits and specially designed
exported in accordance with the COlnnlittee's components therefor.
procedures, except pressure refuellers, pressure rctllelling NOTES:
equiprnent and equiprnent specially designed to EKilitate 1. Sub-item b. includes combinations of metallic and
operations in confined areas. non-metallic materials specially designed to form
explosive reactive armour.
ML11 2. Sub-item c. does not embargo conventional steel
helmets not equipped with, modified or designed
Eectronic equipment specially designed for military use to accept any type of accessory device.
and specially designed components therefor.
NOTE: FOR THE PEOPLE'S REPUBLIC OF·CHINA ONLY:
This Item includes: 3. Licence applications for the following, for the People's
a. Jamming and counter-jamming equipment, including Republic ofChina only, will receive favourable
electronic counter measure (ECM) and electronic consideration:
counter-counter measure (ECCM) apparatus (i.e., a. Honl0geneous armour plate~
apparatus designed to introduce extraneous or erroneous b. Equipnlent embargoed by sub-itenl d. above.
signals into radar or radio communication receivers or
otherwise hinder the reception, operation or effectiveness ML14
of adversary electronic receivers including their counter
measure equipment); Specialised equipment for military training or for
b. Frequency agile tubes; simulating military scenarios, specially designed compo-
c. Electronic systems or equipment designed either nents and accessories therefor.
for surveillance and monitoring of the electro- NOTES:
magnetic spectrum for military intelligence or 1. The tenn 'specialised military training equipment'
4. Specially designed or rated for operating in an 4. Personal radiation monitoring dosimeters and masks
electro-magnetic pulse (EMP) environment. for protection against specific industrial hazards (see
Note 4 to Item ML 7);
FOR THE PEOPLE'S REPUBLIC OF CHINA ONLY: 5. Acetylene, propane, liquid oxygen, difluorarmne
Licence applications for the following, fur the People's (HNF,), fuming nitric acid and potassium nitrate
Republic of China only, will receive favourable powder (see Note 6 to Item ML8);
consideration: 6. Aero-engines excluded from embargo under
a. Power-controlled searchlights and control units Item 10 by reference to aero-engines not
designed for military use and specially designed embargoed by Category 9.A.1.;
"software" therefor, except those specially designed or 7. Conventional steel helmets not equipped with,
modified for underwater operation; modified or designed to accept, any type of accessory
b. Construction equipment embargoed by sub-item d device (see Note 2 to Item ML13);
above. 8. Equipment fitted with unembargoed industrial
machinery, such as coating machinery not elsewhere
ML18 specified and equipment for the casting of plastics;
9. Antique small arms dating back beyond the year
Equipment and technology for the "production" of 1890, and their reproductions. (This listing does not
products referred to in this List, as follows: allow the export of technology or production
a. Specially designed or modified "production" equipment for non-antique small arms, even if used
equipment for the production of products embargoed by to produce reproductions of antique small arms.)
this List, and specially designed components therefor; 3. Sub-item d. above does not include technology for civil
b. Specially designed environmental test facilities and purposes, such as agricultural, pharmaceutical, medical,
specially designed equipment therefor, for the veterinary and environmental, and in the food industry
certification, qualification, or testing of products (see Note 5 to Item ML 7).
embargoed by this List; 4..UceDC;es may be ~ ~ Nu.ional. Disqetion for. the
c. Specific "production" technology, even if the .' export-of equipment used to determjne die safety data
equipment ~th which such technology is to be of explosives, as required by the International Conven-
used is unembargoed; .tion on the Transport of Dangerous Gooq.s(C.I.M)
d. Technology specific to the design of, the assembly artiI;les j and 4 in Annex I·RID, provided the
of components into, and the operation, maintenance and Department of Trade and Industry is satisfied that such
repair of complete "production"installations even if the equip~t ,will be used only by the railway authorities of
components themselves are unembargoed. current CJ.M. members,. or by Government-accredited
NOTES: testing facilities.in tllose countries, for. the testing of
1. Sub-item a. above includes the following equipment: explosi~ to transport safety standards, as follows:
a. Nitrators: continuous types; : a..Equipment for determining ignition and deflagntion
b. Centrifugal testing apparatus or equipment having any temperatures;
of the following characteristics: b. Equipment for steel-shell tests;
1. Driven by a motor or motors having a total rated c. Drop 1Wnl:ners n6t exceeding 20 kg in mass for
horsepower greater than 298 kW (400 hp); determi.nil)g the(sensitivity of explosives to shock;
2. Capable of carrying a payload of 113 kg or more; d. Equipment fOr ~ft~~g the friction sensitivity of
3. Capable of exerting a centrifugal acceleration . •~losives when \ ~ to charges not exceeding
of8 g or more on a payload of91 kg or more; 361tg in mass. \\ .
c. Dehydration presses;
d. Extrusion presses for the extrusion of small arms, ML20
cannon and rocket propellants;
e. Cutting machines for the sizing of extruded Cryogenic and "superconductive" equipment, as
propellants; follows, and specially designed components and
f. Sweetie barrels (tumblers) 1.85 m and over in accessories therefor:
diameter and having over 227 kg product capacity; a. Equipment specially designed or configured to be
g. Continuous mixers for solid propellants; installed in a vehicle for military ground, marine,
2. a. The terms 'products referred to in this List' include: airborne or space application and capable of operating
1. Products not embargoed if inferior to specified while in motion and of producing or maintaining
concentrations as follows: temperatures below 103 K (-170°C);
a. hydrazine (see Note Iv. to Item ML8); NOTE:
b. "Military high explosives" (see Item ML8); This sub-item includes, but is not restrided to, mobile systems
2. Products not embargoed if inferior to technical incorporating or employing aa.essories and componmts
limits, i.e., "superconductive" materials not manufatturedfrom non-metaUic or non-eledrical conductive
embargoed by Category 1.C.5.; "superconductive" materials such as plastics, epoxy-impregnated materials, ete. b.
electromagnets not embargoed by Category "Superconductive" eledrical equipment (rotating mathinery and
3.A.1.e.3.; "superconductive" electrical equipment transformeTS) specially designed or configured to be installed in a
excluded from embargo under Item ML20.b. vehicle for military ground, marine, airborne or spate applications
b. The terms 'produas referred to in this List' exclude: and capable of operating while in motion, except dired-current
1. Signal pistols of the Very type (see Item ML2.b.); hybrid homopolar generators that have single-pole normal metal
2. Tractor apd farm implement type pneumatic tyre armatures which rotate.in a magneticfield produt:ed by
casin~ (see Note 1 to Item ML6); superconducting windings, provided those windings are the only
3. The substances excluded from embargo under superconducting component in the generator.
Note 3 to Item ML7;
ML24
"Sofrware", as follows:
a. "Software" specially designed or modified for the
"development", "production" or "use" of equipment or
materials embargoed by this List.
b. Specific "software", as follows:
1. "Software" specially designed for: Coloured Goods described may qualifY fo~ licensing under
a. Modelling, simulation or evaluation of military text COCOM's Favourable Consideration procedure
weapon systems; when meeting the specified conditions. Any
b. Development, monitoring, maintenance or limitation on the qt:alifYing countries is indicated
up-dating of "software" embedded in military witbin the text.
\
·._~~;t~r.~~.~~~~'
86 Security Export Control SBptBmtHIr 1991
foregoing substances not exceeding 100 curies;
b. Tritium contained in luminous paint, self-luminous
products, gas and aerosol detectors, electron tubes,.
lightning or static elimination devices, ion generating
A5 Nickel powder and porous nickel metal, as follows: tubes, detector cells of gas chromatography devices, and
a. Powder with a nickel purity content of 99.9"10 or more calibration standards;
and a mean particle size ofless than 10 micrometres c. Compounds and mixtures of tritium, where the
measured by the ASTM B 330 standard and a high separation of the constituents cannot result in the
degree of particle size uniformity; evolution of an isotopic mixture of hydrogen in which
b. Porous nickel metal produced from materials embargoed the ratio of tritium to hydrogen by atoms exceeds 1 part
by sub-item 'a' above except single porous nickel metal in 1,000.
sheets not exceeding 930 cm2 intended for use in
batteries for civil applications. A13 Materials for nuclear heat sources, as follows:
NOTES: a. Plutonium in any form with a plutonium isotopic assay of
1. Sub-item 'b' above refers to porous nickel metal plutonium-238 of more than 50%, except:
manufactured from nickel powder defined in sub-item 'a' 1. Shipments with a plutonium content of one gramme
above which has been compacted and sintered to form a or less;
metal material with fine pores interconnected throughout 2. Shipments of three effective grammes or less when
the structure. contained in a sensing component in instruments;
2. Lic.m<ietc.may, be,granr.c:d at_NationaLDiscreUon·for the 3. Plutonium-238 contained in heart pacemakers;
. export for non-nuclei{ civifapplications ~f nickel ' . b. "Previously separated" neptunium-237 in any form,
powder ill uncom~ted powder form. Hlj except shipments with a neptunium-237 content of one
gramme or less.
A6 Nuclear-grade graphite, i.e., graphite having a purity level
ofless than one part per million boron equivalent and with A14 Not used.
a density greater than 1.5 g/cm', except individual
shipments of 100 kg or less. A15 Wet-proofed platinized catalysts specially designed or
(See also the note to ML 4 (b) on the Munitions List.) prepared for promoting hydrogen isotope exchange
between hydrogen and water for the recovery of tritium
A7 Lithium, as follows: from heavy water or for heavy water production.
a. Metal, hydrides or alloys containing lithium enriched in
the 6 isotope to a concentration higher than the one B. Nuclear Facilities
existing in nature (7.5% on an atom percentage basis);
b. Any other materials containing lithium enriched in the 81 Plants for the separation of isotopes of natural and depleted
6 isotope (including compounds, mixtures and uranium, special and other fissile materials, and specially
concentrates), except lithium enriched in the 6 isotope designed or prepared equipment and components therefor,
incorporated in thermoluminescent dosimeters. as follows:
(For the deuteride of natural lithium or '!f lithium enriched in the a. Plants specially designed for separating isotopes of natural
7 isotope, see Item A3.) and depleted uranium, special and other fissile materials,
as follows:
AB Hafnium, as follows: metal, alloys and compounds of 1. Gaseous diffusion separation plants;
hafnium containing more than 60% hafuium by weight, and 2. Gas centrifuge separation plants;
manufactures thereof, except shipments of the above having 3. Aerodynamic separation plants;
a hafuium content of 1 kg or less. 4. Chemical exchange separation plants;
5. Ion-exchange separation plants;
A9 Beryllium, as follows: metal, alloys containing more than 6. Atomic vapour "laser" isotopic separation plants;
50% beryllium by weight, compounds containing beryllium 7. Molecular "laser" isotopic separation plants;
and manufactures thereof, except: 8, Plasma separation plants;
a. Metal windows for X-ray machines; 9. Electromagnetic separation plants;
b. Oxide shapes in fabricated or semi-fabricated forms b. Equipment and components, as follows, specially
specially designed for electronic component parts or as designed or prepared for:
substrates for electronic circuits; 1. Gaseous diffusion separation process:
c. Shipments of 500 g or less of beryllium having a purity of a. Valves wholly made of or lined with aluminium,
99% or less, or 100 g or less of beryllium having a purity aluminium alloys, nickel or alloy containing 60% or
of greater than 99%, provided shipments exclude single more nickel, 40 mm or more in diameter, with
crystals; bellows seals;
d. Shipments of 5 kg or less of beryllium contained in b, Blowers and compressors (turbo, centrifugal and
compounds with a purity ofless than 99%. axial flow types) wholly made of or lined with
aluminium, aluminium alloys, nickel or alloy
A10 Not used containing 6O"Ai or more nickel and having a capacity
of 1,700 litres (1.7 m') per minute or more,
A11 Not used including compressor seals;
c. Gaseous diffusion barriers made of porous metallic,
A12 Tritium, compounds and mixtures containing tritium in polymer or ceramic materials resistant to corrosion
which the ratio of tritium to hydrogen by atoms exceeds 1 by UF6 with a pore size ofless than 1,000 angstroms,
part in 1,000, and products containing one or more of the a thickness of 5mm or less, and, for tubular fonns, a
foregoing, except: diameter of 25 mm or less;
a. Shipments of tritium, compounds, mixtures and d. Gaseous diffuser housings;
individual productS containing one or more of the e. He:.t exchangers made of alurniRium, copper,
stators for gas centrifuge enrichment, having all of average power of more than 30 W, a repetition rate
the following characteristics, and specially designed of more than 1 kHz and a wavelength between
components therefor: 500 nm and 700 nm;
1. Multiphase output of 600 Hz to 2 kHz; 2. Modulators for controlling and modifying dye
2. Frequency control better than 0.1 %; "laser" bandwidth;
3. Harmonic distortion of less than 2%; and 3. "Tunable" pulsed single-mode dye oscillators
4. An efficiency greater than 80%; capable of an average power of more than 1 W, a
NOTE: repetition rate of more than 1 kHz, a pulse width
The high strength-to-density ratio materials used for less than 100 ns, a wavelength between 500 nm and
700 nm and frequency modulation for bandwidth
centrifuge rotating components are: expansion.
a. Maraging steel capable of an ultimate tensile strength of 7. Molecular "laser" isotopic separation process:
2.05 x 109 N/m2 or more; a. Para-hydrogen Raman shifters designed to operate at
b. Aluminium alloys capable of an ultimate tensile strength 16 micrometres output wavelength and at a repetition
of 0.46 x 109 N/m2 or more; or rate of more than 250 Hz;
c. "Fibrous or filamentary materials" with a specific b. Supersonic expansion nozzles designed for UF 6 carrier
modulus of more than 3.18 x 106m and a specific tensile gas;
strength greater than 7.62 x 104 m. c. Uranium fluoride (UFs) product filter collectors;
3. Aerodynamic separation process: d. Equipment for fluorinating UFs to UF 6 ;
a. Separation nozzles consisting of slit-shaped, curved e. UF6 carrier gas compressors wholly made of or lined
channels having a radius of curvature less than 1 mm. with aluminium, aluminium alloys, nickel or alloy
Contained. within the nozzle is a knife-edge which containing 60% or more nicke1 t including compressor
separates gas flowing through the nozzle into two seals;
streams; NB:
b. Tangential inlet flow-driven cylindrical or conical The ulaser"s, specified as follows, are important in molecular
tubes, specially designed for uranium isotope
tanks) specially designed or prepared for the dissolution of (For "software", see Item D1.)
irradiated nuclear reactor fuel, which are capable of
withstanding hot, highly corrosive liquids, and which c~n 84 Plants specially designed for the fabrication of nuclear
be remotely loaded and maintained; reactor fuel elements and specially designed equipment
c. Counter-current solvent extractors and ion-exchange therefor.
processing equipment specially designed or prepared for NOTE:
use in a plant for the reprocessing of irradiated natural A plant for the fabrication of nuclear reactor fuel
uranium, depleted uranium or special and other fissile elements includes equipment which:
materials; a. normally comes into direct contact with or direcdy
d. Process control instrumentation specially designed or processes or controCo the production flow of nuclear
prepared for monitoring or controlling the reprocessing materials;
of irradiated source and special and other fissile materials. b. seals the nudear material within the cladding;
NOTES: c. checks the integrity of the cladding or the seal; and
1. A plant for the reprocessing of irradiated nuclear reactor d. checks the finish treatment of the solid fuel.
fuel elements includes equipment and components which
normally come into direct contact with and direcdy 85 Plants for the production of heavy water, deuterium or
control the irradiated fuel and the major nuclear material deuterium compounds, and specially designed or prepared
and fission product processing streams. equipment and components therefor, as follows:
2. Counter-current solvent extractors specially designed for a. Plants for the;,production of heavy water, deuterium or
C. Nuclear-Related Equipment
3 "Instantaneous bandwidth"
6 "Geographically dispersed" The bandwidth over which output power remains
Sensors are considered "geographically dispersed" when constant within 3 dB without adjustment of other
each location is distant from any other more than operating parameters.
1,500 m in any direction. Mobile sensors are always N.B.: "Cryptanalysis"
considered "geographically dispersed". The analysis of a cryptographic system or its inputs and outputs
to derive confidential variables or sensitive data, including clear
4 "Global interrupt latency time" text.
The time taken by the computer system to recognize an (ISO 7498-2-1988 (E), paragraph 3.3.18)
interrupt due to the event, service the interrupt and
perform a context switch to an alternate memory-resident 6 "Instrumented range"
task waiting on the interrupt. The specified unambiguous display range of a radar.
ML 18 "Production" 2 "Resolution"
Includes design, examination, manufacture, testing and The least increment of a measuring device; on digital
checking. instruments, the least significant bit.
(Reference: ANSI B-89.1.12)
GTN "Production"
Means all production stages, such as: product engineering, ML 7 "Riot Control agents"
manufacture, integration, assembly (mounting), Substances which produce temporary irritating or
inspection, testing, quality assurance. disabling physical effects which disappear within
minutes of removal from exposure. There is no
2 4 "Prograrnrrie" significant risk of permanent injury and medical
5 A sequence of instructions to carry out a process in, or treatment is rarely required.
convertible into, a form executable by an electronic
computer.
impinging upon a chilled block, fonning a flake-like 8 "Super High Power Laser" (SHPL)
product. A ulaser" capable of delivering (the total or any
N.B.: uSolidify rapidly": solidylcation of molten material at portion of) the output energy exceeding 1 kJ within
&ooling rates exceeding 1,000 K/sec. 50 ms or having an average or CW power exceeding
20 kW.
5 "Spread spectrum"
The technique whereby energy in a relatively narrow- 1 2 "SuperplastiC' fonning"
band communication channel is spread over a much A deformation process using heat for metals that are
wider energy spectrum. normally characterised by low values of elongation (less
than 20%) at the breaking point as determined at room
6 "Spread spectrum" radar - see "Radar spread spectrum" temperature by conventional tensile strength testing, in
order to achieve e1ongations during processing which are
4 "Sputtering" at least 2 times those values.
An overlay coating process wherein positively charged
ions are accelerated by an electric field towards the 3 "Swept frequency network analysers"
surface of a target (coating material). The kinetic energy Involve the automatic measurement of equivalent
of the impacting ions is sufficient to cause target surface circuit parameters over a range of frequencies t involving
atoms to be released and deposited on the substrate. swept frequency measurement techniques but not
N.B.: Triode, magnetron or radio frequency sputtering to continuous wave point-to-point measurements.
increase adhesion of coating and rate of deposition are
ordinary modifications of the process. 5 "Switch fabric"
That hardware and associated "software" which provides
ML 8 "Stabilisers" the physical or virtual connection path for in-transit
Sub!tances used in explosive formulations to improve message traffic being switched.
their shelf-life.
5 "Synchronous digital hierarchy't (SDH)
7 "Stability" A digital hierarchy providing a means to manage,
Standard deviation (1 sigma) of the variation of a multiplex and access various forms of digital traffic using a
particular parameter from its calibrated value measured synchronous transmission format on different types of
under stable temperature conditions. media. The format is based on the Synchronous
This can be expressed as a function of time. Transport Module (STM) which is defined by CCITT
Recommendation G.703, G.707 t G.708, G.709 and
2 3 "Stored programme controlled" others yet to published. The first level rate of"SDH't is
5 A control using instructions stored in an electronic 155.52 Mbit/s.
storage which a processor can execute in order to direct
the performance of predetermined functions. 5 "Synchronous optical network" (SONET)
N.B.: Equipment may be Hstored programme controlled" A network providing a means to manage t multiplex and
whether the electronic storage is internal or external to the access various forms of digital traffic using a synchronous
equipment. transmission format on fibre optics. The format is the
North America version of "SDH" and also uses the
3 "Substrate" Synchronous Transport Module (STM). Howevert it
A sheet of base material with or without an uses the Synchronous Transport Signal (STS) as the basic
interconnection pattern and on which or within which transport module with a first level rate of51.81 Ivlbit/s.
"discrete components" or integrated circuits The SONET standards are being integrated into those of
or both an be located. "SDH tt .
N.B.: "Discrete component": a separately packaged "circuit
element" with its own external connections. 6 "Systems tracks"
Processed t correlated (fusion of radar target data to flight
6 "Substrate blanks" plan position) and updated aircraft flight position report
Monolithic compounds with dimensions suitable for the available to the Air Traffic Control centre cuntrollers.
production of optical elements such as mirrors or optical
windows. 4 "Systolic array computer"
A computer where the flow and modification of the data
2 9 "Superalloys" is dynamically controllable at the logic gate level by the
Nickel-, cobalt- or iron-base alloys having strengths user.
superior to any alloys in the AISI 300 series at
temperatures over 922 K (649°C) under severe ML 7 "Tear gases"
environmental and operating conditions. Gases which produce temporary irritating or
disabling effects which disappear within minutes of
1 3 "Superconductive" removal from exposure.
6 8 Materials, i.e., metals, alloys or compounds, which
ML 20 can lose all electrical resistance, i.e., which can attain GTN "Technical assistance"
infinite electrical conductivity and carry very large May take forms, such as: instruction, skills, training,
electrical currents without Joule heating. working knowledge t consulting services.
N.B.: The "superconductive" state of a material is individually N.B.: HTechnical assistance" may involve tranifer of "technical
characterised by a "critical temperature", a critical magneticfield, data".
which is afunction of temperature, and a critical current density
whiCh is" however, afundion ofboth magneticfaeld and
temperature.
6 "Time constant"
The time taken from the application of a light stimulus
for the current increment to reach a value of 1-11e times
the finalvalue (i.e., 63% of the final value).
6 "Transfer laser"
A "laser" in which the lasing species is excited through
the transfer of energy by collision of a non-Iasing atom or
molecule with a lasing atom or molecule species.
6 "Tunable"
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".
These cross-reference lists are provided on an advisory basis only. They give an approximate indication of how the scope of the controls
translates between the uold" and unew" Industrial Lists.
Note: Exporters are reminded that the requirementfor an export licem:e is determined in law by the current Export of Goods(Control) Order, not by
this booklet which lists the controls on exports to the proscribed destinations. Goods may require an export licence even if they arefree from embargo.
uOld" IL Item uNew" Category uOld" IL Item uNew" Category "Old" IL Item UNew" Category
number/sub-item & clause number/sub-item & clause number/sub-item & clause
All of the units within the Department's Export Control Organisation are located at the above address.
• Non-proscribed countries
• Proscribed countries
• Hong Kong exports to proscribed destinations
• Enquiries on Atomic Energy List items: Department of Energy Tel: 071-238 3000