Fighting Proliferation

APPENDIX E

EMBARGOED UNTIL
6:AM EDT 4/16/87

The United States Government has, after careful consideration and subject to its international treaty obligations, decided that, when considering the transfer of equipment and technology related to missiles whose performance in terms of payload and range exceeds stated parameters, it will act in accordance with the attached Guidelines beginning on April 16, 1987.

1. The purpose of these Guidelines is to limit the risks of nuclear proliferation by controlling transfers that could make a contribution to nuclear weapons delivery systems other than manned aircraft. The Guidelines are not designed to impede national space programs or international cooperation in such programs as long as such programs could not contribute to nuclear weapons delivery systems. These Guidelines, including the attached Annex, form the basis for controlling transfers to any destination beyond the Government’s jurisdiction or control of equipment and technology relevant to missiles whose performance in terms of payload and range exceeds stated parameters. Restraint will be exercised in the consideration of all transfers of items contained within the Annex and all such transfers will be considered on a case-by-case basis. The Government will implement the Guidelines in accordance with national legislation.

2. The Annex consists of two categories of items, which term includes equipment and technology. Category I items, all of which are in Annex Items 1 and 2, are those items of greatest sensitivity. If a Category I item is included in a system, that system will also be considered as Category I, except when the incorporated item cannot be separated, removed or duplicated. Particular restraint will be exercised in the consideration of Category I transfers, and there will be a strong presumption to deny such transfers. Until further notice, the transfer of Category I production facilities will not be authorized. The transfer of other Category I items will be authorized only on rare occasions and where the Government [A] obtains binding government-to-government undertakings embodying the assurances from the recipient government called for in paragraph 5 of these Guidelines and [B] assumes responsibility for taking all steps necessary to ensure that the item is put only to its stated end use. It is understood that the decision to transfer remains the sole and sovereign judgment of the United States Government.

3. In the evaluation of transfer applications for Annex items, the following factors will be taken into account:

   A. Nuclear proliferation concerns;

   B. The capabilities and objectives of the missile and space programs of the recipient state;

   C. The significance of the transfer in terms of the potential development of nuclear weapons delivery systems other than manned aircraft;

   D. The assessment of the end use of the transfers, including the relevant assurances of the recipient states referred to in subparagraphs 5.A and 5.B below;

   E. The applicability of relevant multilateral agreements.

4. The transfer of design and production technology directly associated with any items in the Annex will be subject to as great a degree of scrutiny and control as will the equipment itself, to the extent permitted by national legislation.

5. Where the transfer could contribute to a nuclear weapons delivery system, the Government will authorize transfers of items in the Annex only on receipt of appropriate assurances from the government of the recipient state that:

   A. The items will be used only for the purpose stated and that such use will not be modified nor the items modified or replicated without the prior consent of the United States Government;

   B. Neither the items nor replicas nor derivatives thereof will be retransferred without the consent of the United States Government.

6. In furtherance of the effective operation of the Guidelines, the United States Government will, as necessary and appropriate, exchange relevant information with other governments applying the same Guidelines.

7. The adherence of all States to these Guidelines in the interest of international peace and security would be welcome.

[Only the full text of the Annex is authoritative, and it should be consulted for precise details.]

Category I

-- Complete rocket systems [including ballistic missile systems, space launch vehicles, and sounding rockets] and unmanned air vehicle systems [including cruise missile systems, target drones, and reconnaissance drones] capable of delivering at least a 500 kg payload to a range of at least 300 km as well as the specially designed production facilities for these systems.

-- Complete subsystems usable in the systems in Item 1, as follows, as well as the specially designed production facilities and production equipment therefor:

-- Individual rocket stages;

    -- Reentry vehicles;

    -- Solid or liquid fuel rocket engines;

    -- Guidance sets;

    -- Thrust vector controls;

    -- Warhead safing, arming, fuzing, and firing mechanisms.

Category II

-- Propulsion components.

-- Propellants and constituents.

-- Propellant production technology and equipment.

-- Missile structural composites: production technology and equipment.

-- Pyrolytic deposition/densification technology and equipment.

-- Structural materials.

-- Flight instruments, inertial navigation equipment, software, and production equipment.

-- Flight control systems.

-- Avionics equipment.

-- Launch/ground support equipment and facilities.

-- Missile computers.

-- Analog-to-digital converters.

-- Test facilities and equipment.

-- Software and related analog or hybrid computers.

-- Reduced observables technology, materials, and devices.

-- Nuclear effects protection.