Fighting Proliferation

APPENDIX F

EMBARGOED UNTIL
6:AM EDT 4/16/87

1. Introduction.

    (a) This 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. Category II items are those items in the Annex not designated Category I.

    (b) 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.

2. Definitions. For the purpose of this Annex, the following definitions shall apply:

    (a) The term technology means specific information which is required for the development, production or use of a product. The information may take the form of technical data or technical assistance.

    (b)(1) Development is related to all stages 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

          (2) Production means all production stages such as
               - production engineering
               - manufacture
               - integration
               - assembly (mounting)
               - inspection
               - testing
               - quality assurance

          (3) Use means
              - operation
              - installation (including on-site installation)
              - maintenance (checking)
              - repair
              - overhaul and refurbishing

    (c)(1) Technical data may take forms such as blueprints, plans, diagrams, models, formulae, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories.

         (2) Technical assistance may take forms such as
              - instruction
              - skills
              - training
              - working knowledge
              - consulting services

    (d) Note: This definition of technology does not include technology in the public domain nor basic scientific research.

          (1) In the public domain as it applies to this Annex means technology which has been made available without restrictions upon its further dissemination. (Copyright restrictions do not remove technology from being in the public domain.)

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

    (e) The term production facilities means equipment and specially designed software therefor integrated into facilities for prototype development or for one or more stages of serial production.

    (f) The term production equipment means tooling, templates, jigs, mandrels, moulds, dies, fixtures, alignment mechanisms, test equipment, other machinery and components thereof, limited to those specially designed or modified for prototype development or for one or more stages of serial production.

ITEM 1 - 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.

ITEM 2 - CATEGORY I

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

    (a) Individual rocket stages;

    (b) Reentry vehicles, and specially designed equipment therefor, as follows, except as provided in note (1) below for those designed for non-weapons payloads:

          (1) Heat shields and components thereof fabricated of ceramic or ablative materials;

          (2) Heat sinks and components thereof fabricated of lightweight, high heat capacity materials;

          (3) Electronic equipment specially designed or modified for reentry vehicles;

    (c) Solid or liquid fuel rocket engines, having a total impulse capacity of 2.5 x 10⁵ lb-sec or greater, except as provided in note (1) below for those specially designed or modified for orbital correction of satellites;

    (d) Guidance sets capable of achieving system accuracy (CEP) of 10 km or less at a range of 300 km, except as provided in note (1) below for those designed for missiles with range under 300 km or manned aircraft;

    (e) Thrust vector controls, except as provided in note (1) below for those designed for rocket systems with range under 300 km;

    (f) Warhead safing, arming, fuzing, and firing mechanisms, except as provided in note (1) below for those designed for systems other than those in Item 1.

Notes to Item 2:

(1) The exceptions in (b), (c), (d), (e), and (f) above may be treated as Category II if the subsystem is exported subject to end use statements and quantity limits appropriate for the excepted end use stated above.

(2) CEP (circle of equal probability) is a measure of accuracy; the radius of the circle centered at the target, at a specific range, in which 50 percent of the payloads impact.

ITEM 3 - CATEGORY II

Propulsion components and equipment usable in the systems in Item 1, as follows, as well as the specially designed production facilities therefor:

    (a) Lightweight turbojet and turbofan engines (including turbocompound engines) that are small and fuel efficient;

    (b) Ramjet/Scramjet engines, including devices to regulate combustion, and specially designed production equipment therefor;

    (c) Rocket motor cases and specially designed production equipment therefor;

    (d) Staging mechanisms and specially designed production equipment therefor;

    (e) Liquid fuel control systems and components therefor, specially designed to operate in vibrating environments of more than 12g rms between 20 H_z and 2,000 H_z including:

          (1) Servo valves designed for flow rates of 24 liters per minute or greater at a pressure of 250 bars, and having flow contact surfaces made of 90 percent or more tantalum, titanium or zirconium, either separately or combined, except when such surfaces are made of materials containing more than 97 percent and less than 99.7 percent titanium;

          (2) Pumps (except vacuum pumps), having all flow con- tact surfaces made of 90 percent or more tantalum, titanium or zirconium, either separately or combined, except when such surfaces are made of materials containing more than 97 percent and less than 99.7 percent titanium.

Notes to Item 3:

(1) Item 3(a) engines may be exported as part of a manned aircraft or in quantities appropriate for replacement parts for manned aircraft.

(2) Item 3(e) systems and components may be exported as part of a satellite.

ITEM 4 - CATEGORY II

Propellants and constituent chemicals for propellants as follows:

    (a) Propulsive substances:

          (1) Hydrazine with a concentration of more than 70 percent;

          (2) Unsymmetric dimethylhydrazine (UDMH);

          (3) Spherical ammonium perchlorate with particles of uniform diameter less than 500 microns;

          (4) Spherical aluminum powder with particles of uniform diameter of less than 500 microns and an aluminum content of 97 percent or greater;

          (5) Metal fuels in particle sizes less than 500 microns, whether spherical, atomized, spheroidal, flaked or ground, consisting of 97 percent or more of any of the following: zirconium, titanium, uranium, tungsten, boron, zinc, and alloys of these; magnesium; Misch metal;

          (6) Nitro-amines (cyclotetramethylene-tetranitramine [HMX], cyclotetramethylenetrinitramine (RDX)) when specially formulated as propulsive substances.

    (b) Polymeric substances:

          (1) Carboxy-terminated polybutadiene (CTPB);

          (2) Hydroxy-terminated polybutadiene (HTPB);

    (c) Composite propellants including molded glue propellants and propellants with nitrated bonding and aluminum content in excess of 5 percent.

    (d) Other high energy density fuels such as Boron Slurry, having an energy density of 40 x 10⁶ joules/kg or greater.

ITEM 5 - CATEGORY II

Production technology or production equipment specially designed or modified for production, handling, mixing, curing, casting, pressing, machining and acceptance testing of the liquid or solid propellants and propellant constituents as described in Item 4.

ITEM 6 - CATEGORY II

Equipment, technical data and procedures for the production of structural composites usable in the systems in Item 1 as follows, and specially designed components and accessories and specially designed software therefor:

    (a) Filament winding machines of which the motions for positioning, wrapping and winding fibres are coordinated and programmed in three or more axes, specially designed to fabricate composite structures or laminates from fibrous and filamentary materials; and coordinating and programming controls;

    (b) Tape-laying machines of which the motions for positioning and laying tape and sheets are coordinated and programmed in two or more axes, specially designed for the manufacture of composite airframes and missile structures;

    (c) Interlacing machines, including adapters and modification kits for weaving, interlacing or braiding fibres to fabricate composite structures, except textile machinery which has not been modified for the above end uses;

    (d) Specially designed or adapted equipment for the production of fibrous and filamentary materials as follows:

          (1) Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon, or polycarbosilane) including special provision to strain the fibre during heating;

          (2) Equipment for the vapor deposition of elements or compounds on heated filamentary substrates; and

          (3) Equipment for the wet-spinning of refractory ceramics (such as aluminum oxide);

    (e) Specially designed or adapted equipment for special fibre surface treatment or for producing prepregs and performs. Note: Equipment covered by this subitem includes but is not limited to rollers, tension stretchers, coating equipment, cutting equipment and clicker dies.

    (f) Technical data (including processing conditions) and procedures for the regulation of temperature, pressures or atmosphere in autoclaves when used for the production of composites or partially processed composites.

Note to Item 6: Specially designed or adapted components and accessories for the machines covered by this entry include, but are not limited to, moulds, mandrels, dies, fixtures and tooling for the preform pressing, curing, casting, sintering or bonding of composite structures, laminates and manufactures thereof.

ITEM 7 - CATEGORY II

Pyrolytic deposition and densification equipment and technology as follows:

    (a) Technology for producing pyrolytically derived materials formed on a mold, mandrel or other substrate from precursor gases which decompose in the 1300^oC to 2900^oC temperature range at pressures of 1 mm Hg to 150 mm Hg (including technology for the composition of precursor gases, flow rates, and process control schedules and parameters);

    (b) Specially designed nozzles for the above processes;

    (c) Equipment and process controls, and specially designed software therefor, specially designed for densification and pyrolysis of structural composite rocket nozzles and reentry vehicle nose tips.

ITEM 8 - CATEGORY II

Structural materials usable in the systems in Item 1, as follows:

    (a) Composite structures, laminates, and manufactures thereof, including resin impregnated fibre prepregs and metal coated fibre performs therefor, specially designed for use in the systems in Item 1 and the subsystems in Item 2 made either with an organic matrix or metal matrix utilizing fibrous or filamentary reinforcements having a specific tensile strength greater than 7.62 x 10⁴m (3 x 10⁶ inches) and a specific modulus greater than 3.18 x 10⁶m (1.25 x 10⁸ inches);

    (b) Resaturated pyrolized (i.e., carbon-carbon) materials specially designed for rocket systems;

    (c) Fine grain artificial graphites for rocket nozzles and reentry vehicle nose tips having all of the following characteristics:

          (1) Bulk density of 1.79 or greater (measured at 293K);

          (2) Tensile strain to failure of 0.7 percent or greater (measured at 293K);

          (3) Coefficient of thermal expansion of 2.75 x 10^-6 or less per degree K (in the range of 293K to 1,255K);

    (d) Ceramic composite materials specially designed for use in missile radomes.

ITEM 9 - CATEGORY II

Compasses, gyroscopes, accelerometers and inertial equipment and specially designed software therefor, as follows; and specially designed components therefor usable in the systems in Item 1:

    (a) Integrated flight instrument systems which include gyrostabilizers or automatic pilots and integration software therefor, specially designed or modified for use in the systems in Item 1;

    (b) Gyro-astro compasses and other devices which derive position or orientation by means of automatically tracking celestial bodies;

    (c) Accelerometers with a threshold of 0.005 g or less, or a linearity error within 0.25 percent of full scale output or both, which are designed for use in inertial navigation systems or in guidance systems of all types;

    (d) Gyros with a rated free directional drift rate (rated free precession) of less than 0.5 degree (1 sigma or rms) per hour in a 1 g environment;

    (e) Continuous output accelerometers which utilize servo or force balance techniques and gyros, both specified to function at acceleration levels greater than 100 g;

    (f) Inertial or other equipment using accelerometers described by subitems (c) and (e) above or gyros described by subitems (d) or (e) above, and systems incorporating such equipment, and specially designed integration software therefor;

    (g) Specially designed test, calibration, and alignment equipment for the above;

    (h) Specially designed production equipment for the above, including the following:

          (1) For ring laser gyro equipment, the following equipment used to characterize mirrors, having the threshold accuracy shown or better:

              (i) Rectilinear Scatterometer (10 ppm);

              (ii) Polar Scatterometer (10 ppm);

              (iii) Reflectometer (50 ppm);

              (iv) Profilimeter (5 Angstroms);

          (2) For other inertial equipment:

              (i) Inertial Measurement Unit (IMU Module) Tester;

              (ii) IMU Platform Tester;

              (iii) IMU Stable Element Handling Fixture;

              (iv) IMU Platform Balance Fixture;

              (v) Gyro Tuning Test Station;

              (vi) Gyro Dynamic Balance Station;

              (vii) Gyro Run-In/Motor Test Station;

              (viii) Gyro Evacuation and Fill Station;

              (ix) Centrifuge Fixture for Gyro Bearings;

              (x) Accelerometer Axis Align Station;

              (xi) Accelerometer Test Station.

Note to Item 9: Items (a) through (f) may be exported as part of a manned aircraft or satellite or in quantities appropriate for replacement parts for manned aircraft.

ITEM 10 - CATEGORY II

Flight control systems usable in the systems in Item 1 as follows, as well as the specially designed test, calibration, and alignment equipment therefor:

    (a) Hydraulic, mechanical, electro-optical, or electro-mechanical flight control systems (including fly-by-wire systems) specially designed or modified for the systems in Item 1;

    (b) Attitude control equipment specially designed or modified for the systems in Item 1;

    (c) Design technology for integration of air vehicle fuselage, propulsion system and lifting and control surfaces to optimize aerodynamic performance throughout the flight regime of an unmanned air vehicle;

    (d) Design technology for integration of flight control, guidance, and propulsion data into a flight management system for optimization of rocket system trajectory.

Note to Item 10: Items (a) and (b) may be exported as part of a manned aircraft or satellite or in quantities appropriate for replacement parts for manned aircraft.

ITEM 11 - CATEGORY II

Avionics equipment specially designed or modified for use in unmanned air vehicles or rocket systems and specially designed software and components therefor usable in the systems in Item 1, including but not limited to:

    (a) Radar and laser radar systems, including altimeters;

    (b) Passive sensors for determining bearing to specific electromagnetic sources (direction finding equipment) or terrain characteristics;

    (c) Equipment specially designed for real-time integration, processing, and use of navigation information derived from an external source;

    (d) Electronic assemblies and components specially designed for military use incorporating any of the following:

           (1) Specially designed, integral structural supports;

           (2) Techniques for conductive heat removal;

           (3) Radiation hardening;

           (4) Design for reliable short-term operation at temperatures in excess of 125

    (e) Design technology for protection of avionic and electrical subsystems against electromagnetic pulse (EMP) and electro-magnetic interference (EMI) hazards from external sources, as follows:

           (1) Technology for design of shielding systems;

           (2) Technology for the configuration design of hardened electrical circuits and subsystems;

           (3) Determination of hardening criteria for the above.

Notes to Item 11:

(1) Item 11 equipment may be exported as part of a manned aircraft or satellite or in quantities appropriate for replacement parts for manned aircraft.

(2) Examples of equipment included in this item:
      - Terrain contour mapping equipment;
      - Scene mapping and correlation (both digital and analog) equipment;
      - Doppler navigation radar equipment;
      - Passive interferometer equipment;
      - Imaging sensor equipment (both active and passive).

ITEM 12 - CATEGORY II

Launch and ground support equipment and facilities usable for the systems in Item 1, as follows:

    (a) Apparatus and devices specially designed or modified for the handling, control, activation and launching of the systems in Item 1;

    (b) Military vehicles specially designed or modified for the handling, control, activation and launching of the systems in Item 1;

    (c) Gravity meters (gravimeters), gravity gradiometers, and specially designed components therefor, designed or modified for airborne or marine use, and having a static or operational accuracy of one milligal or better, with a time to steady-state registration of two minutes or less;

    (d) Telemetering and telecontrol equipment suitable for use with unmanned air vehicles or rocket systems;

    (e) Precision tracking systems:

           (1) Tracking systems which use a translator installed on the rocket system or unmanned air vehicle in conjunction with either surface or airborne references or navigation satellite systems to provide real-time measurements of in-flight position and velocity;

           (2) Software systems which process recorded data for postmission precision tracking enabling determination of vehicle position.

ITEM 13 - CATEGORY II

Analog computers, digital computers, or digital differential analyzers specially designed or modified for use in air vehicles or rocket systems and usable in the systems in Item 1, having any of the following characteristics:

    (a) Rated for continuous operation at temperatures from below –45^oC to above 55^oC;

    (b) Designed as ruggedized or radiation-hardened equipment and capable of meeting military specifications for ruggedized or radiation-hardened equipment; or,

    (c ) Modified for military use.

Note to Item 13: Item 13 equipment may be exported as part of a manned aircraft or satellite or in quantities appropriate for replacement parts for manned aircraft.

ITEM 14 - CATEGORY II

Analog-to-digital converters, other than digital voltmeters or counters, usable in the systems in Item 1 and having any of the following characteristics: rated for continuous operation at temperatures from below –45^oC to above 55^oC; designed to meet military specifications for ruggedized equipment, or modified for military use; or designed for radiation resistance, as follows:

    (a) Electrical input type analog-to-digital converters having any of the following characteristics:

           (1) A conversion rate of more than 200,000 complete conversions per second at rated accuracy;

           (2) An accuracy in excess of 1 part in more than 10,000 of full scale over the specified operating temperature range;

           (3) A figure of merit of 1 x 10⁸ or more (derived from the number of complete conversions per second divided by the accuracy).

    (b) Analog-to-digital converter microcircuits having both of the following characteristics:

           (1) A maximum conversion time to maximum resolution of less than 20 microseconds;

           (2) A rated nonlinearity of better than 0.025 percent of full scale over the specified operating temperature range.

ITEM 15 - CATEGORY II

Test facilities and equipment usable for the systems in Item 1, as follows:

    (a) Vibration test equipment using digital control techniques and specially designed ancillary equipment and software therefor capable of imparting forces of 100 kN (22,500 lbs) or greater;

    (b) Supersonic (Mach 1.4 to Mach 5), hypersonic (Mach 5 to Mach 15), and hypervelocity (above Mach 15) wind tunnels, except those specially designed for educational purposes and having a test section size (measured internally) of less than 25 cm (10 inches);

    (c) Test benches with the capacity to handle solid or liquid fuel rockets of more than 20,000 lbs of thrust, and capable of measuring the three thrust components.

Note to Item 15(a): The term “digital control” refers to equipment, the functions of which are, partly or entirely, automatically controlled by stored and digitally coded electrical signals.

ITEM 16 - CATEGORY II

Specially designed software, or specially designed software and related specially designed analog or hybrid (combined analog/digital) computers, for modeling, simulation, or design integration of rocket systems and unmanned air vehicle systems, usable for the systems in Item 1.

ITEM 17 - CATEGORY II

Technology, materials, and devices for reduced observables such as radar reflectivity, optical/infrared signatures and acoustic signatures (i.e., stealth technology), for military application in rocket systems and unmanned air vehicles, and usable for the systems in Item 1, for example:

    (a) Structural materials and coatings specially designed for reduced radar reflectivity;

    (b) Optical coatings, including paints, specially designed or formulated for reduced optical reflection or emissivity, except when specially used for thermal control of satellites.

ITEM 18 - CATEGORY II

Technology and devices specially designed for use in protecting rocket systems and unmanned air vehicles against nuclear effects (e.g., Electromagnetic Pulse (EMP), X rays, combined blast and thermal effects), and usable for the systems in Item 1, for example:

    (a) Hardened microcircuits and detectors specially designed to withstand radiation as follows:

           (1) Neutron dosage of 1 x 10¹² neutrons/cm² (single event);

           (2) Gamma dose rate of 1 x 10⁹ rads/sec;

           (3) Total dose 1500 rads (single event).

    (b) Radomes specially designed to withstand a combined thermal shock greater than 100 cal/cm² accompanied by a peak overpressure of greater than 7 pounds per square inch.

Note to Item 18(a): A microcircuit is defined as a device in which a number of passive and active circuit elements are considered as indivisibly associated on or within a continuous structure to perform the function of a circuit.