International Nonproliferation Export Control Program (INECP) Control Lists and Approaches Nuclear Fuel Cycle and Weapon Development

Natural Uranium Mining and Milling

Highly Enriched Uranium Conversion Uranium Enrichment Uranium Pit Fabrication

High Explosive and Non-nuclear Components

System Development Weapon Graphite or and Testing Heavy Water

Plutonium Reactor Fuel Fabrication Reactor Reprocessing Pit Fabrication Major Ballistic Missile Subsystems

Structural components Airframe, nose cones, nozzles Propulsion Payload Engines, motors, propellants Guidance Nuclear, chem, Accelerometers, gyros, bio, conventional computers, electromechanics

Launch support Test equipment Transporters, radar Rotation, vibration, temperature, thrust Chemical Processing and Weapons Development Biological Processing and Weapons Development Structure of EU Dual Use List The ECCN

• Export Control Classification Number (“ECCN”)

Consist of a set of digits and a letter

e.g. 3A001, 5B992, 1C350

The ECCN used to identify, and classify controlled items

ECCNs Identifies the type of controls associated with the item.

Structure of EU Dual Use List 1A018 The Commodity Category

Category Examples 0 – Nuclear Materials, Facilities and Nuclear reactors, isotope separation equipment Equipment 1 – Special Materials and Related High-strength materials, stealth materials, chemicals Equipment 2 – Material Processing Machine tools, balancing machines 3 – Electronics Microprocessors, frequency changers, mass spectrometers 4 – Computers Supercomputers, radiation-hardened and ruggedized computers 5 – Telecommunications / Ultra-wideband communication equipment, frequency Information Security hopping radios, encryption equipment 6 – Sensors and Lasers Night-vision equipment, specific lasers, underwater acoustic equipment 7 – Navigation and Electronics Inertia equipment, GPS-receivers usable for missiles 8 – Marine Underwater vehicles, diving equipment 9 – Aerospace and Propulsion UAVs, Satellites, specific propulsion equipment Structure of the List The ECCN Product Group

1A018 Category 0 – A special case Structure of the List

Category Examples 0A018 Old Guns, insignificant military items, helmets 0A521 Military items, controlled with dual use scrutiny 0A606 Military Ground Vehicles 0A918 Police, Human rights items ECCN 0A9xx Anti-terrorism

0A980 Horses by sea??? Crime Control Regional Stability Short Supply UN Sanctions Surreptitious Listening

Why are military items on a dual use list? Category 0 Allow Flexibility with regard to less significant military items Category 1 “Special materials and related equipment”

• Composite structures or laminates • Detonators, charges, high explosives • Tritium, Lithium facilities or plants • Maraging steel • Fibrous- and filamentary materials • Metals and alloys • Ceramic materials • X-ray- and ultrasonic test equipment • Magnetic and superconductive materials • Stealth materials • Fluorinated compounds Example pictures • Catalysers from open source • Lubricating materials • Propulsion materials 28 WA, 21 MTCR, • Human-, animal- and plant pathogens, 37 NSG, 5AG, 1CW microorganisms and toxins • Toxic chemicals for CW - production Detonators (EU 1A007.b, 3A232)

• Nuclear Use - Initiation of HE charge of an implosion- type nuclear weapon • Non-WMD Use - Industrial mining and oil well perforation • Control - Electrically-driven explosive EBW detonators detonators - Exploding bridge (EB) - Exploding bridge wire (EBW) - Slapper - Exploding foil initiators (EFI) - Arrangements using single or multiple detonators

Controlled detonators are the safest known types of detonators because they can only be triggered by a very high-current fast-rise pulse

Fibrous or Filamentary Materials (EU 1C010, 1C210, 9C110)

Fibrous and filamentary material is used to • Nuclear Use make composite material, which has extensive commercial use - High-speed rotors of gas centrifuges • Missile Use - Structural Components (i.e. nose cones) • Non-WMD Use - Numerous other uses, including Carbon fiber aerospace and sporting equipment • Control Variety of carbon, - Fiber types meeting physical parameters glass, and aramid such as specific modulus, specific tensile fibers strength, and melting temperature - Resin-impregnated or pitch impregnated fibers, metal or carbon-coated fibers (preforms) or carbon fiber preforms, as follows, …

Determining composition, strength and modulus requires special equipment. Most carbon fiber produced today meets the control specifications in 1C210.

Equipment for the Production of Structural Composites (EU 1B001.a-c, 1B101.a-b, 1B201)

• Nuclear Use • Control - Manufacturing composite rotors for - Multi-axis filament winding machines uranium enrichment gas capable of winding cylindrical rotors centrifuges 75 - 400 mm diameter and >600 mm • Missile Use length - Manufacturing rocket motor cases, - Multi-axis tape-laying machines propellant tanks, pressure vessels, designed for composite airframe and heat shields, re-entry vehicle nose missile structures cones, nozzles - Multi-directional, multi-dimensional weaving and interlacing machines • Non-WMD Use

- Manufacturing storage tanks, Filament winding (right); pipes, bearings; sporting goods Tape laying and weaving such as golf clubs shafts, bicycle (bottom) frames, and baseball bats; aerospace components

Textile machinery not modified for the end-uses stated in the control language is not controlled. Aluminium Alloys (EU 1C002.b.4, 1C202.a)

• Nuclear Use - Enrichment (centrifuge rotors) • Non-WMD Use - Widely used in the aircraft industry • Control - Controlled whenever tensile strength

- ≥ 240 MPa at 473 K (200°C) or Extruded seamless aluminum tubing - ≥ 415 MPa at 298 K (25°C) - Made from powder or particulate material - Of nuclear concern when - capable of … tensile strength of ≥460 MPa at 293 K (20°C) - in the form of tubes or cylindrical solid forms with an outside diameter >75 mm - Most other uses do not require the high tensile strength specified

Aluminum is important because it is one of the few materials suitable for use in UF6 gas centrifuges. Aluminum billets

Precursor Chemicals (EU 1C350)

• Control 1C350 lists 63 specific chemicals • Chemical Weapons Use - Precursors for chemical agents • Non-WMD Use - Wide variety of legitimate commercial uses for these 63 chemicals - Some examples include: - Additives for plastics and elastomers - Crop protection - Water treatment - Personal care products - Gold mining - Production of fluorocarbons and fluoropolymers • Control - Listed chemicals used as precursors for toxic chemical agents and mixtures - Mixture controls - Does not control products identified as consumer goods packaged for retail sale for personal use or packaged for individual use Category 2 “Materials processing” •Machine tools and related software -Dimensional inspection systems and machines •Robots •Coating equipment and related technology •Ovens and crucibles •Iso-static presses 15 WA, 11 MTCR, •Flow and spin forming machines 18 NSG, 5AG •Vibration test equipment •Remote manipulators Example pictures •Vacuum, controlled atmosphere from open source •melting furnaces •Balancing machines •Pressure transducers •Vacuum pumps •Production equipment for B/C agents •Aerosol inhalation chamber Category 2 “Materials processing”

Example pictures from open source Valves

(EU 0B001.b.14, 0B001.c.6, 0B001.d.6, 2A226) 20

• Nuclear Use - Production and handling of UF6 • Non-WMD Use - Chemical, petrochemical, pharmaceuticals, oil and gas, fossil power, cogeneration, pulp and paper, and cryogenic industries • Control Motor-operated gate valve with internal bellows for UF6 - Control on valve opening size, service. bellows seal and material of construction

Metal bellows form a very reliable leak free seal without Chemical valves are covered by the use of O-rings or gaskets. EU 2B350.g and missile-related valves are covered under 7A116 and 9A106.d

Machine tools (EU 2B001, 2B201) • Nuclear Use - Manufacturing nuclear explosive device components, U-enrichment components, molds and crucibles for casting U or Pu • Non-WMD Use - Virtually every type of national industry, e.g., Machining Center aerospace, automotive, general appliance, electronic, power generating, defense A machine tool is a powered mechanical device used to fabricate • Control metal components by the selective - Can be equipped with … “numerical control” removal of metal. - Four types: - Turning machines, milling machines, grinding machines, electrical discharge machines - Two fundamental control parameters: - Overall positioning accuracy of the machine. - Number of axes that can be moved simultaneously for contouring control NC Lathe

Machine tools last a very long time. Resale or diversion to a proliferator is a large concern.

Induction and other Metallurgical Melting and Casting Furnaces (EU 2B226, 2B227)

Nuclear Use Vacuum induction • furnaces (2B226) - Melting, casting, and processing are used to melt and U and Pu parts cast metal using the heat of induction • Non-WMD Use current - Non-nuclear metallurgical research - Production of specialty steels or superalloys for the aerospace industry - Melting and casting reactive metals such as titanium and zirconium - Jewelry-making Arc remelt, electron beam, and plasma - Semiconductor fabrication and furnaces are usually coating used to re-melt metals to achieve high purity, • Control or to combine different - Size, temperature, power alloying materials with a base material to produce an alloy

Pressure Transducers (EU 2B230)

• Nuclear Use - Pressure measurements of UF6 during Pressure transducers measure liquid or gas pressure within a containment volume and gas centrifuge process convert the measurement to an electronic signal • Non-WMD Use - Semiconductor manufacturing - Chemical processing - Vacuum distillation, drying, and filtration - Engineering tests - Basic scientific research Various typical pressure transducers • Control - Capable of measuring absolute pressures at any point in the range 0 to 13 kPa with accuracy of +/- 1% or better than 130 Pa - Pressure sensing elements made of or protected by aluminium, aluminium alloy, nickel or nickel alloy with more than 60 % nickel by weight Absolute pressure transducers have only one gas connection

Chemical Reaction Vessels or Reactors (EU 2B350.a )

• Chemical Use Chemical reaction vessels are key pieces - Synthesizing Chemicals of equipment for chemical synthesis • Non-WMD Use - Chemical, petrochemical, pharmaceuticals, oil and gas, waste water treatment, pulp and paper, paints, agricultural products, detergents • Control - Total internal volume >100 L and < 20,000 L - Corrosion-resistant materials as specified - With or without agitators

Control is based upon size and material of construction

Valves

(2B350.g) 26

• Chemical Use • Control - Synthesis, purification, waste - Nominal sizes > 1.0 cm (3/8") destruction, storage, filling - Casings (valve bodies) or preformed and precursor production casing liners designed for such • Non-WMD Use valves - Chemical, petrochemical, - All wetted surfaces made of pharmaceuticals, oil and gas, corrosion-resistant materials as fossil power, cogeneration, specified pulp and paper, hydraulic fluid controls and cryogenic industries

Valves are used to control and regulate the flow of gases and liquids.

Valves are true dual-use items since they are so widely used for non-WMD purposes Category 3 “Electronics”

•Electronic and electro-optical components •Solid state switches •Signal analysers, signal generators and synthesizers •Semiconductor production equipment •Digitizers and digital recorders •Batteries for missiles •Specific storage capacitors •Superconducting magnets •X-ray generators Example pictures •Frequency changers other than 0B001.j.6 from open source •Switching devices and firing sets •Neutron generators •Mass spectrometers

18 WA, 5 MTCR, 11 NSG Capacitors (EU 3A201.a)

• Nuclear Use - Stores the energy to be discharged by the switching device to the detonator • Non-WMD Use - Engine ignition systems - Radar and lasers - Medical instruments including x-ray equipment and lithotripters - Academic and industrial research applications • Control - High voltage, high capacity, low inductance A capacitor is an electrical device that can store electrical energy and release it when needed

Capacitors are common components of many electronic and electrical systems; however, those meeting the control specifications are much less common

Frequency Changers (EU 0B001.b.13, EU 3A225) • Nuclear Use - Driving high-speed gas centrifuge motors • Non-WMD Use - Testing electrical equipment - Testing aircraft guidance and navigation equipment • Control - Multiphase output >40W - Frequency range 600-2000 Hz - Frequency control better than 0.1% Frequency generators are electronic - Total Harmonic Distortion <10% instruments that accept commercial electrical input at 50 or 60 Hz and provide output at a different frequency (variable or Also known as converters, inverters, fixed) variable frequency drives, adjustable frequency drives, AC power sources, or AC power supplies.

What makes controlled frequency generators special is their high frequency range (>600 Hz is very unusual), and the fact that they can maintain that frequency to better than 0.1% Category 4 “Computers”

•Ruggedised electronic computers •Hybrid computers •Specific digital computers and related equipment •Vector processors •Neural computers •Optical computers 7 WA, 2 MTCR •Signal processing equipment •Specific software Category 5 “Telecommunications and Information Security”

Part 1: Telecommunications •Ruggedised telecommunication equipment •Underwater communication equipment •Specific transceivers and digital receivers •Direction finding systems •Ultrawideband communication equipment •Jammers for cellular radio equipment

4 WA, 3 MTCR Part 2: Information security •Cryptographic systems, equipment and components •Equipment for reduction of compromising emanations •Cryptographic software 4 WA Category 6: “Sensors and Lasers”

• Acoustic sensors (hydrophones and sonar systems) • Optical sensors • Optical components • Cameras • Lasers • Magnetometers • Gravity meters • Radars • Interferometers • Pressure sensors 20 WA, 7 MTCR, 6 NSG

Example pictures from open source Category 7 “Navigation and Avionics”

• Acoustics • Optical sensors • Cameras • Electronic streak cameras • Lasers other than 0B001.g.5 • Accelerometers (linear and rotational) • Inertial gyros • Inertial navigation equipment • Astro navigation equipment • Satellite navigation systems • Radar airborne altimeters Example pictures from MTCR • Flight control systems and guidance sets Handbook

17 WA, 17 MTCR Accelerometers (EU 7A001; 7A101)

• Missile Use Accelerometers are devices for measuring - Function switch linear acceleration in the x, y, or z axis.

- Track position during flight - Performance measurements on flight tests and simulations • Non-WMD Use - Car airbag deployment - Vibration monitoring Accelerometers and gyroscopes are - Earthquake strength detection critical electronic components for inertial navigation systems. - Games, e.g., Ninetendo, Wii - Laptops, cell phones, PDAs, MP3 players • Control - Designed for use in inertial navigation systems, with a bias repeatability < 1 250 micro g; and a scale factor repeatability of <1 250 ppm

Category 8 “Marine”

• Underwater vehicles • Specific vessels • Pressure housings and pressure halls • Systems for automatic motion control 8 WA • Underwater video systems • Specific robots • Air independent power systems for underwater use • Fuel cells • Specific propulsion systems • Noise reduction systems • Water tunnels Category 9 “Aerospace and Propulsion”

• Gas turbines • Rocket propulsion systems • Launching rockets • Space vehicles • Specific composite structures • Wind tunnels • Environmental test chambers • Specialized test systems • Development- and production-technology for aero enginesExample pictures from MTCR Handbook

29 WA, 28 MTCR, 1 AG Unmanned Aerial Vehicles (UAVs) (EU 9A012) • Missile Use • Control - Delivering weapon payloads - UAV with autonomous flight control and - Other military uses include navigation surveillance & reconnaissance - UAV with capability of controlled flight out of • Non-WMD Use the direct vision range of a human operator - Aerial photography - Equipment remotely controlling the UAVs - Agricultural spraying - Guidance or control systems - Law enforcement - Equipment and components to convert a manned aircraft to a UAV - Land border surveillance - Engines to propel UAVs at high altitudes - Seaports surveillance - Environmental monitoring

A UAV is an aircraft with no onboard pilot. They may be remotely controlled by a pilot at a ground control station, or fly autonomously based on pre-programmed flight plans.

Lower cost , smaller size, fewer safety requirements, and wide popularity make UAVs the most accessible aerial delivery system for weapons

Summary

• It is important for exporters to become familiar with the structure and content of the EU Dual-Use List • The process of determining an item’s control number by comparing its technical specifications to EU list entries is called Commodity Classification - If the commodity meets or exceeds the technical parameters in a particular entry, the item is controlled by that entry and assigned the corresponding Control Number • Examples of WMD-related commodities in the materials, industrial equipment, and electronics sectors have been presented - WMD and non-WMD uses - Control summary (consult National Control List for exact specifications)

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