Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast)

REGULATION (EU) 2021/821 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast)

CHAPTER I

SUBJECT AND DEFINITIONS

Article 1

This Regulation establishes a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items.

Article 2

For the purposes of this Regulation, the following definitions apply:

(1) ‘dual-use items’ means items, including software and technology, which can be used for both civil and military purposes, and includes items which can be used for the design, development, production or use of nuclear, chemical or biological weapons or their means of delivery, including all items which can be used for both non-explosive uses and assisting in any way in the manufacture of nuclear weapons or other nuclear explosive devices;

(2) ‘export’ means: (a) an export procedure within the meaning of Article 269 of the Union Customs Code; (b) a re-export within the meaning of Article 270 of the Union Customs Code; a re-export also occurs if, during a transit through the customs territory of the Union according to point (11) of this Article, an exit summary declaration has to be lodged because the final destination of the items has been changed; (c) an outward processing procedure within the meaning of Article 259 of the Union Customs Code; or (d) transmission of software or technology by electronic media, including by fax, telephone, electronic mail or any other electronic means to a destination outside the customs territory of the Union; it includes making available in an electronic form such software and technology to natural or legal persons or to partnerships outside the customs territory of the Union; it also includes the oral transmission of technology when the technology is described over a voice transmission medium;

(3) ‘exporter’ means: (a) any natural or legal person or any partnership that, at the time when the export declaration or the re-export declaration or an exit summary declaration is accepted, holds the contract with the consignee in the third country and has the power to determine the sending of the items out of the customs territory of the Union; where no export contract has been concluded or if the holder of the contract does not act on its own behalf, exporter means the person who has the power to determine the sending of the items out of the customs territory of the Union; or (b) any natural or legal person or any partnership that decides to transmit software or technology by electronic media, including by fax, telephone, electronic mail or by any other electronic means to a destination outside the customs territory of the Union or to make available in an electronic form such software and technology to natural or legal persons or to partnerships outside the customs territory of the Union. Where the benefit of a right to dispose of the dual-use item belongs to a person resident or established outside the customs territory of the Union pursuant to the contract on which the export is based, the exporter shall be considered to be the contracting party resident or established in the customs territory of the Union; (c) where point (a) or (b) is not applicable, any natural person carrying the dual-use items to be exported where these dual-use items are contained in the person’s personal baggage within the meaning of point (a) of Article 1(19) of Commission Delegated Regulation (EU) 2015/2446 (¹);

(4) ‘export declaration’ means an act whereby any natural or legal person or any partnership indicates, in the prescribed form and manner, the wish to place dual-use items specified in point (1) under an export procedure;

(5) ‘re-export declaration’ means an act within the meaning of Article 5(13) of the Union Customs Code;

(6) ‘exit summary declaration’ means an act within the meaning of Article 5(10) of the Union Customs Code;

(7) ‘brokering services’ means: (a) the negotiation or arrangement of transactions for the purchase, sale or supply of dual-use items from a third country to any other third country; or (b) the selling or buying of dual-use items that are located in third countries for their transfer to another third country. For the purposes of this Regulation, the sole provision of ancillary services is excluded from this definition. Ancillary services are transportation, financial services, insurance or re-insurance, or general advertising or promotion;

(8) ‘broker’ means any natural or legal person or any partnership that provides brokering services from the customs territory of the Union into the territory of a third country;

(9) ‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services, including by electronic means as well as by telephone or any other verbal forms of assistance;

(10) ‘provider of technical assistance’ means: (a) any natural or legal person or any partnership that provides technical assistance from the customs territory of the Union into the territory of a third country; (b) any natural or legal person or any partnership resident or established in a Member State that provides technical assistance within the territory of a third country; or (c) any natural or legal person or any partnership resident or established in a Member State that provides technical assistance to a resident of a third country temporarily present in the customs territory of the Union;

(11) ‘transit’ means a transport of non-Union dual-use items entering and passing through the customs territory of the Union with a destination outside the customs territory of the Union where those items: (a) are placed under an external transit procedure according to Article 226 of the Union Customs Code and only pass through the customs territory of the Union; (b) are trans-shipped within, or directly re-exported from, a free zone; (c) are in temporary storage and are directly re-exported from a temporary storage facility; or (d) were brought into the customs territory of the Union on the same vessel or aircraft that will take them out of that territory without unloading;

(12) ‘individual export authorisation’ means an authorisation granted to one specific exporter for one end-user or consignee in a third country and covering one or more dual-use items;

(13) ‘global export authorisation’ means an authorisation granted to one specific exporter in respect of a type or category of dual-use items which may be valid for exports to one or more specified end-users and/or in one or more specified third countries;

(14) ‘large project authorisation’ means an individual export authorisation or a global export authorisation granted to one specific exporter, in respect of a type or category of dual-use items which may be valid for exports to one or more specified end-users in one or more specified third countries for the purpose of a specified large-scale project;

(15) ‘Union general export authorisation’ means an export authorisation for exports to certain countries of destination that is available to all exporters who respect the conditions and requirements listed in Sections A to H of Annex II;

(16) ‘national general export authorisation’ means an export authorisation defined by national legislation in accordance with Article 12(6) and Section C of Annex III;

(17) ‘customs territory of the Union’ means the customs territory of the Union within the meaning of Article 4 of the Union Customs Code;

(18) ‘non-Union dual-use items’ means items that have the status of non-Union goods within the meaning of Article 5(24) of the Union Customs Code;

(19) ‘arms embargo’ means an arms embargo imposed by a decision or a common position adopted by the Council or a decision of the Organisation for Security and Cooperation in Europe (OSCE) or an arms embargo imposed by a binding resolution of the Security Council of the United Nations;

(20) ‘cyber-surveillance items’ means dual-use items specially designed to enable the covert surveillance of natural persons by monitoring, extracting, collecting or analysing data from information and telecommunication systems;

(21) ‘internal compliance programme’ or ‘ICP’ means ongoing effective, appropriate and proportionate policies and procedures adopted by exporters to facilitate compliance with the provisions and objectives of this Regulation and with the terms and conditions of the authorisations implemented under this Regulation, including, inter alia, due diligence measures assessing risks related to the export of the items to end-users and end-uses;

(22) ‘essentially identical transaction’ means a transaction concerning items with essentially identical parameters or technical characteristics and involving the same end-user or consignee as another transaction.

CHAPTER II

SCOPE

Article 3

Article 4

An authorisation shall be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part:

(a) for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices or the development, production, maintenance or storage of missiles capable of delivering such weapons;

(b) for a military end-use if the purchasing country or country of destination is subject to an arms embargo; for the purposes of this point, ‘military end-use’ means: (i) incorporation into military items listed in the military list of Member States; (ii) use of production, test or analytical equipment and components therefor, for the development, production or maintenance of military items listed in the military list of Member States; or (iii) use of any unfinished products in a plant for the production of military items listed in the military list of Member States;

(c) for use as parts or components of military items listed in the national military list that have been exported from the territory of a Member State without authorisation or in violation of an authorisation prescribed by the national legislation of that Member State.

Article 5

Article 6

Article 7

The competent authority may impose the authorisation requirement on the natural or legal person or the partnership that holds the contract with the consignee in the third country and has the power to determine the sending of the items passing through the customs territory of the Union.

If the natural or legal person or the partnership is not resident or established in the customs territory of the Union, the competent authority may impose the authorisation requirement on:

(a) the declarant within the meaning of Article 5(15) of the Union Customs Code;

(b) the carrier within the meaning of Article 5(40) of the Union Customs Code; or

(c) the natural person carrying the dual-use items in transit where those dual-use items are contained in the personal baggage of that person.

Article 8

Paragraphs 1 and 2 shall not apply if the technical assistance:

(a) is provided within or into the territory of a country listed in Part 2 of Section A of Annex II, or towards a resident of a country listed in Part 2 of Section A of Annex II;

(b) takes the form of transferring information that is in the public domain or basic scientific research within the meaning of the General Technology Note or of the Nuclear Technology Note set out in Annex I;

(c) is provided by authorities or agencies of a Member State in the context of their official tasks;

(d) is provided for the armed forces of a Member State on the basis of the tasks assigned to them;

(e) is provided for a purpose which is cited in the exceptions for items of the Missile Technology Control Regime (MTCR technology) in Annex IV; or

(f) is the minimum necessary for the installation, operation, maintenance (checking) or repair of those items for which an export authorisation has been issued.

Article 9

Article 10

Article 11

A Member State may impose an authorisation requirement for the transfer of other dual-use items from its territory to another Member State in cases where at the time of transfer:

(a) the operator or the competent authority knows that the final destination of the items concerned is outside the customs territory of the Union;

(b) the export of those items to that final destination is subject to an authorisation requirement pursuant to Article 3, 4, 5, 9 or 10 in the Member State from which the items are to be transferred, and such export directly from its territory is not authorised by a general authorisation or a global authorisation; and

(c) no processing or working as defined in Article 60(2) of the Union Customs Code is to be performed on the items in the Member State to which they are to be transferred.

CHAPTER III

EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES AND TECHNICAL ASSISTANCE

Article 12

The following types of authorisations for export may be issued or are established under this Regulation:

(a) individual export authorisations;

(b) global export authorisations;

(c) national general export authorisations;

(d) Union general export authorisations for exports of certain items to certain destinations under specific conditions and requirements for use as set out in Sections A to H of Annex II.

Authorisations issued or established under this Regulation shall be valid throughout the customs territory of the Union.

Without prejudice to point (3) of Article 2, where the exporter is not resident or established on the customs territory of the Union, individual export authorisations shall be granted under this Regulation by the competent authority of the Member State where the dual-use items are located.

All individual and global export authorisations shall be issued, whenever possible, by electronic means on forms containing at least all the elements of and in the order provided for in the models set out in Section A of Annex III.

Large project authorisations shall be valid for a duration to be determined by the competent authority, but no longer than four years, except in duly justified circumstances based on the duration of the project.

Individual export authorisations shall be subject to an end-use statement. The competent authority may exempt certain applications from the obligation of providing an end-use statement. Global export authorisations may be subject to an end-use statement if appropriate.

Exporters using global export authorisations shall implement an ICP, unless the competent authority considers it unnecessary due to other information it has taken into account when processing the application for a global export authorisation submitted by the exporter.

Reporting and ICP requirements relating to the use of global export authorisations shall be defined by Member States.

At the request of exporters, global export authorisations that contain quantitative limitations shall be split.

National general export authorisations shall:

(a) exclude from their scope items listed in Section I of Annex II;

(b) be defined by national law or practice; they may be used by all exporters, resident or established in the Member State that issues those authorisations, if they meet the requirements set in this Regulation and in the complementary national legislation; they shall be issued in accordance with the indications set out in Section C of Annex III;

(c) not be used if the exporter has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1), or if the exporter is aware that the items are intended for such uses.

National general export authorisations may also apply to items and destinations listed in Sections A to H of Annex II.

Member States shall notify the Commission immediately of any national general export authorisations issued or modified. The Commission shall publish such notifications in the C series of the Official Journal of the European Union.

The competent authorities of the Member States shall exchange information on exporters which are prohibited from using a Union general export authorisation, unless the competent authority of the Member State where the exporter is resident or established determines that the exporter will not attempt to export dual-use items through another Member State. The exchange of information shall be carried out using the electronic system referred to in Article 23(6).

Article 13

Authorisations for technical assistance shall clearly identify the end-user and the exact location of the end-user.

The authorisations shall be valid throughout the customs territory of the Union.

Article 14

If no objections are received within 10 working days, the Member States consulted shall be regarded as having no objection.

In exceptional cases, any Member State consulted may request the extension of that 10-day period. However, the extension shall not exceed 30 working days.

Article 15

In deciding whether or not to grant an authorisation or to prohibit a transit under this Regulation, the Member States shall take into account all relevant considerations, including:

(a) Union and Member States’ international obligations and commitments, in particular the obligations and commitments they have each accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties;

(b) their obligations under sanctions imposed by a decision or a common position adopted by the Council or by a decision of the OSCE or by a binding resolution of the Security Council of the United Nations;

(c) considerations of national foreign and security policy, including those covered by Common Position 2008/944/CFSP;

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

Article 16

The competent authorities of the Member States consulted shall make known within 10 working days whether or not they consider the transaction in question to be an essentially identical transaction. If no reaction has been received within 10 working days, the competent authorities of the Member States consulted shall be regarded as not considering the transaction in question to be an essentially identical transaction.

If more information is required to correctly evaluate the transaction in question, the competent authorities of the Member States concerned shall agree on the extension of that 10-day period. However, the extension shall not exceed 30 working days.

If, following such consultation, the competent authority decides to grant an authorisation or allow the transit, it shall notify the competent authorities of the other Member States and the Commission, providing all relevant information to explain the decision.

CHAPTER IV

AMENDMENT OF LISTS OF DUAL-USE ITEMS AND DESTINATIONS

Article 17

The Commission is empowered to adopt delegated acts in accordance with Article 18 in order to amend the list of dual-use items set out in Annexes I and IV, as follows:

(a) the list of dual-use items set out in Annex I shall be amended in conformity with the relevant obligations and commitments, and any amendment thereof, that Member States and, where applicable, the Union have accepted as members of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties;

(b) where the amendment of Annex I concerns dual-use items which are also listed in Annex II or IV, those Annexes shall be amended accordingly.

Article 18

Article 19

Article 20

The list of dual-use items set out in Annex IV, which is a subset of Annex I, shall be updated having regard to Article 36 TFEU, namely the public policy and public security interests of the Member States.

CHAPTER V

CUSTOMS PROCEDURES

Article 21

Without prejudice to any powers conferred on it under, and pursuant to, the Union Customs Code, a Member State may also, for a period not exceeding the periods referred to in paragraph 4, suspend the process of export from its territory, or, if necessary, otherwise prevent the dual-use items which are or are not covered by a valid export authorisation from leaving the Union via its territory, where it has:

(a) grounds for suspicion that: (i) relevant information was not taken into account when the authorisation was granted; or (ii) circumstances have materially changed since the grant of the authorisation; or

(b) relevant information regarding the potential application of measures under Article 4(1).

Article 22

CHAPTER VI

ADMINISTRATIVE COOPERATION, IMPLEMENTATION AND ENFORCEMENT

Article 23

Member States shall inform the Commission without delay of the laws, regulations and administrative provisions adopted in implementation of this Regulation, including:

(a) a list of the competent authorities of the Member States empowered to: — grant export authorisations for dual-use items, — grant authorisations under this Regulation for the provision of brokering services and technical assistance, — prohibit the transit of non-Union dual-use items under this Regulation;

(b) the measures referred to in Article 25(1).

The Commission shall forward the information to the other Member States and shall publish the information in the C series of the Official Journal of the European Union.

Member States, in cooperation with the Commission, shall take all appropriate measures to establish direct cooperation and exchange of information between the competent authorities with a view to enhance the efficiency of the Union export control regime and to ensure the consistent and effective implementation and enforcement of control throughout the customs territory of the Union. The information exchange may include:

(a) relevant licensing data, provided for each authorisation issued (e.g. value and types of licence and related destinations, number of users of general authorisations);

(b) additional information regarding the application of controls, including information on the application of criteria set out in Article 15(1), the number of operators with an ICP and, where available, data on exports of dual-use items carried out in other Member States;

(c) information regarding the analysis underlying additions or planned additions to national control lists pursuant to Article 9;

(d) information regarding the enforcement of controls, including risk-based audits, details of exporters deprived of the right to use the national or Union general export authorisations, and, where available, number of violations, seizures and application of other penalties;

(e) data on sensitive end-users, actors involved in suspicious procurement activities, and, where available, routes taken.

Article 24

Article 25

Under the Enforcement Coordination Mechanism, the Member States and the Commission shall also exchange information on best practices of national enforcement authorities regarding risk-based audits, the detection and prosecution of unauthorised exports of dual-use items and/or possible other infringements of this Regulation and/or relevant national legislation.

Exchange of information under the Enforcement Coordination Mechanism shall be confidential.

CHAPTER VII

TRANSPARENCY, OUTREACH, MONITORING, EVALUATION

Article 26

The annual report shall include information on authorisations (in particular number and value by types of items and by destinations at Union and Member State levels), denials and prohibitions under this Regulation. The annual report shall also include information on the administration (in particular staffing, compliance and outreach activities, dedicated licensing or classification tools), and enforcement of controls (in particular the number of infringements and penalties).

With regard to cyber-surveillance items, the annual report shall include dedicated information on authorisations, in particular on the number of applications received by item, the issuing Member State and the destinations concerned by those applications, and on the decisions taken on those applications.

The information contained in the annual report shall be presented in accordance with the principles set out in paragraph 3.

The Commission and the Council shall make available guidelines on the methodology for data gathering and processing for the preparation of the annual report, including the determination of the types of items and the availability of enforcement data.

CHAPTER VIII

CONTROL MEASURES

Article 27

Exporters of dual-use items shall keep detailed registers or records of their exports, in accordance with the national law or practice in force in the Member State concerned. Such registers or records shall include in particular commercial documents such as invoices, manifests and transport and other dispatch documents containing sufficient information to allow the following to be identified:

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

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

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

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

Article 28

In order to ensure that this Regulation is properly applied, each Member State shall take all necessary measures to permit its competent authorities:

(a) to gather information on any order or transaction involving dual-use items;

(b) to establish whether the export control measures are being properly applied, which may include in particular the power to enter the premises of persons with an interest in an export transaction or brokers involved in the provision of brokering services under circumstances set out in Article 6, or providers of technical assistance under the circumstances set out in Article 8.

CHAPTER IX

COOPERATION WITH THIRD COUNTRIES

Article 29

The dialogues may support regular and reciprocal cooperation with third countries, including exchange of information and best practices, as well as capacity-building and outreach to third countries. The dialogues may also encourage the adherence of third countries to robust export controls developed by multilateral export control regimes as a model for international best practice.

Those negotiations shall be conducted in accordance with the procedures established in Article 207(3) TFEU and in the Treaty establishing the European Atomic Energy Community, as appropriate.

CHAPTER X

FINAL PROVISIONS

Article 30

This Regulation applies without prejudice to the Commission Delegated Decision of 15 September 2015 supplementing Decision No 1104/2011/EU.

Article 31

Regulation (EC) No 428/2009 is repealed.

However, for authorisation applications made before 9 September 2021, the relevant provisions of Regulation (EC) No 428/2009 shall continue to apply.

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

Article 32

This Regulation shall enter into force on the ninetieth day following that of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

ANNEX I

The list of dual-use items contained in this Annex implements internationally agreed dual-use controls including the Australia Group (⁴), the Missile Technology Control Regime (MTCR) (⁵), the Nuclear Suppliers Group (NSG) (⁶), the Wassenaar Arrangement (⁷) and the Chemical Weapons Convention (CWC) (⁸).

PART I

General Notes, Acronyms and Abbreviations, and Definitions

GENERAL NOTES TO ANNEX I

1.For control of goods which are designed or modified for military use, see the Common Military List of the European Union (⁹) and relevant list(s) of controls on military goods maintained by individual EU Member States. References in this Annex that state "SEE ALSO MILITARY GOODS CONTROLS" refer to the same lists.

2.The object of the controls contained in this Annex should not be defeated by the export of any non-controlled goods (including plant) containing one or more controlled components when the controlled component or components are the principal element of the goods and can feasibly be removed or used for other purposes.

N.B.

In judging whether the controlled component or components are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know-how involved and other special circumstances which might establish the controlled component or components as the principal element of the goods being procured.

3.Goods specified in this Annex include both new and used goods.

4.In some instances, chemicals are listed by name and CAS number. The list applies to chemicals of the same structural formula (including hydrates, isotopically-labelled forms or all possible stereoisomers) regardless of name or CAS number. CAS numbers are shown to assist in identifying a particular chemical or mixture, irrespective of nomenclature. CAS numbers cannot be used as unique identifiers because some forms of the listed chemical have different CAS numbers, and mixtures containing a listed chemical may also have different CAS numbers.

NUCLEAR TECHNOLOGY NOTE (NTN)

(To be read in conjunction with section E of Category 0.)

The "technology" directly associated with any goods controlled in Category 0 is controlled according to the provisions of Category 0.

"Technology" for the "development", "production" or "use" of goods under control remains under control even when applicable to non-controlled goods.

The approval of goods for export also authorises the export to the same end-user of the minimum "technology" required for the installation, operation, maintenance and repair of the goods.

Controls on "technology" transfer do not apply to information "in the public domain" or to "basic scientific research".

GENERAL TECHNOLOGY NOTE (GTN)

(To be read in conjunction with section E of Categories 1 to 9)

The export of "technology" which is "required" for the "development", "production" or "use" of goods controlled in Categories 1 to 9, is controlled according to the provisions of Categories 1 to 9.

"Technology" "required" for the "development", "production" or "use" of goods under control remains under control even when applicable to non-controlled goods.

Controls do not apply to that "technology" which is the minimum necessary for the installation, operation, maintenance (checking) or repair of those goods which are not controlled or whose export has been authorised.

Note:

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

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

NUCLEAR SOFTWARE NOTE (NSN)

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

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

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

Note:

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

GENERAL SOFTWARE NOTE (GSN)

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

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

a. Generally available to the public by being:

a. Over-the-counter transactions; b. Mail order transactions; c. Electronic transactions; or d. Telephone call transactions; and

Note:Entry a. of the General Software Note does not release "software" specified in Category 5, Part 2 ("Information Security").

b. "In the public domain"; or

c. The minimum necessary "object code" for the installation, operation, maintenance (checking) or repair of those items whose export has been authorised. Note:Entry c. of the General Software Note does not release "software" specified in Category 5, Part 2 ("Information Security").

GENERAL "INFORMATION SECURITY" NOTE (GISN)

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

EDITORIAL PRACTICES IN THE OFFICIAL JOURNAL OF THE EUROPEAN UNION

In accordance with the rules set out in the Interinstitutional style guide, for texts in English published in the Official Journal of the European Union:

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

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

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

ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX

For acronyms and abbreviations used as defined terms, see 'Definitions of Terms used in this Annex'.

ACRONYMS AND ABBREVIATIONS
ABEC	Annular Bearing Engineers Committee
ABMA	American Bearing Manufacturers Association
ADC	Analogue-to-Digital Converter
AGMA	American Gear Manufacturers’ Association
AHRS	Attitude and Heading Reference Systems
AISI	American Iron and Steel Institute
ALE	Atomic Layer Epitaxy
ALU	Arithmetic Logic Unit
ANSI	American National Standards Institute
APP	Adjusted Peak Performance
APU	Auxiliary Power Unit
ASTM	American Society for Testing and Materials
ATC	Air Traffic Control
BJT	Bipolar Junction Transistors
BPP	Beam Parameter Product
BSC	Base Station Controller
CAD	Computer-Aided-Design
CAS	Chemical Abstracts Service
CCD	Charge Coupled Device
CDU	Control and Display Unit
CEP	Circular Error Probable
CMM	Coordinate Measuring Machine
CMOS	Complementary Metal Oxide Semiconductor
CNTD	Controlled Nucleation Thermal Deposition
CPLD	Complex Programmable Logic Device
CPU	Central Processing Unit
CVD	Chemical Vapour Deposition
CW	Chemical Warfare
CW (for lasers)	Continuous Wave
DAC	Digital-to-Analogue Converter
DANL	Displayed Average Noise Level
DBRN	Data-Base Referenced Navigation
DDS	Direct Digital Synthesizer
DMA	Dynamic Mechanical Analysis
DME	Distance Measuring Equipment
DMOSFET	Diffused Metal Oxide Semiconductor Field Effect Transistor
DS	Directionally Solidified
EB	Exploding Bridge
EB-PVD	Electron Beam Physical Vapour Deposition
EBW	Exploding Bridge Wire
ECAD	Electronic Computer-Aided Design
ECM	Electro-Chemical Machining
EDM	Electrical Discharge Machines
EFI	Exploding Foil Initiators
EIRP	Effective Isotropic Radiated Power
EMP	Electromagnetic Pulse
ENOB	Effective Number of Bits
ERF	Electrorheological Finishing
ERP	Effective Radiated Power
ESD	Electrostatic Discharge
ETO	Emitter Turn-Off Thyristor
ETT	Electrical Triggering Thyristor
EU	European Union
EUV	Extreme Ultraviolet
FADEC	Full Authority Digital Engine Control
FFT	Fast Fourier Transform
FPGA	Field Programmable Gate Array
FPIC	Field Programmable Interconnect
FPLA	Field Programmable Logic Array
FPLD	Field Programmable Logic Device
FPO	Floating Point Operation
FWHM	Full-Width Half-Maximum
GAAFET	Gate-All-Around Field-Effect Transistor
GLONASS	Global Navigation Satellite System
GNSS	Global Navigation Satellite System
GPS	Global Positioning System
GSM	Global System for Mobile Communications
GTO	Gate Turn-off Thyristor
HBT	Heterojunction Bipolar Transistor
HDMI	High-Definition Multimedia Interface
HEMT	High Electron Mobility Transistor
ICAO	International Civil Aviation Organization
IEC	International Electrotechnical Commission
IED	Improvised Explosive Device
IEEE	Institute of Electrical and Electronic Engineers
IFOV	Instantaneous Field of View
IGBT	Insulated Gate Bipolar Transistor
IGCT	Integrated Gate Commutated Thyristor
IHO	International Hydrographic Organization
ILS	Instrument Landing System
IMU	Inertial Measurement Unit
INS	Inertial Navigation System
IP	Internet Protocol
IRS	Inertial Reference System
IRU	Inertial Reference Unit
ISA	International Standard Atmosphere
ISAR	Inverse Synthetic Aperture Radar
ISO	International Organization for Standardization
ITU	International Telecommunication Union
JT	Joule-Thomson
LIDAR	Light Detection and Ranging
LIDT	Laser Induced Damage Threshold
LOA	Length Overall
LRU	Line Replaceable Unit
LTT	Light Triggering Thyristor
LUT	Lookup Table
MLS	Microwave Landing Systems
MMIC	Monolithic Microwave Integrated Circuit
MOCVD	Metal Organic Chemical Vapour Deposition
MOSFET	Metal Oxide Semiconductor Field Effect Transistor
MPM	Microwave Power Module
MRF	Magnetorheological Finishing
MRF	Minimum Resolvable Feature size
MRI	Magnetic Resonance Imaging
MTBF	Mean-Time-Between-Failures
MTTF	Mean-Time-To-Failure
NA	Numerical Aperture
NDT	Non-Destructive Test
NEQ	Net Explosive Quantity
NIJ	National Institute of Justice
OAM	Operations, Administration or Maintenance
OSI	Open Systems Interconnection
PAI	Polyamide-imides
PAR	Precision Approach Radar
PCL	Passive Coherent Location
PDK	Process Design Kit
PIN	Personal Identification Number
PMAC	Permanent Magnet Alternating Current
PMR	Private Mobile Radio
PVD	Physical Vapour Deposition
ppm	parts per million
QAM	Quadrature-Amplitude-Modulation
QE	Quantum Efficiency
RAP	Reactive Atom Plasmas
RF	Radio Frequency
rms	root mean square
RNC	Radio Network Controller
RNSS	Regional Navigation Satellite System
ROIC	Read-out Integrated Circuit
S-FIL	Step and Flash Imprint Lithography
SAR	Synthetic Aperture Radar
SAS	Synthetic Aperture Sonar
SC	Single Crystal
SCR	Silicon Controlled Rectifier
SFDR	Spurious Free Dynamic Range
SHPL	Super High Powered Laser
SLAR	Sidelooking Airborne Radar
SOI	Silicon-on-Insulator
SQUID	Superconducting Quantum Interference Device
SRA	Shop Replaceable Assembly
SRAM	Static Random Access Memory
SSB	Single Sideband
SSR	Secondary Surveillance Radar
SSS	Side Scan Sonar
TIR	Total Indicated Reading
TVR	Transmitting Voltage Response
u	Atomic Mass Unit
UPR	Unidirectional Positioning Repeatability
UTS	Ultimate Tensile Strength
UV	Ultraviolet
VJFET	Vertical Junction Field Effect Transistor
VOR	Very High Frequency Omni-directional Range
WHO	World Health Organization
WLAN	Wireless Local Area Network

DEFINITIONS OF TERMS USED IN THIS ANNEX

Definitions of terms between 'single quotation marks' are given in a Technical Note to the relevant item.

Definitions of terms between "double quotation marks" are as follows:

N.B.

Category references are given in brackets after the defined term.

"Accuracy" (2 3 6 7), usually measured in terms of inaccuracy, means the maximum deviation, positive or negative, of an indicated value from an accepted standard or true value.

"Active flight control systems" (7) are systems that function to prevent undesirable "aircraft" and missile motions or structural loads by autonomously processing outputs from multiple sensors and then providing necessary preventive commands to effect automatic control.

"Active pixel" (6) is a minimum (single) element of the solid-state array which has a photoelectric transfer function when exposed to light (electromagnetic) radiation.

"Adjusted Peak Performance" (4) is an adjusted peak rate at which "digital computers" perform 64-bit or larger floating point additions and multiplications, and is expressed in Weighted TeraFLOPS (WT) with units of 10¹² adjusted floating point operations per second.

N.B.

See Category 4, Technical Note.

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

N.B.

See also "civil aircraft".

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

"All compensations available" (2) means after all feasible measures available to the manufacturer to minimise all systematic positioning errors for the particular machine-tool model or measuring errors for the particular coordinate measuring machine are considered.

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

N.B.

Additional and alternative allocations are not included.

"Angular position deviation" (2) means the maximum difference between angular position and the actual, very accurately measured angular position after the workpiece mount of the table has been turned out of its initial position.

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

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

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

N.B.

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

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

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

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

"Bias" (accelerometer) (7) means the average over a specified time of accelerometer output, measured at specified operating conditions, that has no correlation with input acceleration or rotation. "Bias" is expressed in g or in metres per second squared (g or m/s²). (IEEE 528-2001) (Micro g equals 1 × 10^-6 g).

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

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

"Charge multiplication" (6) means a form of electronic image amplification defined as the generation of charge carriers as a result of an impact ionisation gain process. "Charge multiplication" sensors may take the form of an image intensifier tube, solid-state detector or "focal plane array"

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

"Chemical mixture" (1) means a solid, liquid or gaseous product made up of two or more components which do not react together under the conditions under which the mixture is stored.

"Circulation-controlled anti-torque or circulation-controlled direction control systems" (7) are systems that use air blown over aerodynamic surfaces to increase or control the forces generated by the surfaces.

"Civil aircraft" (1 3 4 7) means those "aircraft" listed by designation in published airworthiness certification lists by the civil aviation authorities of one or more EU Member States or Wassenaar Arrangement Participating States to fly commercial civil internal and external routes or for legitimate civil, private or business use.

N.B.

See also "aircraft".

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

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

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

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

"Critical temperature" (1 3 5) (sometimes referred to as the transition temperature) of a specific "superconductive" material means the temperature at which the material loses all resistance to the flow of direct electrical current.

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

Technical Notes:

1.

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

2.

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

"Cryptography" (5) means the discipline which embodies principles, means and methods for the transformation of data in order to hide its information content, prevent its undetected modification or prevent its unauthorised use. "Cryptography" is limited to the transformation of information using one or more 'secret parameters' (e.g., crypto variables) or associated key management.

Notes:

1.

"Cryptography" does not include 'fixed' data compression or coding techniques.

2.

"Cryptography" includes decryption.

Technical Notes:

1.

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

2.

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

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

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

"Data device" (def) means equipment capable of transmitting or receiving sequences of digital information.

"Data-Based Referenced Navigation" ("DBRN") (7) Systems means systems which use various sources of previously measured geo-mapping data integrated to provide accurate navigation information under dynamic conditions. Data sources include bathymetric maps, stellar maps, gravity maps, magnetic maps or 3-D digital terrain maps.

"Depleted uranium" (0) means uranium depleted in the isotope 235 below that occurring in nature.

"Development" (GTN NTN All) is related to all phases prior to serial production, such as: design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into a product, configuration design, integration design, layouts.

"Diffusion bonding" (1 2) means a solid-state joining of at least two separate pieces of metals into a single piece with a joint strength equivalent to that of the weakest material, wherein the principal mechanism is interdiffusion of atoms across the interface.

"Digital computer" (4 5) means equipment which can, in the form of one or more discrete variables, perform all of the following:

a. Accept data;

b. Store data or instructions in fixed or alterable (writable) storage devices;

c. Process data by means of a stored sequence of instructions which is modifiable; and

d. Provide output of data.

N.B.

Modifications of a stored sequence of instructions include replacement of fixed storage devices, but not a physical change in wiring or interconnections.

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

N.B.

See also "total digital transfer rate".

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

"Effective gramme" (0 1) of "special fissile material" means:

a. For plutonium isotopes and uranium-233, the isotope weight in grammes;

b. For uranium enriched 1 per cent or greater in the isotope uranium-235, the element weight in grammes multiplied by the square of its enrichment expressed as a decimal weight fraction;

c. For uranium enriched below 1 per cent in the isotope uranium-235, the element weight in grammes multiplied by 0,0001;

"Electronic assembly" (2 3 4) means a number of electronic components (i.e., 'circuit elements', 'discrete components', integrated circuits, etc.) connected together to perform (a) specific function(s), replaceable as an entity and normally capable of being disassembled.

N.B.1.

'Circuit element': a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.

N.B.2.

'Discrete component': a separately packaged 'circuit element' with its own external connections.

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

"End-effectors" (2) means grippers, 'active tooling units' and any other tooling that is attached to the baseplate on the end of a "robot" manipulator arm.

N.B.

'Active tooling unit' means a device for applying motive power, process energy or sensing to the workpiece.

"Equivalent density" (6) means the mass of an optic per unit optical area projected onto the optical surface.

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

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

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

"Fibrous or filamentary materials" (0 1 8 9) include:

a. Continuous "monofilaments";

b. Continuous "yarns" and "rovings";

c. "Tapes", fabrics, random mats and braids;

d. Chopped fibres, staple fibres and coherent fibre blankets;

e. Whiskers, either monocrystalline or polycrystalline, of any length;

f. Aromatic polyamide pulp.

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

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

"Focal plane array" (6 8) means a linear or two-dimensional planar layer, or combination of planar layers, of individual detector elements, with or without readout electronics, which work in the focal plane.

N.B.

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

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

"Frequency hopping" (5 6) means a form of "spread spectrum" in which the transmission frequency of a single communication channel is made to change by a random or pseudo-random sequence of discrete steps.

"Frequency switching time" (3) means the time (i.e., delay) taken by a signal when switched from an initial specified output frequency, to arrive at or within any of the following:

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

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

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

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

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

N.B.

This definition includes nanosheet or nanowire field-effect and surrounding gate transistors and other "GAAFET" semiconductor channel element structures.

"Guidance set" (7) means systems that integrate the process of measuring and computing a vehicles position and velocity (i.e., navigation) with that of computing and sending commands to the vehicles flight control systems to correct the trajectory.

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

"High output diesel engines" (9) means diesel engines with a specified brake mean effective pressure of 1,8 MPa or more at a speed of 2 300  r.p.m., provided the rated speed is 2 300  r.p.m. or more.

"Hybrid integrated circuit" (3) means any combination of integrated circuit(s), or integrated circuit with 'circuit elements' or 'discrete components' connected together to perform (a) specific function(s), and having all of the following characteristics:

a. Containing at least one unencapsulated device;

b. Connected together using typical IC production methods;

c. Replaceable as an entity; and

d. Not normally capable of being disassembled.

N.B.1.

'Circuit element': a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.

N.B.2.

'Discrete component': a separately packaged 'circuit element' with its own external connections.

"Image enhancement" (4) means the processing of externally derived information-bearing images by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform). This does not include algorithms using only linear or rotational transformation of a single image, such as translation, feature extraction, registration or false coloration.

"Immunotoxin" (1) is a conjugate of one cell specific monoclonal antibody and a "toxin" or "sub-unit of toxin", that selectively affects diseased cells.

"In the public domain" (GTN NTN GSN), as it applies herein, means "technology" or "software" which has been made available without restrictions upon its further dissemination (copyright restrictions do not remove "technology" or "software" from being "in the public domain").

"Information security" (GSN GISN 5) is all the means and functions ensuring the accessibility, confidentiality or integrity of information or communications, excluding the means and functions intended to safeguard against malfunctions. This includes "cryptography", "cryptographic activation", 'cryptanalysis', protection against compromising emanations and computer security.

Technical Note:

'Cryptanalysis': analysis of a cryptographic system or its inputs and outputs to derive confidential variables or sensitive data, including clear text.

"Instantaneous bandwidth" (3 5 7) means the bandwidth over which output power remains constant within 3 dB without adjustment of other operating parameters.

"Interior lining" (9) is suited for the bond interface between the solid propellant and the case or insulating liner. Usually a liquid polymer based dispersion of refractory or insulating materials, e.g. carbon filled hydroxyl terminated polybutadiene (HTPB) or other polymer with added curing agents sprayed or screeded over a case interior.

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

"Intrinsic Magnetic Gradiometer" (6) is a single magnetic field gradient sensing element and associated electronics the output of which is a measure of magnetic field gradient.

N.B.

See also "Magnetic Gradiometer".

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

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

b. The modification of the standard execution path of a program or process in order to allow the execution of externally provided instructions.

Notes:

1.

"Intrusion software" does not include any of the following:

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

b. Digital Rights Management (DRM) "software"; or

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

2.

Network-capable devices include mobile devices and smart meters.

Technical Notes:

1.

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

2.

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

"Isolated live cultures" (1) includes live cultures in dormant form and in dried preparations.

"Isostatic presses" (2) mean equipment capable of pressurising a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal pressure in all directions within the cavity upon a workpiece or material.

"Laser" (0 1 2 3 5 6 7 8 9) is an item that produces spatially and temporally coherent light through amplification by stimulated emission of radiation.

N.B. See also

"CW laser";

"Super High Power Laser".

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

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

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

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

a. Allows an arbitrary number of independent "data devices" to communicate directly with each other; and

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

"Magnetic Gradiometers" (6) are instruments designed to detect the spatial variation of magnetic fields from sources external to the instrument. They consist of multiple "magnetometers" and associated electronics the output of which is a measure of magnetic field gradient.

N.B.

See also "Intrinsic Magnetic Gradiometer".

"Magnetometers" (6) are instruments designed to detect magnetic fields from sources external to the instrument. They consist of a single magnetic field sensing element and associated electronics the output of which is a measure of the magnetic field.

"Materials resistant to corrosion by UF6" (0) include copper, copper alloys, stainless steel, aluminium, aluminium oxide, aluminium alloys, nickel or alloys containing 60 % or more nickel by weight and fluorinated hydrocarbon polymers.

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

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

"Matrix" (1 2 8 9) means a substantially continuous phase that fills the space between particles, whiskers or fibres.

"Measurement uncertainty" (2) is the characteristic parameter which specifies in what range around the output value the correct value of the measurable variable lies with a confidence level of 95 %. It includes the uncorrected systematic deviations, the uncorrected backlash and the random deviations (ref. ISO 10360-2).

"Microcomputer microcircuit" (3) means a "monolithic integrated circuit" or "multichip integrated circuit" containing an arithmetic logic unit (ALU) capable of executing general purpose instructions from an internal storage, on data contained in the internal storage.

N.B.

The internal storage may be augmented by an external storage.

"Microprocessor microcircuit" (3) means a "monolithic integrated circuit" or "multichip integrated circuit" containing an arithmetic logic unit (ALU) capable of executing a series of general purpose instructions from an external storage.

N.B.1.

The "microprocessor microcircuit" normally does not contain integral user-accessible storage, although storage present on-the-chip may be used in performing its logic function.

N.B.2.

This includes chip sets which are designed to operate together to provide the function of a "microprocessor microcircuit".

"Microorganisms" (1 2) means bacteria, viruses, mycoplasms, rickettsiae, chlamydiae or fungi, whether natural, enhanced or modified, either in the form of "isolated live cultures" or as material including living material which has been deliberately inoculated or contaminated with such cultures.

"Missiles" (1 2 3 6 7 9) means complete rocket systems and unmanned aerial vehicle systems, capable of delivering at least 500 kg payload to a range of at least 300 km.

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

"Monolithic integrated circuit" (3) means a combination of passive or active 'circuit elements' or both which:

a. Are formed by means of diffusion processes, implantation processes or deposition processes in or on a single semiconducting piece of material, a so-called chip;

b. Can be considered as indivisibly associated; and

c. Perform the function(s) of a circuit.

N.B.

'Circuit element' is a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.

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

"Monospectral imaging sensors" (6) are capable of acquisition of imaging data from one discrete spectral band.

"Multichip integrated circuit" (3) means two or more "monolithic integrated circuits" bonded to a common "substrate".

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

"Multispectral imaging sensors" (6) are capable of simultaneous or serial acquisition of imaging data from two or more discrete spectral bands. Sensors having more than twenty discrete spectral bands are sometimes referred to as hyperspectral imaging sensors.

"Non-repetitive pulsed" (6) means "lasers" that produce either a single output pulse or that have a time interval between pulses exceeding one minute.

"Natural uranium" (0) means uranium containing the mixtures of isotopes occurring in nature.

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

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

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

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

a. Establishing or managing any of the following:

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

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

Note:

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

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

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

"Optical integrated circuit" (3) means a "monolithic integrated circuit" or a "hybrid integrated circuit", containing one or more parts designed to function as a photosensor or photoemitter or to perform (an) optical or (an) electro-optical function(s).

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

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

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

a. Allows an arbitrary number of independent or interconnected "data devices" to communicate directly with each other; and

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

Technical Note:

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

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

"Principal element" (4), as it applies in Category 4, is a "principal element" when its replacement value is more than 35 % of the total value of the system of which it is an element. Element value is the price paid for the element by the manufacturer of the system, or by the system integrator. Total value is the normal international selling price to unrelated parties at the point of manufacture or consolidation of shipment.

"Production" (GTN NTN All) means all production phases, such as: construction, production engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance.

"Production equipment" (1 7 9) means tooling, templates, jigs, mandrels, moulds, dies, fixtures, alignment mechanisms, test equipment, other machinery and components therefor, limited to those specially designed or modified for "development" or for one or more phases of "production".

"Production facilities" (7 9) means "production equipment" and specially designed software therefor integrated into installations for "development" or for one or more phases of "production".

"Program" (1 7) means a sequence of instructions to carry out a process in, or convertible into, a form executable by an electronic computer.

"Pulse compression" (6) means the coding and processing of a radar signal pulse of long time duration to one of short time duration, while maintaining the benefits of high pulse energy.

"Pulse duration" (6) is the duration of a "laser" pulse and means the time between the half-power points on the leading edge and trailing edge of an individual pulse.

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

"Radar spread spectrum" (6) means any modulation technique for spreading energy originating from a signal with a relatively narrow frequency band, over a much wider band of frequencies, by using random or pseudo-random coding.

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

Technical Note:

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

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

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

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

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

Technical Note:

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

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

a. Is multifunctional;

b. Is capable of positioning or orienting material, parts, tools or special devices through variable movements in three dimensional space;

c. Incorporates three or more closed or open loop servo-devices which may include stepping motors; and

d. Has "user accessible programmability" by means of teach/playback method or by means of an electronic computer which may be a programmable logic controller, i.e., without mechanical intervention.

N.B.

The above definition does not include the following devices:

1. Manipulation mechanisms which are only manually/ teleoperator controllable;

2. Fixed sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed stops, such as pins or cams. The sequence of motions and the selection of paths or angles are not variable or changeable by mechanical, electronic or electrical means;

3. Mechanically controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is mechanically limited by fixed, but adjustable stops, such as pins or cams. The sequence of motions and the selection of paths or angles are variable within the fixed programme pattern. Variations or modifications of the programme pattern (e.g., changes of pins or exchanges of cams) in one or more motion axes are accomplished only through mechanical operations;

4. Non-servo-controlled variable sequence manipulation mechanisms which are automated moving devices, operating according to mechanically fixed programmed motions. The programme is variable but the sequence proceeds only by the binary signal from mechanically fixed electrical binary devices or adjustable stops;

5. Stacker cranes defined as Cartesian coordinate manipulator systems manufactured as an integral part of a vertical array of storage bins and designed to access the contents of those bins for storage or retrieval.

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

N.B.

'Strand' is a bundle of "monofilaments" (typically over 200) arranged approximately parallel.

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

"Satellite" (5 9) means a "spacecraft", other than a "space vehicle", designed to operate in orbit around Earth or another celestial body; "satellites" include orbital space stations.

"Satellite navigation system" (5 7) means a system consisting of ground stations, a constellation of "satellites", and receivers, that enables receiver locations to be calculated on the basis of signals received from the "satellites". It includes Global Navigation Satellite Systems (GNSS) and Regional Navigation Satellite Systems (RNSS).

"Scale factor" (gyro or accelerometer) (7) means the ratio of change in output to a change in the input intended to be measured. Scale factor is generally evaluated as the slope of the straight line that can be fitted by the method of least squares to input-output data obtained by varying the input cyclically over the input range.

"Signal analysers" (3) means apparatus capable of measuring and displaying basic properties of the single-frequency components of multi-frequency signals.

"Signal processing" (3 4 5 6) means the processing of externally derived information-bearing signals by algorithms such as time compression, filtering, extraction, selection, correlation, convolution or transformations between domains (e.g., fast Fourier transform or Walsh transform).

"Software" (GSN All) means a collection of one or more "programs" or 'microprograms' fixed in any tangible medium of expression.

N.B.

'Microprogram' means a sequence of elementary instructions, maintained in a special storage, the execution of which is initiated by the introduction of its reference instruction into an instruction register.

"Source code" (or source language) (6 7 9) is a convenient expression of one or more processes which may be turned by a programming system into equipment executable form ("object code" (or object language)).

"Spacecraft" (5 9) means a craft designed to operate in, persist in or transit through space in the form of a "satellite", "space probe", or "space vehicle".

Note:

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

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

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

Technical Note:

"Spacecraft mission equipment" is sometimes referred to as a spacecraft payload.

"Space probe" (9) means a "spacecraft", other than a "satellite" or "space vehicle", designed not to return to Earth.

"Space vehicle" (9) means a "spacecraft" designed to provide transport for cargo or passengers.

Note:

"Space vehicles" include craft designed to safely return to Earth.

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

N.B.

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

"Special fissile material" (0) means plutonium-239, uranium-233, "uranium enriched in the isotopes 235 or 233", and any material containing the foregoing.

"Specific modulus" (0 1 9) is Young's modulus in pascals, equivalent to N/m² divided by specific weight in N/m³, measured at a temperature of (296 ± 2) K ((23 ± 2) °C) and a relative humidity of (50 ± 5) %.

"Specific tensile strength" (0 1 9) is ultimate tensile strength in pascals, equivalent to N/m² divided by specific weight in N/m³, measured at a temperature of (296 ± 2) K ((23 ± 2) °C) and a relative humidity of (50 ± 5) %.

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

"Spread spectrum" (5) means the technique whereby energy in a relatively narrow-band communication channel is spread over a much wider energy spectrum.

"Spread spectrum" radar (6) - see "Radar spread spectrum".

"Stability" (7) means the standard deviation (1 sigma) of the variation of a particular parameter from its calibrated value measured under stable temperature conditions. This can be expressed as a function of time.

"States (not) Party to the Chemical Weapon Convention" (1) are those states for which the Convention on the Prohibition of the Development, Production, Stockpiling and Use of Chemical Weapons has (not) entered into force. (See www.opcw.org)

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

"Strong mechanical bond" (9) means a bond having a bond strength equal to or greater than propellant strength.

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

a. Operate above the stratosphere;

b. Only perform a non-orbital trajectories; and

c. Land back on Earth with the people or cargo intact.

"Substrate" (3) means a sheet of base material with or without an interconnection pattern and on which or within which 'discrete components' or integrated circuits or both can be located.

N.B.1.

'Discrete component': a separately packaged 'circuit element' with its own external connections.

N.B.2.

'Circuit element': a single active or passive functional part of an electronic circuit, such as one diode, one transistor, one resistor, one capacitor, etc.

"Substrate blanks" (3 6) means monolithic compounds with dimensions suitable for the production of optical elements such as mirrors or optical windows.

"Sub-unit of toxin" (1) is a structurally and functionally discrete component of a whole "toxin".

"Superalloys" (2 9) means nickel-, cobalt- or iron-base alloys having a stress rupture life greater than 1 000 hours at 400 MPa and an ultimate tensile strength greater than 850 MPa, at 922 K (649 °C) or higher.

"Superconductive" (1 3 5 6 8) means materials, i.e., metals, alloys or compounds, which can lose all electrical resistance, i.e., which can attain infinite electrical conductivity and carry very large electrical currents without Joule heating.

N.B.

The "superconductive" state of a material is individually characterised by a "critical temperature", a critical magnetic field, which is a function of temperature, and a critical current density which is, however, a function of both magnetic field and temperature.

"Super High Power Laser" ("SHPL") (6) means a "laser" capable of delivering (the total or any portion of) the output energy exceeding 1 kJ within 50 ms or having an average or CW power exceeding 20 kW.

"Superplastic forming" (1 2) means a deformation process using heat for metals that are normally characterised by low values of elongation (less than 20 %) at the breaking point as determined at room temperature by conventional tensile strength testing, in order to achieve elongations during processing which are at least 2 times those values.

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

N.B.

'Strand' is a bundle of "monofilaments" (typically over 200) arranged approximately parallel.

"Technology" (GTN NTN All) means specific information necessary for the "development", "production" or "use" of goods. This information takes the form of 'technical data' or 'technical assistance'.

N.B.1.

'Technical assistance' may take forms such as instructions, skills, training, working knowledge and consulting services and may involve the transfer of 'technical data'.

N.B.2.

'Technical data' may take forms such as blueprints, plans, diagrams, models, formulae, algorithms, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories.

"Tilting spindle" (2) means a tool-holding spindle which alters, during the machining process, the angular position of its centre line with respect to any other axis.

"Time constant" (6) is the time taken from the application of a light stimulus for the current increment to reach a value of 1-1/e times the final value (i.e., 63 % of the final value).