You are on page 1of 64

KEY Changes to the text and new text added are printed in italics.

References to page numbers apply to September 1991 edition of SEC Booklet.

Unchanged text is reproduced only where required for clarit~

© Crown Copyright 1993 Not to be reproduced or transmitted in any form including photocopying, recording or use on any information storage and retrieval system.

Introduction

This

Export Control"

For clarity,

is an addendum to update the September 1991 edition of the "Security

(SEC) booklet and it

changes to

the

should not be used on its

own.

text and new text added are printed in italics.

This supplement and the SEC booklet have no force in United KinSdom law,

Legal prohibitions on the exports of SQQds are contained in the ExpQrt Qf

GQQds (CQntrQ1) Order 1992 (EGCO)

the sanctions reso1utiQns of the United Nations Security CQuncil, The EGCO, with amendments, and sanctions legislation is available from HMSO bookshops.

as amended. and the legislation implement inS

This booklet is published to give exporters some guidance as to how some applications for export licences under theEGCO for items on the COCOM lists contained in the SEC booklet (as updated herein) to 'COCOM proscribed destinations' may be dealt with.

THE REVISED COCOM INTERNATIONAL LISTS

This addendum summarizes the

Industrial, Munitions and Atomic Energy Lists in COCOM since September 1991.

chan~es agreed to the new International

The Lists published in the 1991 SEC booklet together with this update cover goods which COCOM has agreed should be embargoed and define COCOM conditions under which certain embargoed goods may be considered for licensing for export to the 'COCOM proscribed destinations'.

THE LEGAL POSITION FOR GOODS TO BE EXPORTED FROM THE UK

ExPQrters shQu1d nQte that the 1992 EGCO includes contrQ1s Qn many gQQds in additiQn tQ those cQntained in the COCOM list, It also contains contrQ1s on expQrts to all destinations and controls derived from other international cQmmitments and national concerns, relating primarily tQ the prQtection Qf public security and the prevention of the pro1iferatiQn Qf weapons Qf mass destructiQn, The COCOM lists are reproduced in the SEC booklet and this addendum indicate their COCOM embargo status only: nothing in these lists should be treated as a guide to the EGCO or how a licence application under the EGCO will be dealt with by the Department of Trade and Industry,

Goods which have been decontrolled by COCOM as

COCOM lists

are controlled by the EGCO 1992.

indicated in this update

to the

will continue

to

require United Kingdom export licences

if they

Although the SEC booklet and this addendum are published primarily as a guide for exporters to the COCOM proscribed countries; goods embargoed in these Lists also require a United Kingdom export licence for all Qther destinations. Such goods ~ qualify under one of the Open General Export Licences (OGELs) for certain non-sensitive destinations.

It is impQrtant fQr exporters tQ note that it is their respQnsibi1ity tQ satisfy themse1yes as tQ whether Qr nQt a particu1Al: expQrt req.uires an expQrt licence. Exporters who are in doubt as to the new ~OCOM control status of goods may apply to the Sensitive Technologies Unit, Export Control Organisation for a new 'rating', with full supporting documentation. If known, the intended destination should be stated.

V,2.

WHAT IS

See definition under the same heading in the September 1991 issue of Security

Export Control

COCOH ?

(SEC) booklet.

WHICH ARE THE COCOH PROSCRIBED DESTINATIONS

Afghanistan, Albania, Armenia, Azerbaijan, Belorussia, Bulgaria, People's Republic of China, Czech Republic, Estonia, Georgia, Kazakhstan, Kyrgyzstan, Latvia, Lithuania, Moldavia, Mongolia, North Korea, Poland, Romania, Russian Federation, RepUblic of Slovakia, Tajikistan, Turkmenistan, Ukraine, Uzbekistan, and

Vietnam.

WHY DOES THE PEOPLE's

REPUBLIC OF CHINA RECEIVE DIFFERENT TREATMENT ?

COCOM agreed in 1985

of strategic goods to the People's Republic of China.

to maintain a differential

in the application of controls

WHY DO POLAND,

and referred to in the List and this publication as The Czech & Slovak Federal Republic) RECEIVE DIFFERENT TREATMENT ?

THE CZECH REPUBLIC AND THE REPUBLIC OF SLOVAKIA (formerly known

COCOM agreed in 1990 to maintain a differential in the application of controls

on exports to Poland

partners are according favourable consideration to exports to those Eastern European countries in transition to a democratic system. For a defined range of goods export licences can be granted at National Discretion for exports to these destinations (Hungary was removed from the proscribed country list with effect from 1 May 1992 which means that export licence applications are no longer subject to COCOM procedures but are treated in the same way as for any other non-sensitive destination).

and the

then Czech & Slovak Federal Republic.

COCOM

ESTONIA,

LATVlA AND LITHUANIA

In recognition of their changing political status, COCOM agreed in 1992 to introduce a differential in the application of controls on exports to Estonia, Latvia and Lithuania. Export licences for certain Telecommunication equipment covered by Category 5 can be granted at National Discretion. The Export Control Organisation of DTI should be consulted for the latest information.

HOW CAN YOU INFLUENCE CHANGES TO THE CONTROLS

?

See guidance notes under the same heading in 1991 SEC booklet.

DO YOU NEED A LICENCE UNDER THE EGCO ?

The inclusion of goods in these lists means that you need a licence under the EGCO to export them to any destination. HOwever, it is not an exclusive list of goods which need licences. The 1992 EGCO includes controls on additional goods to those contained in the COCOM list (see page 1).

-

2

-

DO YOU NEED A LICENCE UNDER THE EGCO ?

(cont

)

If you are uncertain whether you require a licence for your proposed export

you should contact the Department's Export Control Organisation,

Technologies Unit

If a

supporting documentation;

exported and complete technical specifications.

a computer or digital processing element may require a completed computer

questionnaire.

covered in Category 5:

assess your goods against the Export of Goods (Control) Order and provide a formal statement on their licensing status.

Sensitive

(STU)

(Telephone Enquiries and address:

see back cover).

technical rating assessment is necessary you must provide full

There is

including a precise description of the goods to be

Certain goods which contain

also a questionnaire for the assessement of goods

Technical Officers will then

Telecommunications.

When deciding whether an export licence is required exporters should refer to the Export of Goods (Control) Order 1992 and its amendments. Exporters should also bear in mind the provisions of Schedule 1, Part 11 to the EGCO 1992 and any subsequent controls directed at restricting the proliferation of weapons of mass destruction. Pursuant to these non-proliferation controls, if you intend to export any goods which are capable of being used for chemical, biological or nuclear weapons, or missiles capable of delivering those weapons, you should make reasonable enquiries as to the proposed use of the goods and satisfy yourself that they will not be so used. (The DTI booklet entitled 'Non-proliferation Controls'

is available for guidance.)

IF YOU NEED A LICENCE

See advice under the same heading in Security Export Control booklet September 1991.

WHERE DO YOU APPLY?

See advice under the same heading in Security Export Control booklet September 1991.

EXPORTS TO COCOH PROSCRIBED DESTINATIONS

It is the general policy of Her Majesty's Government to consult its COCOM

partners before deciding whether to issue a licence for the export of controlled goods to a COCOM proscribed country. However, for administrative reasons, licences for some controlled goods may be issued at 'National

Discretion'. Other goods may qualify for export under COCOM's 'Favourable Consideration' procedure. This booklet should not be treated as a policy statement that these procedures will be followed for any particular export licence application, or particular items in the COCOM lists.

To make this update more "user friendly",

the List are printed in italics. and the applicable conditions.

all new text as well as changes to

1:he qualifying countries

Each Note lists

-

3

-

THE TREATMENT OF TECHNOLOGY

Section E of each Category in the new Industrial List describes that technology which is controlled. This should be read in conjunction with the General Technology Note (to the Industrial List) and this appears in front of the Industrial List.

Note that there are separate and different General Technology Notes of the Munitions List and the Atomic Energy List.

in front

Wi th some exception, Controls do

the minimum necessary for the installation,

and repair of products whose export has been authorised.

not apply to that technology which is

operation,

maintenance

(checking)

THE TREATMENT OF SOFTWARE

Advice given under the same heading in 1991 SEC booklet applies.

EXPORT FOR EXHIBITIONS etc

Advice given under the same heading in 1991 SEC booklet applies.

UNITED STATES RE-EXPORT CONTROLS

For guidance notes on re-export of goods of US origin refer to 1991 SEC booklet.

New US addresses

for enquiries are:

Office of Export Administration, US Department of Commerce, Room 0705 14th Street Pennsylvania Ave NW Washington DC 20230.

Questions relating to general U.S. defense trade policy, or to specific U.S. policy positions of defense trade issues, may be addressed to:

PM/DTP,

Office of Defense Trade Controls

Bureau of Politico-Military Affairs

U.S.

Washington DC,

Room 7815

Department of State

20520-7815

There are additional US licensing requirements for defence equipment of US origin and these are administered by:

PM/DTC,

Office of Defense Trade Controls Bureau of Politico-Military Affairs

U.S.

Washington DC,

SA-6,

Room 200

Department of State

20522-0602

-

4

-

Enquiries can also be made at the US Embassy in London. UK exporters seeking guidance on licensable items or restricted countries under US regulations should contact the Commercial Section, US Embassy, 24 Grosvenor Square, London WlA lEA (te1 071-499 9000 ext 2425 or 071-408 8025 direct).

British companies requiring general advice on US re-export controls or experiencing difficulties with US regulations should contact the DTI, OT2/1B, Bay 759, 66-74 Victoria Street, London SW1E 6SW (te1 071-215 4611).

Department of Trade and Industry Export Control Organisation 15 January 1993

Contents:

Introduction

Page:

1

New International Industrial List (EGCO Group 3)

Category 1 Advanced Materials

7

Category 2 Materials Processing

8

Category 3 Electronics

10

Category 4

Computers

11

Category 5 Telecommunications and

13

"Information Security"

26

Category 6 Sensors and "Lasers"

27

-

5

-

Contents (continued):

Category 7 Navigation and Avionics

Category 8

Marine

Category 9 Propulsion

Page:

30

31

32

International Mumtions List • (EGCO Group 1)

MLl to ML6

33

ML7

37

ML8

40

ML9 and ML10

45

ML11 to ML26

48

International Atomic Energy List • (EGCO Group 2)

A. Nuclear materials

Al

to Al4

54

B. Nuclear facilities

B1

to B6

56

C. Nuclear-related equipment

Cl

to

C6

60

Bulk copies of this updating addendum at £5.00 per copy may be obtained from

the Enquiry Unit,

Cheques should be made payable to

Export Control Organisation (see back cover).

'Department of Trade and Industry'.

-

6

-

International Industrial List Category 1: Advanced Materials

Insert New Note at the end of 1.A.2.:

(page 5 - right side column)

NJZrZ.:

1. A. 2. does not embargo composi te structures or laminates made from epoxy resin impregnated carbon "fibrous or filamentary materials" for the repair of aircraft structures or laminates, provided the size does not exceed 1 m 2

Errata: In 1.C.2.a. Technical Notes

(page 7)

replace:

with:

"The average stress

is defined as

"The average stress ratio is

"

defined as

"

Insert New Note at the end of 1.C.10.b.:

(page 9

NQXE.:

-

left side)

1.C.l0.b.

does not embargo fabric made from

"fibrous or filamentary materials"

for the

repair of aircraft structures or laminates, in which the size of individual sheets does not exceed 500 mm x 900 mm.

Insert New Note at the end of 1.C.10.e. and before the Technical Notes:

(page 9 - right side)

NJZrZ.:

1. C.10. e. does not

embargo epoxy resin matrix

impregnated carbon "fibrous or filamentary materials" (prepregs) for the repair of aircraft structures or laminates, in which the size of individual sheets of prepreg does not exceed 500 mm x 900 mm.

Insert New Note at the end of 1.E.2.f.:

(page 10

NQXE.:

-

left side)

1.E.2.f. does not embargo technology for the repair of "civil aircraft" structures using carbon "fibrous or filamentary materials" and epoxy resins, contained in aircraft

manufacturers' manuals.

Add at the end of Category 1 a new National DiscretioIl Note as

follows:

1.

NJZrZ.:

Licences may be granted at National Discretion

export to the Czech and Slovak Federal RepUblic and

Poland of everything embargoed by this Category,

exceo t :

for the

-

7

-

a.

"Composite" structures or laminates embargoed by

1.A.2.a., when specially designed for stealth or space

applications,

Filament winding machines embargoed by 1.B.1.a.;

Tape-laying machines embargoed by 1.B.1.b.;

or by 1.A.2.b.;

b.

c.

d. "Fibrous or filamentary materials" embargoed by

1.C.l0.a.,

1.C.10.c.,

1.C.10.d.

or 1.C.10.e.;

e. "Software"

"required"

b.,

a.,

c.

specially designed and technology for the equipment or materials described in

abov~, embargoed by 1.D or 1.E.

or d.

Category 2: Materials Processing

This ammendment to Category 2 includes updates entered into force at 7th November 1992.

Amend 2.B.

Notes 1

2.B.1.c.1 NOTES;

1.

(on page 12)

as follows:

c. A maximum workpiece capacity of 150 mm outside diameter or length;

Insert new Technical Note after Sub-item 2.B.1.c.

as follows:

2.B.l.c.

Technical Note:

Machines capable of being simUltaneously coordinated

for contouring control,

or one or more tilting spindles, remain embargoed regardless of the number of simUltaneously coordinated contouring axes that can be controlled

by the "numerical control" unit attached to the machine.

in two or more rotary axes

Amend Sub-item 2.B.9.

as follows:

2.B.9.

Specially designed printed circuit boards with mounted components

and 11 software 11 there for , or "compound rotary

tables 11 or "til ting

spindles",

capable of upgrading,

according to

the manufacturer's

"numerical control" units,

feed-back devices to or above the levels specified in 2.B.

specifications,

machine tools or

Add new Note to

Sub-item 2.D.2.b.

as follows:

2.D.2.b. NOTE: 2.B.1.

and 2.D.2.

embargo any combination of

electronic devices or systems that collectively contain software enabling such devices or systems to ~unction as a CNC capable of coordinating

simUltaneously more than 4 axes for "contouring control" •

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8

-

Delete the following National Discretion Notes:

Errata:

- 2.B.Notes 5.

(page 13)

- Note 3 to Sub-item 2.B.6.d.

(page 14)

In the

Table - Deposition Techniques

-

Notes 16

(page 18) Replace "carbidenickel-chromium"

with ·carbide/nickel-chromium-

Add the following new Notes at

the end of Category 2.

(page 18):

2.

NOTES:

1. Licences may be granted at National Discretion :tor the export to the Czech and Slovak Federal Republic and Poland o:t everything embargoed by this Category, except:

a. "Numerical control" units, "numerically controlled"

machine tools with a micrometres or better,

designed parts or assemblies there:tor, embargoed by

2.B.1, 2.B.B.

positioning accuracy of 2

and components,

specially

or 2.B.9.;

b. Non-"numerically controlled" machine tools for

generating optical quality surfaces embargoed by

2.B.2.;

c. Equipment specially designed :tor the deposition, processing and in-process control of inorganic

overlays,

embargoed by 2.B.5;

coatings and surface modifications

d. coating technology :tor non-electronic devices embargoed by 2.E.3.d.; e. "Software" specially designed and technology "required" for the equipment described in a., b.

c.

above,

embargoed by 2.D or 2.E.

or

2. Licences may be granted at National Discretion :tor the export to the People's RepUblic of China of machine tools :tor milling embargoed by 2.B.l.c.1. to civil end-users other than nuclear and aerospace, provided they are not embargoed by 2.B.1.c.1.b.l, b.4., b.5. or

b.6.

3. Licences may be granted at National Discretion for the

export of equipment embargoed by 2.B.6.b.1.

end-users not engaged in aerospace or nuclear

activities.

to civil

4. Favourable consideration will be given to licence applications for exports to the Czech and Slovak

Fed~ral RepUblic and Poland o:t non-"numerically controlled" machine tools for generating optical quality surfaces embargoed by Catego.ry 2.B.2., and "software" specially designed and technology

"required"

there for embargoed by 2.D or 2.E.

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9

-

2.

NOTES:

S. Favourable consideration will be given to licence applications for the export of turning machines embargoed by 2.B.l.c.l. provided:

a. They are not intended for use in nuclear related activities; am:t.

b. They have all of the

following characteristics:

1. Only two axes which can be coordinated

simultaneously for Hcontouring

control H ;

2. The positioning accuracy, with all compensations

available, is not less (not better) than 0.002 mm per 300 mm of travel;

3. Geometric alignment of the axes,

parallel or

perpendicUlar to each other, is not less (not better) than 0.001 mm per 300 mm o:l travel; 4. Slide travel in both axes is not longer than 400 mm;

TIR;

am:t.

o:l the

(axial

spindle is more

(worse)

s. HRun out H (Out-o:l-true running) in one revolution of the spindle is more (worse) than 0.0004 mm

displacement)

6. "Camming"

in one revolution than 0.0004 mm TIR.

Category 3: Electronics

At the end of Category 3.

label existing Note as Note 2.

(page 24)

add new Notes 1.

and 3.

and

3. NOTES:

1. Licences may be granted at National Discretion :lor the export to the Czech and Slovak Federal Republic and Poland of everything embargoed by this

Category,

except equipment embargoed by 3.B.l.b.,

3.B.l.c.,

3.B.7.a.

or 3.B.7.b.,

and Hso:ltware"

2.

specially designed and technology "required" there:lor embargoed by 3.D or 3.E.

(Text of existing National Discretion Note for exports to the People's Republic of China)

3. Favourable consideration will be given

to licence

applications :lor exports to the Czech and Slovak

Federal

RepUblic and Poland of equipment embargoed

by 3.B.7.b.

and Hsoftware"

H

specially designed and

technology Hrequired

3.E.

therefor embargoed by 3. D or

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10

-

Category 4: Computers

Renumber existing Note 1 (on page 26)

to Note

3.

Insert new Note 1 as follows:

liQIE.S.:

1. Licences may be granted at National "Discretion for the export to the Czech and Slovak Federal Republic and Poland of everything embargoed by this Category, except:

a. Computers embargoed by 4. A. 1. or

4. A. 2 • ;

b. "Digital computers" embargoed by 4.A.3.c.

having a

"composite theoretical

performance"

(CTP)

exceeding

41 million theoretical operations per second

(Mtops),

and specially designed components therefor;

c. Computers embargoed by 4. A. 4., and specially

designed related equipment, "assemblies" and components therefor; d. "Software" specially designed and technology

"required"

c.

above,

for the equipment described in a., embargoed by 4.D or 4.E.

Renumber and amend existing Note 4

(on page 27)

liQIE.S.:

2. Licences may be granted at National

to Note 2 as follows:

.

b.

or

a.

b. They are exported as complete systems or enhancements to previously exported systems up to the limits in Note 2.d.;

c.

d.

e.

f.

Renumber and amend existing Note 1

(on page 26)

HQIE£:

3. Licences may be granted at National

a.

to Note 3 as follows:

.

e. When exported as enhancements, the enhanced "digital computer" does not exceed the limit in Note 3. c. ;

f.

Renumber existing Note 2 (on pages 26 and 27)

NQIE.S.:

4.

(See text of old Note 2)

-

11

-

to Note 4.

Add new Note

5

as

follows:

1iQ.IE.S.: s. Favourable consideration will be given

to licence

applications for exports to the Czech and Slovak Federal Republic and Poland of:

a. "Hybrid computers" embargoed by 4.A.2.

when not

combined with specially designed software

modelling simulation or design integration

complete rocket systems and unmanned air vehicle systems;

for

for

and specially "assemblies" and

components therefor; c. "So:ttware" specially designed and technology "required" :tor the. equipment described in a. embargoed by 4.D·or 4.E.

b. Computers embargoed by 4.A.4,

designed related equipment,

or b.

Renumber and amend existing Note 3 (on page 27)

to Note 6 as follows:

1iQ.IE.S.: 6. Licence applications for the following will receive favourable

consideration:

"digital computers" or

.

e.

When exported as enhancements,

does not exceed the limit in Note 5. c. ;

the enhanced "digital computer"

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12

-

Category 5: Telecommunications and "Information Security"

Part 1 • Telecommunications

Amend Sub-items as

follows:

5.

A.

1.

b.

3.

Being equipment containing:

 

a. Modems using the

"bandwidth of one voice channel" with a

"data signalling rate" exceeding 9,600 bit/s;

5.A.1.b.3.a. does not embargo dedicated stand-alone facsimile equipment with a "data signalling rate" not exceeding 14,400 bit/s not embargoed by 5.A.2., 5.B.2., 5.C.2., 5.D.2. or 5.E.2.

("Information Security").

In addition,

the embedded modem in such equipment must be of the single chip type and it must not

be feasible

to remove the modem from the

dedicated stand-alone equipment.

b. "Communication channel controllers" with a digital output

having a "data signalling rate" exceeding 64,000 bit/s per channel; 21.:

c. "Network access controllers"

and their related common

medium having a "digital transfer rate" exceeding 33 Mbit/s;

EQI£:

If any unembargoed equipment contains a "network access controller", it cannot have any type of telecommunications interface except those described in,

but not embargoed by,

S.A.l.b.3.

5.

A.

1.

b.

6.

Being radio equipment:

 

a.

Employing quadrature-amplitude-modulation

(QAM)

techniques

above level 4 if the "total digital transfer rate" exceeds 8.5 Mbit/s;

b. Employing quadrature-amplitude-modulation

(QAM)

techniques above level 16 if the "total digital

transfer rate" is equal to or less than 8.5 Mbit/s; QZ:

c. Employing other digital modulation techniques and having a "spectral efficiency" exceeding 3 bit/sec/Rz;

EQI£:

5.A.l.b.6.c.

does not embargo equipment specially

designed to be integrated and operated in any

satellite system for civil use.

5.

B.

1.a.

Equipment, and specially designed components and

 

accessories therefor,

1.

Development of

.

specially designed for:

5.B.l.a.

does not embargo optical :fibres and

"optical

fibre preform" characterization

equipment not using semiconductor "lasers".

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13

-

Add new Notes 2, 18, 19, 20, 21, 22 and 23 and renumber existing National Discretion Notes to Category 5, Part 1 - Telecommunications as follows:

 

Ex1stin&

New Note

Ex1stin&

New Note

 

Number

Number

 

1

11

9

6

2

12

10

9

3

13

11

7

5

14

12

8

4

1

13

10

 

14

16

 

6

3

15

17

7

4

16

18

8

5

17

15

NOTES

TO

PART 1

- TELECOMMUNICATIONS

 

5.

NQIES.:

 

1.

(Re-number existing Note 4 to Note 1) Licences may be granted at National Discretion for the export to the

Czech and Slovak Federal Republic ("Hungary" deleted) and Poland of equipment or systems embargoed by S.A.l.b, c., d., e. or f., and test equipment, "software" and "use" technology therefor, provided that:

a. The Department of Trade and Industry is

b.

c

reasonably

.

2. Licences may be granted at National Discretion

for the

export to Estonia,

systems embargoed by S.A.1.b,

equipment,

Latvia and Lithuania of equipment or

c,

d.

e.

or f,

and test

"software" and "use" technology therefor,

provided that:

a. The Department of Trade and Industry is satisfied that the equipment or systems:

reasonably

1. Are designed :for and will be used for specific civil

applications; ana

2. Will be operated in the importing country by a civil end-user who has furnished to the supplier a signed statement certifying that the equipment or systems will be used only for the specific end-use;

b. The exporter provides to the Department of Trade and Industry:

1. End-use assurances provided by the importer and backed by his national authorities;

2. Accep'tance of on-site inspection of the equipment or system by the COCOM member country licensee or his designated representative from a non-proscribed country, if requested by t~e Department of Trade and Industry;

3. A full description of the equipment or systems to be provided; ana

4. The installation

site

and intended application; ana

-

14

-

NOTES

TO PART

1

- TELECOMMUNICATIONS

(continued)

c. The

exporter promptly reports

to the Department of Trade

and Industry evidence of:

1. Any violation

of the conditions of this Note; Qr.

2. Any removal

or diversion

of the equipment from

authorised purposes related to the specific export licence.

3.

(Re-number and amend existing Note 6 to Note 3) Licences may be granted at National Discretion for

People's Republic of China of the following communications, measuring or test equipment:

a. Telecommunications transmission equipment embargoed by S.A.1.b.1., S.A.1.b.2. or S.A.l.b.4., provided:

the export to the

1. It is intended for general commercial traffic in a civil

communication system; 2. It is designed for operation at a "digital transfer rate" at the highest multiplex level of 140 Mbit/s or less and at a "total digi tal transfer rate " of 168 Mbit/s or less; N.B.: An additional 2 Mbit/s for operation, maintenance and service communications may be added to the "total digital transfer rate" of 168 Mbit/s.

3.

For equipment embargoed by S.A.l.b.4.,

the

.

4.

(See text of existing Note 7.

Change reference

from "Note 4 to

Category 4,"

to "Note 2 to Category 4,".

5.

(Re-number existing Note 8 to Note S) Licences may be granted at National Discretion for the export to the

People's Republic of China of the following, provided the associated multiplex equipment is designed for operation at a "digital transfer rate" at the highest multiplex level of 140 Mbit/s or less:

a. Digital microwave radio relay equipment embargoed by S.A.l.b.1.

or

S.A.1.b.6.,

for fixed civil installations,

operating at 'fixed

frequencies not exceeding 23.6

GHz,

with a "total digital transfer

rate" not exceeding 168 Mbit/s;

b. Ground communication radio equipment for use with temporarily fixed

services operated by the civilian authorities and designed to be

used at fixed frequencies not exceeding 23.6

GHz;

c. -Radio transmission media simulators/channel estimators embargoed by

S.B.1.b.3.,

designed for

testing equipment described in Note 5 a.

or b.

d. (deleted)

6.

(See

text of existing Note 9)

 

7.

(See text of existing Note 11)

8. (Text of existing Note 12 amended as follows:) Licences may be granted at National Discretion for the export to the People's Republic of China of repair facilities or "software" embargoed by S.B.1.a.3. or S.D.l.a. for repair of "stored programme controlled" communication switching equipment or systems, provided:

-

1S

-

NOTES

TO PART

1

-

TELECOMMUNICATIONS

(continued)

a.

The repair facilities:

 
 

1.

Are specially designed equipment for repair;

 

2. Are to be used to repair embargoed equipment authorised for

export at National Discretion under Note

6

to this Category,

or

equipment free

from embargo;

 

3. Are shipped in reasonable quantities

 

.

9.

(See text of existing Note 10)

 

10.

(Text of existing Note 13 amended as

Licences may be granted at National Discretion for the export to the People's Republic of China of minimum quantities of semiconductor "lasers" designed and intended for use with a civil fibre optic communication system which would be either unembargoed or eligible for

National Discretion treatment under Note

3

to this Category, having

an output wavelength not exceeding 1,370 nm and a CW power output not exceeding 100 mW.

11.

(Text of existing Note 1 amended as follows:)

 

Licences may be granted at National Discretion for the export to

the People's Republic of China,

the Czech and Slovak

Albania, Bulgaria, Federal Republic,

("Hungary"

deleted)

Mongolia,

Poland,

Romania and

Vietnam,

of telecommunications equipment for optical fibres embargoed

by 5.A.l.b.4.a.,

provided the transmission wavelength does not exceed

1370 tun.

 

12.

(Text of existing Note 2 amended as follows:)

 

Licences may be granted at National Discretion for the export to

the People's Republic of China,

the Czech and Slovak

Albania, Bulgaria, Federal Republic,

("Hungary"

deleted)

Mongolia,

Poland,

Romania and

Vietnam,

of cables or fibres and specially designed

components

and accessories

therefor embargoed by S.A.l.e.

provided:

a. Quantities are normal for the envisaged end-use; ADd

b. They are for a specified civil end-use.

 

13.

(Text of existing Note 3 amended as follows:) Licences may be granted at National Discretion for the export to Albania, Bulgaria, the People's Republic of China, the Czech and Slovak Federal Republic, ("Hungary" deleted) Mongolia, Poland, Romania and Vietnam, of optical fibre test equipment embargoed by 5.B.l.a.3. using a transmission wavelength not exceeding 1370 nm.

14.

(See text of existing Note 5 with the following changes:) Licences may be granted at National Discretion for the export of

digital radio equipment or systems embargoed by 5.A.l.b.l. 5.A.l.b.6. provided:

or

a.

The equipment or system is

intended for general

.

b.

c.

No means

are

to be provided for

the transmission of traffic between

points in a single proscribed country other than the Czech and

Slovak Federal Republic

(delete

" Hungary")

or Poland;

-

16

-

HOTES TO PART 1

- TELECOMMUNICATIONS

(continued)

d. The

"digital

transfer rate" at the highest

j. Supervision of systems installation (delete "operation")

and

of maintenance shall be performed by the licensee orthe~ licensee's

designated representative, who shall be from a non-proscribed country, using only personnel from non-proscribed countries, until such time as the Department of Trade and Industry agrees otherwise;

1. Supervision of maintenance includes:

15.

~:

Preventive maintenance at periodic intervals;

Intervention

for major malfunctions.

2. This is not meant to require that only nationals

from

the exporting country should install

the

system.

the licensee shall carry out

.

k. Upon request,

following changes:)

Favourable consideration will be given to licence applications

exports to the Czech and Slovak Federal Republic

and Poland of technology embargoed by this Category,

instrumentation, test equipment, components and specially designed

(See text of the existing Note 17 with the

for

(delete "Hungary")

and of

"software" therefor,

and materials and components embargoed by

Industrial List, for the modification or "production" of telecommunications equipment or systems eligible for National

Discretion treatment under Note 1,

provided:

the

~:

Technology for

treatment under this Note,

Category 4.

general purpose computers is not eligible for

i.e.,

it remains governed by

a.

The characteristics of the telecommunications equipment or systems are limited to those eligible for treatment under Note 1 (old Note 4);

b.

Modification of the telecommunications equipment or systems is not permitted if any aspect of the design would result in exceeding the performance thresholds or features of Note 1 (old Note 4);

c.

Testing of large scale integrated (LSI) circuits or those with higher component densities is limited to go/no go tests;

 
 

Note

15. c.

does not preclude exports of equipment or

technology which would be possible in accordance with the ,provisions of other Catego~ie&.

d.

The specially -designed "software" is. that, necessary to use the transferred technology, instrumentation and test equipment;

e.

All "software" shall be exported in machine executable form only;

f.

"Development"

technology is not included;

 

g.

The contract includes explicit conditions to ensure that:

 

1.

The

"production"

technology or "production" equipment

.

5.

The "production" technologYt "production" equipment and produced equipment or systems will be for civil end-use only and not for reexport to proscribed destinations other than the Czech and

 

Slovak Federal Republic

(delete

"Hungary")

and Poland;

h.

System integration testing will be performed by the supplier or licensor if it requires test tools which would provide the licensee with the capability to recover "source code" or upgrade the system beyond the performance thresholds or features of Note 1 (old Note 4);

-

17

-

NOTES TO PART 1

- TELECOMMUNICATIONS

(continued)

i. End-use reporting of the

installed telecommunication equipment or

systems will be provided in accordance with the provisions of

16.

~:

Note 1

1.

(old Note 4); No export under -this Note

the Favourable Consideration provisions of

.

Favourable consideration will be given to licence applications for export to Albania, Bulgaria, Mongolia, Romania and Vietnam only of radio relay communications equipment, specially designed components and accessories, specially designed test equipment, "software" and technology for the "use" of equipment or materials therefor, embargoed by S.A.1., S.B.1., S.C.l., S.D.1. or S.E.l., provided:

(See text of existing Note 14 for conditions)

17. (See text of the existing Note IS with the following changes:)

Favourable consideration will be given to licence applications

export of optical fibre

or systems embargoed by S.A.I.b.

a. The equipment or system is

the

cables and optical fibre

or S.A.l.e.,

transmission equipment

provided:

intended for general commercial

international traffic

fibre

member country;

in an international civil submarine optical

telecommunication system linking the

importing country with a

b. It is to be installed in a permanent circuit under the supervision

of the member country licensee;

the transmission of traffic between

points in one or more proscribed countries other than the Czech and

Slovak Federal Republic

c. No means

are

to be provided for

(delete "Hungary")

or Poland;

d. The total

length of optical fibre

cable to be installed within the

proscribed country,

excluding cable in territorial

.

k. Supervision of systems installation (delete "operation")

and

of maintenance shall be performed by the licensee or the licensee's

designated representative, who,'sha11 -be

from~·:a non-proscribed

. country.,

using only personnel from non-proscribed countries,

until

such time as

the Department'of Trade and Industry agrees otherwise;

1I

Ih.:

1. supervision of maintenance includes:

Preventive maintenance at periodic intervals;

Intervention

for major malfunctions.

2 .• This is not meant to require that only nationals

1.

from

the exporting country should install

system.

Upon request by the Deparoment of Trade and Industry,

18. (See text of existing Note 16)

-

18

-

.

the

NOTES TO PART 1

- TELECOMMUNICATIONS

(continued)

19. Licences may be granted at National Discretion for the export of fibre optic telecommunication transmission systems or equipment embargoed by 5.A.l.b.l., 5.A.1.b.4.a., fibre optic cables embargoed by 5.A.l.e., or coaxial cable telecommunications transmission systems embargoed by 5.A.1.b.l., and test equipment, specially designed components and accessories, "software" and technology, necessary for the "use" thereof, provided:

a. They are intended for international telecommunications links dedicated to international civil traffic between the following locations:

1. a. From:

Belgium, Denmark,

France,

Germany,

Greece,

Italy,

Luxembourg,

Netherlands,

Norway,

Portugal,

Spain,

Turkey,

United Kingdom;

Austria,

Finland,

Ireland,

SWeden,

switzerland;

Hungary;

Czech and Slovak Federal

RepUblic,

Poland;

Estonia,

b. To:

Latvia or Lithuania;

Albania

Tirana;

 

Armenia

Yerevan;

Azerbaijan

Baku;

Bulgaria

Sophia,

Varna;

Byelorus

Minsk;

Georgia

Tbilissi;

 

Kazakhstan

Alma-Ata;

Kyrgyzstan

Bishkek;

Moldova

Chisinau;

Romania

Bucharest,

Constanza;

Russia

Moscow,

Novorossiisk,

Tajikistan

Rostov-on-Don, st. Petersburg, Volgograd; Dushanbe;

Turkmenistan

Ashgabat;

Ukraine

Kiev,

Odessa,

Sebastopol;

Uzbekistan

Tashkent;

Qr.

2. a. From:

Australia, Canada,

Hong Kong,

Japan,

United states;

New Zealand or South Korea;

b. To:

China

Shanghai,

Guangzhou;

Russia

Khabarovsk,

Nakhodka,

Vladivostok,

Yuzhno-Sakhalinsk;

Vietnam

Hanoi,

Ho Chi

Minh City.

No traffic shall be carried between points in

~:

proscribed countries,

Slovak Federal RepUblic, Lithuania and Poland.

except in the Czech and

Estonia,

Latvia,

-

19

-

NOTES

TO PART

1

-

TELECOMMUNICATIONS

(continued)

19.b.No portion of tbe system is installed in the region:

East of 38

West of 130 0

North of 45 0

Except in the region:

South of 50 0 latitude

West of 58° longitude East; and Southwest of the great circle arc connecting

50 0 North/SO O East and

longitude East; longitude East; and. latitude North;

0

North;

45° North/Sa o East;

c. They are designed to operate at a "digital transfer rate" at the highest mUltiplex level of 623 Mbit/s or less;

d. The "laser" 1,590 nm;

e. The equipment,

transmission wavelength does not exceed

if employing synchronous transmission

techniques, shall conform to one of the approved

or "Synchronous

Digital Hierarchy" (SDH) standards or recommendations

"Synchronous Optical Network"

(SONET)

(i.e.,

ANSI or CCI'l'T);

f. Supervision of systems installation and of maintenance of embargoed transmission equipment shall be performed

by the licensee or the licensee's designated representative, who shall be from a non-proscribed country. Any portion of the installation of controlled transmission equipment which would require the transfer of embargoed technology shall be performed by the licensee or the licensee's designated representative using only personnel from non-proscribed countries; lLlL 1. Supervision of maintenance includes:

:

Preventive maintenance at periodic intervals;

Intervention

for major malfunctions.

2. This is not meant to require that only nationals

from

the exporting country should install

the

system.

g. Embargoed test equipment and embargoed spare parts shall remain under the supervision of the COCOM member country licensee;

lLlL

The

supervision of the test equipment and spare

parts by the licensee may be effected by stock inventory procedures and does not require the permanent on-site presence of a representative of the licensee.

h. The COCOM member country licensee or his designated representative who shall be from a non-proscribed country shall have the right of access to all the equipment;·

i. Upon request of the Department of Trade and Industry, the licensee shall carry out an inspection to establish that:

1. The system is being used for the intended civil purpose; and. 2 .' All the equipment exported under the provisions of this Note is being used for the stated end purpose and is still located at the installation sites; After each inspection, the licensee shall report his findings to the Department of Trade and Industry within

one month;

-

20

-

~QTES

TO

PART 1

- TELECOMMUNICATIONS (continued)

j. The licence application shall include a system plan containing equipment quantities and approximate

After final

unless already provided,

the exporter

final

locations for the proposed system.

installation,

shall provide his licensing authorities with the final location of the installed equipment to the greatest

degree of precision available and a map of the cable route. r

lL.lh.: Destinations other than those listed in paragraph a. of this Note may be agreed provided details are submitted to the Department of Trade and Industry,

who shall reach a on its merits.

final

decision on each application

20. Licences may be granted at National Discretion for the export of fibre optic telecommunication transmission systems or equipment embargoed by 5.A.1.b.1. or 5.A.1.b.4.a., digital radio equipment or systems embargoed by 5.A.1.b.1. or 5.A.1.b.6.a., coaxial cable telecommunications transmission equipment or systems embargoed by S.A.l.b.l., or optical fibre cables embargoed by 5.A.l.e. and test equipment, specially designed components and accessories, "software" and technology, necessary for the "use" thereof, provided:

a. They are intended for:

1. Intra-city or inter-city links within Albania, Armenia, Azerbaijan, BUlgaria, Byelorus, Georgia, Kazakhstan, Kyrgyzstan, Moldova, Mongolia, Romania, Russia, Tajikistan, Turkmenistan, Ukraine, Uzbekistan or Vietnam;

lY: Intra-city links provide service within a local

J,L

:

service area which shall not extend beyond a circle with a diameter of 50 km and with the city in the middle. 2. Inter-city links between cities in Albania, Armenia, Azerbaijan, BUlgaria, Byelorus, Georgia, Kazakhstan,

Kyrgyzstan, Moldova, Mongolia, Romania, Russia, Tajikistan, Turkmenistan, Ukraine or UZbekistan;

b. They are designed to operate at a "digital transfer rate" at the highest multiplex level of 156 Mbit/s or less;

c. The

1,590 nm; d. The radio transmission system does not employ Quadrature

"laser"

transmission wavelength does not exceed

(OAM)

AmplitUde Modulation

techniques above level 16;

e. The equipment or systems are designed and intended to be

used for fixed civil applications directly connected to the civilian network;

f. The equipment, if employing synchronous transmission techniques, shall conform to one of the approved "Synchronous Optical Network" (SONE'!') or "Synchronous Digital Hierarchy" (SDH) standards or recommendations

(i . e.,

ANSI or CCI'l"I');

-

21

-

NOTES TO PART 1

- TELECQMMijNlCATIQNS

(continued)

g. supervision of systems installation and of maintenance of embargoed transmission equipment shall be performed by the licensee or the licensee's designated representative, who shall be from a non-proscribed country. Any portion of the installation of controlled transmission equipment which would require the transfer of embargoed technology shall be performed by the licensee or the licensee's designated representative using only personnel from non-proscribed countries;

ll 1. Supervision of maintenance includes:

ll.-:

Preventive maintenance at periodic intervals;

Intervention

for major malfunctions.

2. This is not meant to require that only nationals

from

the exporting country should install

the

system.

h. Embargoed test equipment and embargoed spare parts shall remain under the supervision of the COCOM member country licensee;

lL The supervision of the test equipment and spare

: l!

parts by the licensee may be effected by stock inventory procedures and does not require the permanent on-site presence of a representative of the licensee.

i. The COCOM member country licensee or his designated representative who shall be from a non-proscribed country shall have the right of access to all the equipment;

j. Upon request of the Department of Trade and Industry, the licensee shall carry out an inspection to establish that:

1. The system is being used for the intended civil purpose; i1lJJj 2. All the equipment exported under the provisions of this Note is being used for the stated end purpose and is still located at the installation sites;

After each inspection,

findings

the licensee shall report his

to the Department of Trade and Industry within

one month;

k. The licence application shall include a system plan containing equipment quantities and approximate locations for the proposed system. After final installation, unless already provided, the exporter shall provide his licensing authorities with the final location of the installed equipment to the greatest degree of precision available and a map of the final

cable route.

21. Licences may be granted at National Discretion for the export of systems or equipment embargoed by s. A.l. c _,1. or S.A.l.c.2., or "software" for "common channel signalling" embargoed by S.D.l.a. or 5.D.l.c.3., and test equipment, specially designed components and accessories and technology, necess~ for the "use" thereof, provided:

a. They are intended for

fibre optic,

radio or coaxial

cable international telecommunication links fUlfilling

the provisions of Note 19.a. and b.;

-

22

-

HOlES TO PART 1

- TELECOMMUNICATIONS

(continued)

b. The "common channel signalling" is restricted to associated mode of operation. Signalling channels and all related traffic channels must be carried on the same transmission system. Only international traffic between the locations listed in Note 19.a. is permitted, i.e., calls originating in a proscribed country will not be rerouted to any proscribed destination;

c. No general service of "Integrated Service Digital Network" (ISDN) is provided by the proscribed country gateway switch, except:

1. The ISDN user part

(ISUP)

may be used on the

international signalling link;

2. ISDN service may be provided for specified subscribers

on the proscribed countries gateway switch; d. Supervision of systems installation and of maintenance of embargoed equipment shall be performed by the licensee or the licensee's designated representative, who shall be from a non-proscribed country. Any portion of the installation of controlled equipment or "software" which would require the transfer of embargoed

technology shall be performed by the licensee or the licensee's designated representative using only personnel from non-proscribed countries; ~: 1. Supervision of maintenance includes:

Preventive maintenance at periodic intervals;

Intervention

for major malfunctions.

2. This is not meant to require that only nationals

from

the exporting country should install

the

system. e. Embargoed test equipment and embargoed spare parts shall

remain under the supervision of the COCOM member country licensee; ~The supervision of the test equipment and spare parts by the licensee may be effected by stock inventory procedures and does not require the permanent on-site presence of a representative of the licensee. f. All "common channel signalling" equipment, inclUding spares, is operational in such a form that any removal

from or manipUlation on the end in

country is immediately recognised by the operator* (e.g., through remote maintenance and monitoring procedures);

the proscribed

g. The licensee or operator* takes immediate action to ensure that non-operational equipment is repaired or replaced within a week of the failure;

h. The COCOM member country licensee or his designated representative who shall be from a non-proscribed country shall have the right of access to all the equipment;

i. Proscribed country nationals are not given tools or training allowing them to modify the approved configuration or divert equipment or "software" to non-approved uses;

-

23

-

NOTES TO PART 1

- TELECOMMUNICATIONS

(continued)

j. Upon request of the Department of Trade and Industry, the licensee or operator* shall carry out an inspection to establish that:

1. The system is being used

for

the intended civil

purpose: amI

2. All the equipment exported under the provisions of

this Note is being used for the stated end purpose and is still located at the installation sites; After each inspection, the licensee shall report his findings to the Department of Trade and Industry within one month;

k. The operator* informs the Department of Trade and Industry immerliately of any sign of misuse or diversion of "common channel signalling" hardware or "software" on the other end of the international link, or of any failure of the operator at the other end to allow the

operator* to comply with the terms of the export licence; 1. Contractual agreements between the licensee and the operators on both ends of the link require that the operator at the other end of the international link complies fully with all the conditions stipUlated in the export licence and that, in the event of failure by the latter to comply, the operator* will inform his authorities and the Department of Trade and Industry:

m.

The exporter will provide details to the Department of Trade and Industry at the time of licence application, of the export of systems, equipment or "software" for

"common channel signalling"

intended for new fibre

optic

international telecommunication links;

n.

The exporter will provide details to the Department of Trade and Industry at the time of licence application, of the export under the provisions of this Note of ISDN services for specified SUbscribers, or systems,

equipment or "software" for "common channel signalling" intended for new non-fibre optic international telecommunications links or existing links; o. The exporter will provide a full description to the Department of Trade and Industry at the time of licence application, of the "common channel signalling" configuration, equipment and "software" referred to in paragraph n. of this Note.

"" 1LJJ

These operators shall be from the countries listed in Note 19.a.1.a. or 19.a.2.a.

22. Licences may be granted at National Discretion

for the

export of equipment embargoed by 5.A.1.c.4., 5. or 6.,

"software" embargoed by 5.D.1.c.3. that provides

features described in 5.A.l.c.4.,

5.A.l.c.5.

or

5.A.l.c.6., specially designed components and accessories therefor, and test equipment, "software" and technology necess~ for the. "use" thereof, provided:

a. The equipment or "software" will be used for a specified civil end-use by a civil end-user only;

-

24

-

ROTES

TO

PART 1

-

TELECOMMUNICATIONS

(continued)

b. The equipment or "software" does not perform circuit switching or circuit switching functions; c. Supervision of systems installation and of maintenance of embargoed equipment or "software" shall be performed by ~he licensee or the licensee's designated representative, who shall be from a non-proscribed country. Any portion of the installation of controlled equipment or "software" which would require the transfer of embargoed technology shall be performed by the licensee or the licensee's designated representative using only personnel from non-proscribed countries; ~: 1. supervision of maintenance includes:

Preventive maintenance at periodic intervals;

Intervention

for major malfunctions.

2. This is not meant to require that only nationals

from the exporting country should install

the

system. 3. This does not apply if the equipment or "software" is designed for installation by the user without further substantial support by the supplier. d. The COCOM member country licensee or his designated representative, who shall be from a non-proscribed country, shall have the right of access to all the equipment and may carry out inspections; e. Upon request of the Department of Trade and Industry,

the licensee shall carry out an inspection to establish:

1. The system is being used for

the intended civil

purpose; and

2. All equipment exported under the provisions of this

Note is being used for

still located at the installation site;

the stated end purpose and is

After each inspection the licensee shall report his

findings

to the Department of Trade and Industry within

one month; f. The exporter shall provide the Department of Trade and Industry, at the time of licence application for export under the provisions of this Note, with details of the equipment or "software" locations and the network topology.

23. Licences may be granted at National Discretion for the export, for civil end use, of modems embargoed by 5.A.1.b.3.a. using the "bandwith of one voice channel" with a "data signalling rate" not exceeding 14,400 bits/s and test equipment, specially designed components and accessories, "software" and technology necessary for the "use" therefor.

-

25

-

Part 2 • "Information Security"

The only changes to Part 2 (pages 36 and 37) are to The renumbered and amended Notes are as follows:

the Notes 1,

2,

3,

4

and 5.

Note 1 change:

Existing Note 1 becomes a Note to 5.A.2.

subheading 5.A.2.g.

and moves to a position after

The Note is amended as follows:

NQIE:

5.A.2.

a. "Personalized smart cards" using "cryptography" restricted for use only in equipment or systems excluded from embargo

does not embargo:

under 5.A.2.c.1.

or as described in Notes

to 6.,

under b.

1

to

and 2;

e.

of this Note,

b. Equipment containing "fixed" data compression or coding techniques;

c. Receiving equipment for radio broadcast,

pay television or

similar restricted audience television of the consumer

type,

decryption is limited to the video, functions;

without digital encryption and where digital

audio or management

d. Portable

(personal)

or mobile radiotelephones for civil

use, e.g., radiocommunications systems,

accompanying their users;

for use with commercial civil cellular

containing encryption, when

e. Decryption functions specially designed to allow the execution of copy-protected "software", provided the decryption functions are not user-accessible.

Note 2 change:

The existing Note 2 becomes a Note to 5.D.2.

after subheading 5.D.2.c.

two places)

from "Note 1"

and moves to a position

(in

Also within the Note change reference

to "Note to 5.A.2.".

Note 3 change:

Existing Note 3 is renumbered Note 1.

the heading to destination.

this

new Note

1

as

it

Also "Hungary"

is deleted from

is no longer a proscribed

Note 4 change:

Existing Note 4 renumbered Note 2.

Note 5.change:

Existing Note 5 is renumbered Note 3.

there are changes in reference

"Notes land

Also within this new Note 3

from "Notes 3 and 4"

(in two places)

2".

to

-

26

-

Category 6: Sensors and Lasers

Amend and renumber existing Notes and add new Notes 1, 8, 10, 13, 14,

18,

19.

and 20 at

the end of Category 6 (pages 45

to 47)

as follows:

ACOUSTICS

~:

1. Licences may be granted at National Discretion for the export to the Czech and Slovak Federal Republic and Poland of equipment:

a. Embargoed by 6.A.1.b. or 6.A.l.c., and "software" specially designed and technology."required"

tberefor embargoed by 6.D.

or 6.E.;

b. Eligible for National Discretion treatment under Note 2 below.

2. (Formerly Note ll.a.)

Licences may be granted at National

Discretion for the export to the People's Republic of China of

acoustic systems or equipment for determining the position of

surface vessels or underwater vehicles,

provided:

a. They are not capable of processing responses from more than

8 beacons in the calculation of a point; b. They do not have devices for correcting automatically speed-of-sound propagation errors for calculation of a point;

c. They do not use coherent "signal processing" between two or more beacons and the hydrophone unit carried by the surface vessel or underwater vehicle; And

d. Transducers,

acoustic modules, beacons or hydrophones therefor

are not designed to withstand pressures at depths exceeding 1,000 m.

3. (Formerly Note 1.

OPTICAL SENSORS

- No change

to

text).

4. Licences may be granted at National Discretion for the export in reasonable quantities to the Czech and Slovak Federal Republic

(delete: "Hungary")

and Poland of non-ruggedised equipment

operating in the visible spectrum, embargoed by 6.A.2.c., and containing image intensifier tubes embargoed by 6.A.2.a.2.a.3.a., provided they are to be used for civil certified end-uses by civil end-users.

5. (Formerly Note ll.b.)

Licences may be granted at National

Discretion for the export to the People's Republic of China of

image intensifier tubes

not

specially designed for cameras embargoed by 6.A.3.;

incorporating microchannel-plates,

K

L:

Note

5

does not apply to

tubes

incorporating a gallium

arsenide

(or similar semiconductor) photocathode.

6. (Formerly Note 2.

- No change

to

text)

Licences may be granted at

National Discretion for the export of "multispectral imaging

7. (Formerly Note 3.)

Licences may be granted at National Discretion

for the export of reasonable quantities of non ruggedized image

intensifier tubes embargoed by 6.A.2.a.2.a.3.a. medical use.

for bona fide

-

27

-

.

OPTICAL SENSORS

(continued)

NOTES:

8. Favourable consideration will be given

to licence

 
 

applications for exports to the Czech and Slovak

Federal Republic and Poland,

of everything embargoed

 

by 6.A.2.,

and "software"

specially designed and

technology "required"

there:for embargoed by 6.D.

or

6.E.

 

9.

(Formerly Note 5.

-No text change)

Favourable consideration

.

CAMERAS

10. Licences may be granted at National Discretion :for the

~:

export to

Poland o:f cameras embargoed by 6.A.3.a.l

and "software"

the Czech and Slovak Federal Republic and

or 6.A.3.a.5,

specially designed and technology

"required"

there:for embargoed by 6.D.

or 6.E.

11. (Formerly Note ll.c.)

Licences may be granted at National

Discretion for the export to the People's Republic of China of mechanical framing cameras embargoed by 6.A.3.a.2. designed for civil purposes (i.e., non-nuclear use) with a framing speed of not more than 2 million frames per second.

OPTICS

 

12. (Formerly Note 6.)

Licences may be granted at National

Discretion for the export of the following for installation and use at ground-based bona fide academic or civilian astronomical research sites or in international air- or .

13. Favourable consideration will be given to licence applications :for exports to the Czech and Slovak

Federal Republic and Poland,

o:f everything embargoed

by 6.A.4.,

and "software"

specially designed and

technology "required"

therefor embargoed by 6.D.

or

6.E.

LASERS

~:

14. Licences may be granted at National Discretion :for the export to the Czech and Slovak Federal Republic and Poland of:

"lasers" having all of

a. "Tunable"

pulsed flowing-dye

the

following,

and specially designed components

there:for:

1. An output wavelength less than 800 nm;

2. A "pulse duration" not exceeding 100 ns; ana

3. A peak output power not exceeding 15 MW;

b. C02 or CO/C02 "lasers" having an output wavelength in the range from 9,000 to 11,000 nm and having either:

1. A pulsed output not exceeding 2 J per pulse and a maximum rated average single or multimode output power not exceeding 5 kW; QZ:

-

28

-

LASERS

(continued)

2. A CW maximum rated single or multimode output power not exceeding 10 kW; c. CO "lasers" having a CW maximum rated single or multimode output power not exceeding 10 kW. d. "Software" specially designed and technology "required" for the equipment described in a., b. c. above, embargoed by 6.D. or 6.E.

or

15. (Formerly Notes ll.d.,

e.

and f.

- Change to paragraph letterings

only) Licences may be granted at National Discretion for the export to the People's Republic of China of:

a. "Tunable" pulsed flowing-dye

"lasers" having all of

"

peak output power not exceeding 15 MW; .

b. C02 or CO/C02 "lasers" having an output wavelength in.~h~

range from 9,000

to 11,000 nm and having

.

exceeding 10 kW; c. CO "lasers" having a CW maximum rated single or multimode output power not exceeding 10 kW.

16. (Formerly Note 7.

Amend indent error on page 46 of SEC booklet)

Licences may be granted at National Discretion for the export,

for civil applications,

of "lasers",

as follows:

a. Neodymium-doped (other than glass),

pulse-excited,

;

b. Neodymium-doped (other than glass)

"lasers"

;

c. Carbon dioxide "lasers" embargoed by 6.A.5.a.4.:

1. Being in CW multiple-tranverse mode; and

2. Having a CW output power not exceeding 15 kW.

17. (Formerly Note 8.

MAGNETOMETERS

-

No change to

text).

18. Licences may be granted at National Discretion for the export to the Czech and Slovak Federal Republic and Poland of everything embargoed by 6.A.6., and

"software"

specially designed and technology

"required"

therefor embargoed by 6.D or 6.E.

GRAVIMETERS

19. Licences may be granted at National Discretion for the export to the Czech and Slovak Federal RepUblic and Poland of everything embargoed by by 6.A.7. or 6.B.7., and "software" specially designed and technology

"required"

therefor embargoed by 6.D or 6.E.

20. Licences may be granted at National Discretion for export .to the Czech and Slovak Federal RepUblic and

the

Poland,

radar equipment embargoed

for purposes such as air traffic control,

by

6. A. 8

or

6. B. 8,

and

of

"software"

specially designed and technology

"required"

therefor embargoed by 6.D.

()r 6.E.

21. (Formerly Note 9.

22. (Formerly Note 10.

- No change

to

text).

- No change to text).

-

29

-

Category 7 : Navigation and Avionics

Replace Sub-items 7.A.l., revised text:

7.A.2.

and 7.A.3.

(on page 47) with the following

7.

A.

EQUIPMENT.

ASSEMBLIES

AND COMPONENTS

 

7.

A.

1. Accelerometers designed for use in inertial navigation or guidance systems and having any of the following

 

characteristics,

and specially designed components therefor:

a. A "bias" "stability" of less (better) than 130 micro g with respect to a fixed calibration value over a period of one year;

b. A "scale factor" "stability" of less (better) than 130 ppm with respect to a fixed calibration value over a period of one year;

c. Specified to function at line~ acceleration levels

exceeding 100 g;

7.

A.

2.

Gyros having any of the following characteristics, specially designed components therefor:

and

 

a. A "drift rate"

"stability", when measured in a 1 g

 

environment over a period of three months and with respect

to a fixed calibration value,

of:

1. Less (better) than

0.1 0 per hour when specified

to

function at linear acceleration levels below 10 g; ~

2. Less (better) than

0.5 0 per hour when specified

to

function at linear acceleration levels from 10 to

100 g inclusive;

b. Specified to function at linear acceleration levels above 100 g;

7.

A.

3.

Inertial navigation systems (gimballed and strapdown) and

inertial equipment for attitude,

any of the following characteristics,

components therefor:

a. For "aircraft":

guidance or control having

and specially designed

1. Navigation error (free inertial) of 0.8 nautical mile per hour (50X Circular Error Probable (CEP» or less

(better)

subsequent to normal alignment;

2. Not certified for use on "civil aircraft" by civil aviation authorities of a member country; .Q.t.

3. Specified to function at linear acceleration levels

exceeding 10 g;

b. For land or "spacecraft":

1. Navigation error (free inertial) of 0.8 nautical mile per hour (50% CEP) or less (better) subsequent to normal

alignment; .Qt:

2. Specified to function at line~ acceleration levels exceeding 10 g;

-

30

-

Insert the following new National Discretion and Favourable Consideration Notes at the end of Category 7 (page 49):

7. 1iQIE.S.: 1. Licences may be granted at National Discretion for the export to the Czech and Slovak Federal Republic and Poland of everything embargoed by this Category, except:

a. Inertial navigation systems embargoed by 7. A. 3, and "software" specially designed and technology

Ifrequired"

therefor embargoed by 7. D or 7. E;

b. Technology embargoed by 7.E. and gyros embargoed by 7.A.l.

c. Technology embargoed by 7. E. 4 • a. 4.

for the accelerometers and 7.A.2.;

2. Favourable consideration will be given to licence applications for exports to the Czech and Slovak Federal RepUblic and Poland of:

a. Technology embargoed by 7. E. for the accelerometers

and gyros embargoed by 7.A.l.

and 7.A.2.;

b. Technology embargoed by 7. E. 4 • a. 4.

Category 8: Marine

At the end of Category 8 (page 52) National Discretion Note as Note 2.

add new Notes 1. as follows:

and 3.

and label existing

8. 1iQIE.S.: 1. Licences may be granted at National Discretion

for the

export to the Czech and Slovak Federal RepUblic and Poland of everything embargoed by this Category except:

a. Submersible vehicles embargoed by 8.A.l.a.,

8.A.l.b., 8.A.l.c. or 8.A.l.d.;

b. Submersible systems or equipment embargoed by 8.A.2.a., 8.A.2.b., 8.A.2.c., 8.A.2.i. or 8.A.2.j.;

c. "Software"

specially designed and technology

systems or

equipment described in a. or b. embargoed by 8.D or

8.E.

"required"

for the submersible vehicles,

d. Other technology for submersible vehicles, or equipment embargoed by 8.E.2.

systems

2. Licences may be granted at National Discretion for the export for civil end-uses (e.g., underwater oil, gas or mining operations) of manipulators embargoed by 8.A.2.i.2. having 5 degrees of freedom of movement.

3. Favourable consideration will be given to licence applications for exports to the Czech and Slovak Federal RepUblic and Poland of air independent power

systems embargoed by 8.A.2.j, and "software" specially

designed and technology by 8.D. or a.E.

-

31

"required"

-

there for embargoed

Category 9: Propulsion

At the end of Category 9.

label existing National Discretion Note as Note 2.

(page 55)

add new Notes 1.

and 3.

and amend and

as follows:

9. E:QI.ES.: 1. Licences may be granted at National Discretion for the export to the Czech and Slovak Federal Republic and Poland of everything embargoed by this Category except:

a.

b. Test

nSpacecraft n ,

embargoed by 9.A.4.

space launch vehicles and components

to 9.A.10.;

facilities or equipment embargoed by Category

9.B.1, 9.B.2.,

9.B.3.,

9.B.5.

or 9.B.8;

c. "Software" specially designed and technology "required" :for the equipment described in a. embargoed by 9.D or 9.8.

d. Other technology embargoed by 9.8.3.a,

and

or b.

"software" specially designed therefor embargoed by

9.D.

2. Licences may be granted at National Discretion for the export of marine gas turbine engines embargoed by 9.A.2., for installation in civil marine vessels for civil end-use, provided their specific fuel consumption exceeds 0.23 kgjkWh and their continuous ISO rating is less than 20,000 kW.

3. Favourable consideration will be given to licence applications for exports to the Czech and Slovak Federal RepUblic and Poland of technology embargoed by 9.B.3.a., and ·software n specially designed therefor embargoed by 9.D.

-

32

-

Munitions List

Summary of major changes:

1.

There are

to be no Special Procedures for the export of Military

List items to Hungary,

Czech & Slovak

Republics or Poland.

 

2.

ML13 and ML22 are

to be transferred to ML15.

 

3.

Muskets,

rifles and carbides dated earlier than 1938 are to be

removed from control in ML1.

 

4.

Silencers and other gun accessories are to be added to ML1.

 

S.

Decoying and jamming equipment for bombs, added to MU.

torpedoes etc.

are

to be

6.

More extensive controls are

to be included in MLS on fire

control

and alerting and warning equipment.

 

7.

ML7

is

to have a new list of embargoed CW agents and a definition

for adapted for use in war.

 

8.

Liquid oxidizers are to be added to ML8.

9.

Clarification of the embargo status of military aircraft and

 

aero-engines

in to be included in ML10.

 

10.

ML1S

is

to be redefined to be more explicit about embargoed

 

imaging and counter measures equipment.

 

11.

Libraries containing parametric data bases are to be added to ML11.

12.

No change

to

the General Technology Note

(GTN).

Note:

This

list shows the major changes but is not exhaustive.

 

Amend ML List Items as follows:

ML

1.

Small arms, automatic weapons and accessories, as follows, and

specially designed components therefor:

a. Rifles,

carbines,

revolvers,

pistols, machine pistols and machine

guns,

except:

~. muskets,

rifles and carbines dated earlier than 1938;

2. reproductions of muskets,

rifles and carbines dated earlier than

1890;

3. revolvers,

pistols and machine guns dated earlier than

1890,

and their reproductions;

b. Smooth-bore weapons specially designed for military use;

c. Weapons using case1ess ammunition;

-

33

-

d. Silencers,

special gun-mountings,

clips and flash

b

suppressors for arms embargoed by sub-items a.,

Technical Note:

Smooth-bore weapons specially designed for military

a.