ANNEX IIISupplementary provisions
ANNEX III Goods and technology referred to in Articles 3(1), 3(3) and 3(5), 5(2), 8(4), 18(1), 31(1) and 45 INTRODUCTORY NOTES 1. Unless otherwise stated, reference numbers used in the column below entitled ‧Description‧ refer to the descriptions of dual use items and technology set out in Annex I to Regulation (EC) No 428/2009. 2. A reference number in the column below entitled ‧Related item from Annex I to Regulation (EC) No 428/2009‧ means that the characteristics of the item described in the ‧Description‧ column lie outside the parameters set out in the description of the dual use entry referred to. 3. Definitions of terms between ‧single quotation marks‧ are given in a technical note to the relevant item. 4. Definitions of terms between "double quotation marks" can be found in Annex I to Regulation (EC) No 428/2009. GENERAL NOTES 1. 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 is/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 is/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. 2. The goods specified in this Annex include both new and used goods. GENERAL TECHNOLOGY NOTE (GTN) (To be read in conjunction with Section III.B) 1. The sale, supply, transfer or export of "technology" which is "required" for the "use" of goods the sale, supply, transfer or export of which is controlled in Part A (Goods) below, is controlled in accordance with the provisions of Section III.B. 2. The sale, supply, transfer or export of "technology" which is "required" for the "development" or "production" of goods the sale, supply, transfer or export of which is controlled in Part A (Goods) below, is prohibited in accordance with the provisions of Annex II, Section II.B. 3. The "technology""required" for the "use" of goods under control remains under control even when it is applicable to non-controlled goods. 4. Controls do not apply to that "technology" which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which are not controlled or the export of which has been authorised in accordance with Regulation (EC) No 423/2007 or This Regulation. 5. Controls on "technology" transfer do not apply to information "in the public domain", to "basic scientific research" or to the minimum necessary information for patent applications. III.A. GOODS A0. Nuclear Materials, Facilities, and Equipment No Description Related item from Annex I to Regulation (EC) No 428/2009 III.A0.015 ‧Glove Boxes‧, specially designed for radioactive isotopes, radioactive sources or radionuclides. Technical Note: ‧Glove Boxes‧ means equipment providing protection to the user, from hazardous vapour, particles or radiation, from materials inside the equipment being handled or processed by a person outside the equipment, by means of manipulators or gloves integrated into the equipment. 0B006 III.A0.016 Toxic gas monitoring systems designed for continuous operation and detection of Hydrogen Sulphide, and specially designed detectors therefore. 0A001 0B001.c III.A0.017 Helium Leak Detectors. 0A001 0B001.c A1. Materials, chemicals, ‧micro-organisms‧ and ‧toxins‧ No Description Related item from Annex I to Regulation (EC) No 428/2009 III.A1.003 Ring-shaped seals and gaskets, having an inner diameter of 400mm or less, made of any of the following materials: a. Copolymers of vinylidene fluoride having 75 % or more beta crystalline structure without stretching; b. Fluorinated polyimides containing 10 % by weight or more of combined fluorine; c. Fluorinated phosphazene elastomers containing 30 % by weight or more of combined fluorine; d. Polychlorotrifluoroethylene (PCTFE, e.g. Kel-F ®); e. Fluoro-elastomers (e.g., Viton ®, Tecnoflon ®); f. Polytetrafluoroethylene (PTFE). III.A1.004 Personal equipment for detecting radiation of nuclear origin, including personal dosimeters. Note: This item does not cover nuclear detection systems defined in item 1A004.c. 1A004.c III.A1.020 Steel alloys in sheet or plate form, having any of the following characteristics: (a) Steel alloys ‧capable of‧ ultimate tensile strength of 1 200 MPa or more, at 293 K (20 °C); or (b) Nitrogen-stabilised duplex stainless steel. Note: The phrase alloys ‧capable of‧ encompasses alloys before or after heat treatment Technical Note: ‧Nitrogen-stabilised duplex stainless steel‧ has a two-phase microstructure consisting of grains of ferritic and austenitic steel with the addition of nitrogen to stabilise the microstructure. 1C116 1C216 III.A1.021 Carbon-Carbon Composite material. 1A002.b.1 III.A1.022 Nickel alloys in crude or semi-fabricated form, containing 60 % by weight or more nickel. 1C002.c.1.a III.A1.023 Titanium alloys in sheet or plate form ‧capable of‧ an ultimate tensile strength of 900 MPa or more at 293 K (20 °C). Note: The phrase alloys ‧capable of‧ encompasses alloys before or after heat treatment 1C002.b.3 III.A1.024 Propellants and constituent chemicals for propellants as follows: (a) Toluene Diisocyanate (TDI) (b) Methyl Diphenyl Diisocyanate (MDI) (c) Isophorone Diiscocyanate (IPDI) (d) Sodium Perchlorate (e) Xylidine (f) Hydroxy Terminated Polyether (HTPE) (g) Hydroxy Terminated Caprolactone Ether (HTCE) Technical Note: This item refers to pure substance and any mixture containing at least 50 % of one of the chemicals mentioned above. 1C111 III.A1.025 ‧Lubricating materials‧ containing, as their principal ingredients, any of the following: (a) Perfluoroalkylether, (CAS 60164-51-4); (b) Perfluoropolyalkylether, PFPE, (CAS 6991-67-9). ‧Lubricating materials‧ means oils and fluids. 1C006 III.A1.026 Beryllium-Copper or Copper-Beryllium Alloys in plate, sheet, strip or rolled bar form, having a composition comprising Copper as the major element by weight and other elements including less than 2 % by weight Beryllium. 1C002.b A2. Materials Processing No Description Related item from Annex I to Regulation (EC) No 428/2009 III.A2.008 Liquid-liquid contacting equipment (mixer-settlers, pulsed columns, centrifugal contactors); and liquid distributors, vapour distributors or liquid collectors designed for such equipment, where all surfaces that come in direct contact with the chemical(s) being processed are made from the following materials: N.B. SEE ALSO II.A2.014 1. Stainless steel. Note: for stainless steel with more than 25 % nickel and 20 % chromium by weight see entry II.A2.014.a 2B350.e III.A2.009 Industrial equipment and components, other than those specified in 2B350.d, as follows: N.B. SEE ALSO II.A2.015 Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m 2 , and less than 30 m 2 ; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) are made from the following materials: 1. Stainless steel. Note 1: for stainless steel with more than 25 % nickel and 20 % chromium by weight see entry II.A2.015a Note 2: This item does not cover vehicle radiators. Technical Note: The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the heat exchanger. 2B350.d III.A2.010 Multiple-seal, and seal-less pumps, other than those specified in 2B350.i, suitable for corrosive fluids, with manufacturer's specified maximum flow-rate greater than 0,6 m 3 /hour, or vacuum pumps with manufacturer's specified maximum flow-rate greater than5 m 3 /hour [measured under standard temperature (273 K or 0 °C) and pressure (101,3 kPa) conditions]; and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from the following materials: N.B. SEE ALSO II.A2.016 1. Stainless steel; Note: for stainless steel with more than 25 % nickel and 20 % chromium by weight see entry II.A2.016a Technical Note: The materials used for gaskets and seals and other implementation of sealing functions do not determine the status of control of the pump. 2B350.i III.A2.017 Electrical Discharge Machine (EDM) tools for removing or cutting metals, ceramics or "composites", as follows, and specially designed ram, sinker or wire electrodes therefor: (a) Ram or sinker electrode Electrical Discharge Machines; (b) Wire electrode Electrical Discharge Machines. Note: Electrical Discharge Machines are also known as Spark Erosion Machines or Wire Erosion Machines. 2B001.d III.A2.018 Computer controlled or "numerically controlled" co-ordinate measuring machines (CMM), or dimensional inspection machines, having a three dimensional (volumetric) maximum permissible error of indication (MPP E ) at any point in the operating range of the machine (i.e. within the length axes) equal to or less (better) than (3 + L/1 000 ) μm (L is the measured length in mm), tested according to ISO 10360-2 (2001), and measurement probes designed therefor. 2B006.a 2B206.a III.A2.019 Computer controlled or "numerically controlled" Electron Beam Welding Machines, and specially designed components therefor. 2B001.e.1.b III.A2.020 Computer controlled or "numerically controlled" Laser Welding and Laser Cutting Machines, and specially designed components therefor. 2B001.e.1.c III.A2.021 Computer controlled or "numerically controlled" Plasma Cutting Machines, and specially designed components therefor. 2B001.e.1 III.A2.022 Vibration Monitoring Equipment specially designed for rotors or rotating equipment and machinery, capable of measuring any frequency in the range 600-2 000 Hz. 2B116 III.A2.023 Liquid Ring Vacuum Pumps, and specially designed components therefore. 2B231 2B350.i III.A2.024 Rotary Vane Vacuum Pumps, and specially designed components therefore. Note 1: III.A2.024 does not control rotary vane vacuum pumps that are specially designed for specific other equipment. Note 2: The control status of rotary vane vacuum pumps that are specially designed for specific other equipment is determined by the control status of the other equipment 2B231 2B235.i 0B002.f III.A2.025 Air filters, as follows, having one or more physical size dimension exceeding 1 000 mm: (a) High Efficiency Particulate Air (HEPA) filters; (b) Ultra-Low Penetration Air (ULPA) filters. Note: III.A2.025 does not control air filters specially designed for medical equipment. 2B352.d A3. Electronics No Description Related item from Annex I to Regulation (EC) No 428/2009 III.A3.004 Spectrometers and diffractometers, designed for the indicative test or quantitative analysis of the elemental composition of metals or alloys without chemical decomposition of the material. III.A3.005 ‧Frequency Changers‧, Frequency Generators and Variable Speed electrical drives, having all the following characteristics: (a) Multiphase output power of 10 W or greater; (b) Capable of operating at a frequency of 600 Hz or more; and (c) Frequency control better (less) than 0,2 %. Technical Note: ‧Frequency Changers‧ includes frequency converters and frequency inverters. Notes: 1. Item III.A3.005 does not control frequency changers that include communication protocols or interfaces designed for specific industrial machinery (such as machine tools, spinning machines, printed circuit board machines) so that the frequency changers cannot be used for other purposes while meeting the performance characteristics above. 2. Item III.A3.005 does not control frequency changers specially designed for vehicles and which operate with a control sequence that is mutually communicated between the frequency changer and the vehicle control unit. 3A225 0B001.b.13 A6. Sensors and Lasers No Description Related item from Annex I to Regulation (EC) No 428/2009 III.A6.012 ‧Vacuum pressure gauges‧, being electrically powered and having measurement accuracy of 5 % or less (better). ‧Vacuum pressure gauges‧ include Pirani Gauges, Penning Gauges and Capacitance Manometers. 0B001.b III.A6.013 Microscopes and related equipment and detectors, as follows: (a) Scanning Electron Microscopes; (b) Scanning Auger Microscopes; (c) Transmission Electron Microscopes; (d) Atomic Force Microscopes; (e) Scanning Force Microscopes; (f) Equipment and detectors, specially designed for use with the microscopes specified in III.A6.013 a) to e) above, employing any of the following materials analysis techniques: 1. X-ray Photo Spectroscopy (XPS); 2. Energy-dispersive X-ray Spectroscopy (EDX, EDS); or 3. Electron Spectroscopy for Chemical Analysis (ESCA). 6B A7. Navigation and Avionics No Description Related item from Annex I to Regulation (EC) No 428/2009 III.A7.002 Accelerometers containing piezoelectric ceramic transducer element, having a sensitivity of 1 000 mV/g or better (higher) 7A001 A9. Aerospace and Propulsion No Description Related item from Annex I to Regulation (EC) No 428/2009 III.A9.002 ‧Load Cells‧ capable of measuring rocket motor thrust having a capacity exceeding 30 kN. Technical Note: ‧Load Cells‧ means devices and transducers for the measurement of force in both tension and in compression. Note: III.A9.002 does not include equipment, devices or transducers, specially designed for the measurement of the weight of vehicles, e.g. weigh bridges. 9B117 III.A9.003 Electrical power generation gas turbines, components and related equipment as follows: (a) Gas Turbines specially designed for electrical power generation, having an output exceeding 200 MW; (b) Vanes, Stators, Combustion Chambers and Fuel Injection Nozzles, specially designed for electrical power generation gas turbines specified in III.A9.003.a; (c) Equipment specially designed for the "development" and "production" of electrical power generation gas turbines specified in III. A9.003.a. 9A001 9A002 9A003 9B001 9B003 9B004 III.B. TECHNOLOGY No Description Related item from Annex I to Regulation (EC) No 428/2009 III.B.001 ‧Technology‧ required for the use of the items in Part III.A. (Goods) above. Technical Note: The term ‧technology‧ includes software.