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Document 32021R0821
Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast)
Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast)
Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast)
PE/54/2020/REV/2
OJ L 206, 11.6.2021, p. 1–461
(BG, ES, CS, DA, DE, ET, EL, EN, FR, GA, HR, IT, LV, LT, HU, MT, NL, PL, PT, RO, SK, SL, FI, SV)
In force: This act has been changed. Current consolidated version: 16/12/2023
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11.6.2021 |
EN |
Official Journal of the European Union |
L 206/1 |
REGULATION (EU) 2021/821 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 20 May 2021
setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 207(2) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Acting in accordance with the ordinary legislative procedure (1),
Whereas:
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(1) |
Council Regulation (EC) No 428/2009 (2) has been substantially amended several times. Since further amendments are to be made, that Regulation should be recast in the interests of clarity, effectiveness and efficiency. |
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(2) |
This Regulation aims to ensure that in the area of dual-use items, the Union and its Member States fully take into account all relevant considerations. Relevant considerations include international obligations and commitments, obligations under relevant sanctions, considerations of national foreign and security policy including those contained in the Council Common Position 2008/944/CFSP (3), among them human rights, and considerations about intended end-use and the risk of diversion. Through this Regulation, the Union demonstrates its commitment to maintaining robust legal requirements with regard to dual-use items, as well as to strengthening the exchange of relevant information and greater transparency. With regard to cyber-surveillance items, the competent authorities of the Member States should consider in particular the risk of them being used in connection with internal repression or the commission of serious violations of human rights and international humanitarian law. |
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(3) |
This Regulation also aims to strengthen the guidance to be given to exporters, in particular to small and medium-sized enterprises (SMEs), regarding responsible practices, yet without impairing the global competitiveness of exporters of dual-use items or other associated industry or academia which are resident or established in a Member State. |
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(4) |
United Nations Security Council Resolution 1540 (2004), adopted on 28 April 2004, decided that all States are to take and enforce effective measures to establish domestic controls to prevent the proliferation of nuclear, chemical or biological weapons and their means of delivery, including by establishing appropriate controls over related materials, equipment and technology. Controls are also required under relevant international agreements, such as the Convention on the Prohibition of the Development, Production, Stockpiling and use of Chemical Weapons and on their Destruction (the ‘Chemical Weapons Convention’ or ‘CWC’) and the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and On Their Destruction (the ‘Biological and Toxin Weapons Convention’ or ‘BWC’), and in line with commitments agreed upon in multilateral export control regimes. |
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(5) |
An effective common system of export controls on dual-use items is therefore necessary to ensure that the international commitments and responsibilities of the Member States and of the Union, in particular regarding non-proliferation, regional peace, security and stability and respect for human rights and international humanitarian law, are complied with. |
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(6) |
The EU Strategy against proliferation of Weapons of Mass Destruction of 12 December 2003 (‘EU WMD Strategy’) emphasises the Union’s commitment to strong national and internationally coordinated export controls. |
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(7) |
The contribution of exporters, brokers, providers of technical assistance or other relevant stakeholders to the overall aim of trade controls is crucial. In order for them to be able to act in conformity with this Regulation, the assessment of risks related to transactions concerned by this Regulation is to be carried out through transaction-screening measures, also known as the due diligence principle, as a part of an Internal Compliance Programme (ICP). In that regard, in particular the size and organisational structure of exporters have to be taken into account when developing and implementing ICPs. |
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(8) |
In order to address the risk that certain non-listed cyber-surveillance items exported from the customs territory of the Union might be misused by persons complicit in or responsible for directing or committing serious violations of human rights or international humanitarian law, it is appropriate to place the export of such items under control. Associated risks relate, in particular, to cases where cyber-surveillance items are specially designed to enable intrusion or deep packet inspection into information and telecommunications systems in order to conduct covert surveillance of natural persons by monitoring, extracting, collecting or analysing data, including biometrics data, from those systems. Items used for purely commercial applications such as billing, marketing, quality services, user satisfaction or network security are generally considered not to entail such risks. |
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(9) |
With a view to strengthening the effective control of exports of non-listed cyber-surveillance items, it is essential to further harmonise the application of catch-all controls in that area. To that end, Member States are committed to supporting such controls by sharing information amongst themselves and with the Commission, in particular regarding technological developments of cyber-surveillance items, and by exercising vigilance in the application of such controls to promote an exchange at Union level. |
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(10) |
In order to enable the Union to react rapidly to the serious misuse of existing technologies or to new risks associated with emerging technologies, a mechanism should be introduced to enable Member States to coordinate their responses when a new risk is identified. Such coordination should be followed by initiatives to introduce equivalent controls at the multilateral level in order to broaden the response to the identified risk. |
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(11) |
Transmission of dual-use software and technology by means of electronic media, fax or telephone to destinations outside the customs territory of the Union should also be controlled. In order to limit the administrative burden for exporters and the competent authorities of the Member States, general or global licenses or harmonised interpretations of provisions should be provided for certain transmissions, such as transmissions to a cloud. |
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(12) |
Considering the important role of customs authorities in the enforcement of export controls, the terms used in this Regulation should, to the extent possible, be consistent with the definitions set out in Regulation (EU) No 952/2013 of the European Parliament and of the Council (4) (the ‘Union Customs Code’). |
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(13) |
Various categories of persons can be involved in the export of dual-use items, including natural persons such as service providers, researchers, consultants and persons transmitting dual-use items electronically. It is essential that all such persons are aware of the risks associated with the export and the provision of technical assistance regarding sensitive items. In particular, academic and research institutions face distinct challenges in export control due to, inter alia, their general commitment to the free exchange of ideas, the fact that their research work often involves cutting edge technologies, their organisational structures and the international nature of their scientific exchanges. Member States and the Commission should, where necessary, raise awareness among the academic and research community and provide them with tailored guidance to address those distinct challenges. In alignment with multilateral export control regimes, the implementation of controls should provide, to the extent possible, for a common approach with respect to certain provisions, in particular regarding the academia related de-control notes ‘basic scientific research’ and ‘public domain’. |
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(14) |
The definition of the term ‘broker’ should be revised to include legal persons and partnerships not resident or established in a Member State and that provide brokering services from the customs territory of the Union. |
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(15) |
The Lisbon Treaty clarifies that the provision of technical assistance involving a cross-border movement falls under Union competence. It is therefore appropriate to introduce a definition of technical assistance and to specify the controls applicable to its provision. In addition, for reasons of effectiveness and consistency, controls on the provision of technical assistance should be harmonised. |
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(16) |
As in Regulation (EC) No 428/2009, it should be possible for Member States’ authorities to prohibit the transit of non-Union dual-use items under certain circumstances where, through intelligence or other sources, they have reasonable grounds for suspecting that the items are or might be intended, in their entirety or in part, for a military end-use in a country that is subject to an arms embargo, or for the proliferation of weapons of mass destruction or their means of delivery. |
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(17) |
Licensing conditions and requirements should be harmonised, where appropriate, in order to avoid distortions of competition and to ensure the consistent and effective application of controls throughout the customs territory of the Union. To that effect, it is also necessary that the competent authorities of the Member States are clearly identified in all control situations. The responsibility for deciding on individual, global or national general export authorisations, on authorisations for the provision of brokering services and technical assistance, on transits of non-Union dual-use items and on authorisations for the transfer within the customs territory of the Union of dual-use items listed in Annex IV, lies with national authorities. |
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(18) |
Guidelines for Internal Compliance Programmes should be introduced in order to contribute to achieving the level-playing field between exporters and to enhance the effective application of controls. Such guidelines should take into account the differences in sizes, resources, fields of activity and other features and conditions of exporters and their subsidiaries, such as intra-group compliance structures and standards, thereby avoiding a ‘one model for all’ approach and helping each exporter to find its own solutions for compliance and competitiveness. Exporters using global export authorisations should implement an ICP unless the competent authority considers it unnecessary due to other circumstances it has taken into account when processing the application for a global export authorisation submitted by the exporter. |
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(19) |
Additional Union general export authorisations should be introduced in order to reduce the administrative burden on companies, in particular SMEs, and authorities, while ensuring an appropriate level of control of the relevant items to the relevant destinations. Where necessary, Member States can provide guidance to exporters regarding the application of general authorisations. Member States can also introduce national general export authorisations for low-risk exports where they consider it necessary. An authorisation for large projects should also be introduced to adapt licensing conditions to the particular needs of industry. |
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(20) |
The Commission, in close consultation with Member States and stakeholders, should develop guidelines and/or recommendations for best practices to support practical application of controls. When preparing the guidelines and/or recommendations, the Commission should have due regard to the information needs of SMEs. |
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(21) |
Common lists of dual-use items, destinations and guidelines are essential elements for an effective export control regime. |
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(22) |
Member States that establish national control lists pursuant to this Regulation should inform the Commission and the other Member States of such lists. Member States should also inform the Commission and the other Member States of all decisions to refuse an authorisation for an export for which an authorisation is required on the basis of a national control list. |
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(23) |
In order to allow for a swift Union response to changing circumstances as regards the assessment of the sensitivity of exports under Union general export authorisations as well as technological and commercial developments, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union (TFEU) should be delegated to the Commission in respect of amending Annexes I, II and IV to this Regulation. Decisions to update the common list of dual-use items subject to export controls set out in Annex I should be in conformity with the obligations and commitments that Member States or the Union have accepted as members of the relevant international non-proliferation agreements and as members of multilateral export control regimes or by ratification of relevant international treaties. Where the amendment of Annex I concerns dual-use items which are also listed in Annex II or IV, those Annexes should be amended accordingly. Decisions to update the common lists of items and destinations set out in Sections A to H of Annex II should be made having regard to the assessment criteria set out in this Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making (5). In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts. |
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(24) |
The Commission should publish the updates to Annex I through delegated acts in all the official languages of the Union. |
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(25) |
The Commission should publish and keep updated a compilation of national control lists in force in the Member States in all the official languages of the Union. |
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(26) |
National provisions and decisions affecting exports of dual-use items should be taken in the framework of the common commercial policy, and in particular Regulation (EU) 2015/479 of the European Parliament and of the Council (6). Appropriate exchange of information and consultations on national provisions and decisions should ensure the effective and consistent application of controls throughout the customs territory of the Union. |
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(27) |
The existence of a common control system is a prerequisite for establishing the free movement of dual-use items inside the customs territory of the Union. |
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(28) |
Pursuant to and within the limits of Article 36 TFEU and in accordance with international obligations undertaken, Member States retain the right to carry out controls on transfers of certain dual-use items within the customs territory of the Union in order to safeguard public policy or public security. The list of items subject to intra-Union transfer controls set out in Annex IV should be periodically reviewed taking into account the further evolution of the underlying international obligations, as well as technological and commercial developments as regards the assessment of the sensitivity of transfers. Decisions to update the common list of dual-use items subject to export controls set out in Annex IV should be made having regard to Article 36 TFEU, namely the public policy and public security interests of the Member States. |
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(29) |
On 22 September 1998, the Member States and the Commission signed Protocols additional to the respective safeguards agreements between the Member States, the European Atomic Energy Community and the International Atomic Energy Agency, which, among other measures, oblige the Member States to provide information on transfers of specified equipment and non-nuclear material. Intra-Union transfer controls should allow the Union and its Member States to fulfil their obligations under those agreements. |
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(30) |
In order to achieve uniform and consistent application of controls throughout the Union, it is appropriate to broaden the scope of consultation and information exchange between the Member States and the Commission, and to introduce tools to support the development of a common export control network throughout the Union, such as electronic licensing procedures, technical expert groups and the setting up of an enforcement coordination mechanism. It is of particular importance to ensure that exporters, brokers, providers of technical assistance and other relevant stakeholders concerned by this Regulation, including industry and civil society organisations, are consulted, where appropriate, by the Dual-Use Coordination Group and the technical expert groups. |
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(31) |
While customs authorities share certain information with other customs authorities using a risk management system in accordance with Union customs rules, it is also appropriate to ensure close cooperation between licensing and customs authorities. |
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(32) |
It is appropriate to clarify that, to the extent that it concerns personal data, the processing and exchange of information should comply with the applicable rules on the protection of natural persons with regard to the processing of personal data and on the free movement of such data laid down in Regulations (EU) 2016/679 (7) and (EU) 2018/1725 (8) of the European Parliament and of the Council. |
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(33) |
Member States and the Commission should take all necessary measures to ensure the protection of confidential information in compliance with, in particular, Commission Decisions (EU, Euratom) 2015/443 (9)and (EU, Euratom) 2015/444 (10) and the Agreement between the Member States of the European Union, meeting within the Council, regarding the protection of classified information exchanged in the interests of the European Union (11). This includes, in particular, the obligation not to downgrade or declassify classified information without the prior written consent of the originator. Any non-classified sensitive information or information which is provided on a confidential basis should be handled as such by the authorities. |
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(34) |
Outreach to the private sector, in particular to SMEs, and transparency are essential elements for an effective export control regime. It is therefore appropriate to provide for the continued development of guidelines, where necessary, to support the application of this Regulation and for the publication of a Union annual report on the implementation of controls. |
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(35) |
The Union annual report on the implementation of controls should include relevant information on the licensing and enforcement of controls under this Regulation, with due respect to the need to ensure the protection of the confidentiality of certain data, in particular where the publication of licensing data could affect national security concerns raised by Member States or jeopardise commercial confidentiality and allow non-Union suppliers to undercut restrictive licensing decisions by Member States. |
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(36) |
In order to ensure that this Regulation is properly applied, each Member State should take measures to give the competent authorities appropriate powers. |
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(37) |
In accordance with the EU WMD Strategy, each Member State should determine effective, proportionate and dissuasive penalties applicable in the event of infringements of the provisions of this Regulation. It is also appropriate to introduce provisions to support the effective enforcement of controls, among other things through an enforcement coordination mechanism. |
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(38) |
The Union Customs Code lays down, among other things, provisions relating to the export and re-export of goods. Nothing in this Regulation constrains any powers under and pursuant to the Union Customs Code and its implementing provisions. |
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(39) |
Export controls contribute to international security and have an impact on trade with third countries. It is therefore appropriate to develop dialogue and cooperation with third countries in order to support a global level-playing field and enhance international security. In particular, Member States and the Commission should enhance their contribution to the activities of multilateral export control regimes. Member States and the Commission should also support those regimes in developing robust export controls as a global basis and model for international best practice, and an important tool for ensuring international peace and stability. Contributions should be made when a new risk has been identified by all Member States in the field of cyber-surveillance items in order to ensure a multilateral level playing field. |
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(40) |
This Regulation applies without prejudice to the Commission Delegated Decision of 15 September 2015 supplementing Decision No 1104/2011/EU of the European Parliament and of the Council (12), which establishes specific rules for the control of the export of items for the Public Regulated Service under the Galileo Programme. |
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(41) |
This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union, |
HAVE ADOPTED THIS REGULATION:
CHAPTER I
SUBJECT AND DEFINITIONS
Article 1
This Regulation establishes a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items.
Article 2
For the purposes of this Regulation, the following definitions apply:
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(1) |
‘dual-use items’ means items, including software and technology, which can be used for both civil and military purposes, and includes items which can be used for the design, development, production or use of nuclear, chemical or biological weapons or their means of delivery, including all items which can be used for both non-explosive uses and assisting in any way in the manufacture of nuclear weapons or other nuclear explosive devices; |
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(2) |
‘export’ means:
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(3) |
‘exporter’ means:
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(4) |
‘export declaration’ means an act whereby any natural or legal person or any partnership indicates, in the prescribed form and manner, the wish to place dual-use items specified in point (1) under an export procedure; |
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(5) |
‘re-export declaration’ means an act within the meaning of Article 5(13) of the Union Customs Code; |
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(6) |
‘exit summary declaration’ means an act within the meaning of Article 5(10) of the Union Customs Code; |
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(7) |
‘brokering services’ means:
For the purposes of this Regulation, the sole provision of ancillary services is excluded from this definition. Ancillary services are transportation, financial services, insurance or re-insurance, or general advertising or promotion; |
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(8) |
‘broker’ means any natural or legal person or any partnership that provides brokering services from the customs territory of the Union into the territory of a third country; |
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(9) |
‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services, including by electronic means as well as by telephone or any other verbal forms of assistance; |
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(10) |
‘provider of technical assistance’ means:
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(11) |
‘transit’ means a transport of non-Union dual-use items entering and passing through the customs territory of the Union with a destination outside the customs territory of the Union where those items:
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(12) |
‘individual export authorisation’ means an authorisation granted to one specific exporter for one end-user or consignee in a third country and covering one or more dual-use items; |
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(13) |
‘global export authorisation’ means an authorisation granted to one specific exporter in respect of a type or category of dual-use items which may be valid for exports to one or more specified end-users and/or in one or more specified third countries; |
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(14) |
‘large project authorisation’ means an individual export authorisation or a global export authorisation granted to one specific exporter, in respect of a type or category of dual-use items which may be valid for exports to one or more specified end-users in one or more specified third countries for the purpose of a specified large-scale project; |
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(15) |
‘Union general export authorisation’ means an export authorisation for exports to certain countries of destination that is available to all exporters who respect the conditions and requirements listed in Sections A to H of Annex II; |
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(16) |
‘national general export authorisation’ means an export authorisation defined by national legislation in accordance with Article 12(6) and Section C of Annex III; |
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(17) |
‘customs territory of the Union’ means the customs territory of the Union within the meaning of Article 4 of the Union Customs Code; |
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(18) |
‘non-Union dual-use items’ means items that have the status of non-Union goods within the meaning of Article 5(24) of the Union Customs Code; |
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(19) |
‘arms embargo’ means an arms embargo imposed by a decision or a common position adopted by the Council or a decision of the Organisation for Security and Cooperation in Europe (OSCE) or an arms embargo imposed by a binding resolution of the Security Council of the United Nations; |
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(20) |
‘cyber-surveillance items’ means dual-use items specially designed to enable the covert surveillance of natural persons by monitoring, extracting, collecting or analysing data from information and telecommunication systems; |
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(21) |
‘internal compliance programme’ or ‘ICP’ means ongoing effective, appropriate and proportionate policies and procedures adopted by exporters to facilitate compliance with the provisions and objectives of this Regulation and with the terms and conditions of the authorisations implemented under this Regulation, including, inter alia, due diligence measures assessing risks related to the export of the items to end-users and end-uses; |
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(22) |
‘essentially identical transaction’ means a transaction concerning items with essentially identical parameters or technical characteristics and involving the same end-user or consignee as another transaction. |
CHAPTER II
SCOPE
Article 3
1. An authorisation shall be required for the export of dual-use items listed in Annex I.
2. Pursuant to Article 4, 5, 9 or 10, an authorisation may also be required for the export to all or certain destinations of certain dual-use items not listed in Annex I.
Article 4
1. An authorisation shall be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part:
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(a) |
for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices or the development, production, maintenance or storage of missiles capable of delivering such weapons; |
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(b) |
for a military end-use if the purchasing country or country of destination is subject to an arms embargo; for the purposes of this point, ‘military end-use’ means:
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(c) |
for use as parts or components of military items listed in the national military list that have been exported from the territory of a Member State without authorisation or in violation of an authorisation prescribed by the national legislation of that Member State. |
2. Where an exporter is aware that dual-use items which he proposes to export, not listed in Annex I, are intended, in their entirety or in part, for any of the uses referred to in paragraph 1 of this Article, the exporter shall notify the competent authority. That competent authority shall decide whether or not to make the export concerned subject to authorisation.
3. A Member State may adopt or maintain national legislation imposing an authorisation requirement on the export of dual-use items not listed in Annex I if the exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in paragraph 1 of this Article.
4. A Member State which imposes an authorisation requirement pursuant to paragraph 1, 2, or 3 shall immediately inform its customs authorities and other relevant national authorities and provide the other Member States and the Commission with relevant information on the authorisation requirement in question, in particular as regards the items and end-users concerned, unless it considers that it is not appropriate to do so in light of the nature of the transaction or the sensitivity of the information concerned.
5. Member States shall give due consideration to information received pursuant to paragraph 4 and shall inform their customs authorities and other relevant national authorities thereof.
6. In order to allow for an examination of all valid denials by the Member States, Article 16(1), (2) and (5) to (7) shall apply to cases concerning dual-use items not listed in Annex I.
7. All exchanges of information required pursuant to this Article shall take place in accordance with the legal requirements concerning the protection of personal information, commercially sensitive information or protected defence, foreign policy or national security information. Such exchanges of information shall be made via secure electronic means, including through the system referred to in Article 23(6).
8. This Regulation is without prejudice to the right of Member States to take national measures under Article 10 of Regulation (EU) 2015/479.
Article 5
1. An authorisation shall be required for the export of cyber-surveillance items not listed in Annex I if the exporter has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for use in connection with internal repression and/or the commission of serious violations of human rights and international humanitarian law.
2. Where an exporter is aware, according to its due diligence findings, that cyber-surveillance items which the exporter proposes to export, not listed in Annex I, are intended, in their entirety or in part, for any of the uses referred to in paragraph 1 of this Article, the exporter shall notify the competent authority. That competent authority shall decide whether or not to make the export concerned subject to authorisation. The Commission and the Council shall make available guidelines for exporters, as referred to in Article 26(1).
3. A Member State may adopt or maintain national legislation imposing an authorisation requirement on the export of cyber-surveillance items not listed in Annex I if the exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in paragraph 1 of this Article.
4. A Member State which imposes an authorisation requirement pursuant to paragraph 1, 2 or 3 shall immediately inform its customs authorities and other relevant national authorities and shall provide the other Member States and the Commission with relevant information on the authorisation requirement in question, in particular as regards the items and entities concerned, unless it considers that it is not appropriate to do so in light of the nature of the transaction or the sensitivity of the information concerned.
5. Member States shall give due consideration to information received pursuant to paragraph 4 and shall review it in light of the criteria set out in paragraph 1 within 30 working days. They shall inform their customs authorities and other relevant national authorities. In exceptional cases, any Member State may request the extension of that 30-day period. However, the extension shall not exceed 30 working days.
6. Where all Member States notify each other and the Commission that an authorisation requirement should be imposed for essentially identical transactions, the Commission shall publish in the C series of the Official Journal of the European Union information regarding the cyber-surveillance items and, where appropriate, destinations subject to authorisation requirements as notified by Member States for that purpose.
7. Member States shall review the information published pursuant to paragraph 6 at least annually, on the basis of relevant information and analyses provided by the Commission. Where all Member States notify each other and the Commission that the publication of an authorisation requirement should be amended or renewed, the Commission shall promptly and accordingly amend or renew the information published pursuant to paragraph 6 in the C series of the Official Journal of the European Union.
8. In order to allow for an examination of all valid denials by the Member States, Article 16(1), (2) and (5) to (7) shall apply to cases concerning cyber-surveillance items not listed in Annex I.
9. All exchanges of information required pursuant to this Article shall take place in accordance with the legal requirements concerning the protection of personal information, commercially sensitive information or protected defence, foreign policy or national security information. Such exchanges of information shall be made via secure electronic means, including through the system referred to in Article 23(6).
10. Member States shall consider supporting the inclusion of items published pursuant to paragraph 6 of this Article in the appropriate international non-proliferation regimes or export control arrangements with a view to extending controls. The Commission shall provide analyses of the relevant data gathered pursuant to Article 23(2) and to Article 26(2).
11. This Regulation is without prejudice to the right of Member States to take national measures under Article 10 of Regulation (EU) 2015/479.
Article 6
1. An authorisation shall be required for the provision of brokering services of dual-use items listed in Annex I if the broker has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).
2. Where a broker proposes to provide brokering services of dual-use items listed in Annex I and is aware that those items are intended, in their entirety or in part, for any of the uses referred to in Article 4(1), the broker shall notify the competent authority. That competent authority shall decide whether or not to make such brokering services subject to authorisation.
3. A Member State may extend the application of paragraph 1 to non-listed dual-use items.
4. A Member State may adopt or maintain national legislation imposing an authorisation requirement on the provision of brokering services of dual-use items if the broker has grounds for suspecting that those items are or may be intended for any of the uses referred to in Article 4(1).
5. Article 9(2), (3) and (4) shall apply to the national measures referred to in paragraphs 3 and 4 of this Article.
Article 7
1. The transit of non-Union dual-use items listed in Annex I may be prohibited at any time by the competent authority of the Member State where the items are situated if the items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).
2. Before deciding whether or not to prohibit a transit the competent authority may, in individual cases, impose an authorisation requirement for the specific transit of dual-use items listed in Annex I if the items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1). If the transit takes place through the territory of multiple Member States, the competent authority of each affected Member State shall be able to prohibit such transit through its territory.
The competent authority may impose the authorisation requirement on the natural or legal person or the partnership that holds the contract with the consignee in the third country and has the power to determine the sending of the items passing through the customs territory of the Union.
If the natural or legal person or the partnership is not resident or established in the customs territory of the Union, the competent authority may impose the authorisation requirement on:
|
(a) |
the declarant within the meaning of Article 5(15) of the Union Customs Code; |
|
(b) |
the carrier within the meaning of Article 5(40) of the Union Customs Code; or |
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(c) |
the natural person carrying the dual-use items in transit where those dual-use items are contained in the personal baggage of that person. |
3. A Member State may extend the application of paragraph 1 to non-listed dual-use items.
4. Article 9(2), (3) and (4) shall apply to the national measures referred to in paragraph 3 of this Article.
Article 8
1. An authorisation shall be required for the provision of technical assistance related to dual-use items listed in Annex I if the provider of technical assistance has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).
2. Where a provider of technical assistance proposes to provide technical assistance for dual-use items listed in Annex I and is aware that those items are intended, in their entirety or in part, for any of the uses referred to in Article 4(1), the provider of technical assistance shall notify the competent authority. That competent authority shall decide whether or not to make such technical assistance subject to authorisation.
3. Paragraphs 1 and 2 shall not apply if the technical assistance:
|
(a) |
is provided within or into the territory of a country listed in Part 2 of Section A of Annex II, or towards a resident of a country listed in Part 2 of Section A of Annex II; |
|
(b) |
takes the form of transferring information that is in the public domain or basic scientific research within the meaning of the General Technology Note or of the Nuclear Technology Note set out in Annex I; |
|
(c) |
is provided by authorities or agencies of a Member State in the context of their official tasks; |
|
(d) |
is provided for the armed forces of a Member State on the basis of the tasks assigned to them; |
|
(e) |
is provided for a purpose which is cited in the exceptions for items of the Missile Technology Control Regime (MTCR technology) in Annex IV; or |
|
(f) |
is the minimum necessary for the installation, operation, maintenance (checking) or repair of those items for which an export authorisation has been issued. |
4. A Member State may extend the application of paragraph 1 to non-listed dual-use items.
5. A Member State may adopt or maintain national legislation imposing an authorisation requirement on the provision of technical assistance where a provider of technical assistance who proposes to provide technical assistance for dual-use items has grounds for suspecting that those items are or may be intended for any of the uses referred to in Article 4(1).
6. Article 9(2), (3) and (4) shall apply to the national measures referred to in paragraphs 4 and 5 of this Article.
Article 9
1. A Member State may prohibit or impose an authorisation requirement on the export of dual-use items not listed in Annex I for reasons of public security, including the prevention of acts of terrorism, or for human rights considerations.
2. Member States shall notify the Commission and the other Member States of any measures adopted pursuant to paragraph 1 without delay and indicate the precise reasons for the measures. If the measure is the establishment of a national control list, Member States shall also inform the Commission and the other Member States of the description of the controlled items.
3. Member States shall, without delay, notify the Commission and the other Member States of any amendment to measures adopted pursuant to paragraph 1, including any amendment to their national control lists.
4. The Commission shall publish the measures notified to it pursuant to paragraphs 2 and 3 in the C series of the Official Journal of the European Union. The Commission shall publish separately, without delay and in all the official languages of the Union, a compilation of national control lists in force in the Member States. The Commission shall, upon notification by a Member State of any amendment to its national control list, publish, without delay and in all the official languages of the Union, an update to the compilation of national control lists in force in the Member States.
Article 10
1. An authorisation shall be required for the export of dual-use items not listed in Annex I if another Member State imposes an authorisation requirement for the export of those items on the basis of a national control list of items adopted by that Member State pursuant to Article 9 and published by the Commission pursuant to Article 9(4), and if the exporter has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for uses of concern with respect to public security, including the prevention of acts of terrorism, or to human rights considerations.
2. A Member State which refuses an authorisation required under paragraph 1 shall also inform the Commission and the other Member States of such decision.
3. A Member State which imposes an authorisation requirement pursuant to paragraph 1 of this Article on the export of a dual-use item not listed in Annex I, shall inform its customs authorities and other relevant national authorities about the authorisation requirement without delay and, where appropriate, provide the other Member States and the Commission with the relevant information, in particular concerning the items and end-users concerned. The other Member States shall give due consideration to that information and shall inform their customs authorities and other relevant national authorities thereof.
Article 11
1. An authorisation shall be required for intra-Union transfers of dual-use items listed in Annex IV. Dual-use items listed in Part 2 of Annex IV shall not be covered by a general authorisation.
2. A Member State may impose an authorisation requirement for the transfer of other dual-use items from its territory to another Member State in cases where at the time of transfer:
|
(a) |
the operator or the competent authority knows that the final destination of the items concerned is outside the customs territory of the Union; |
|
(b) |
the export of those items to that final destination is subject to an authorisation requirement pursuant to Article 3, 4, 5, 9 or 10 in the Member State from which the items are to be transferred, and such export directly from its territory is not authorised by a general authorisation or a global authorisation; and |
|
(c) |
no processing or working as defined in Article 60(2) of the Union Customs Code is to be performed on the items in the Member State to which they are to be transferred. |
3. The transfer authorisation referred to in paragraphs 1 and 2 shall be applied for in the Member State from which the dual-use items are to be transferred.
4. In cases where the subsequent export of the dual-use items has already been accepted in the consultation procedures set out in Article 14 by the Member State from which the items are to be transferred, the transfer authorisation shall be issued to the operator immediately, unless the circumstances have substantially changed.
5. A Member State which adopts legislation imposing an authorisation requirement as referred to in paragraph 2 shall, without delay, inform the Commission and the other Member States of the measures it has taken. The Commission shall publish that information in the C series of the Official Journal of the European Union.
6. The application of measures taken pursuant to paragraphs 1 and 2 shall not involve the application of internal frontier controls within the customs territory of the Union, but solely controls which are performed as part of the normal control procedures applied in a non-discriminatory fashion throughout the customs territory of the Union.
7. The application of measures taken pursuant to paragraphs 1 and 2 shall not result in transfers from one Member State to another being subject to more restrictive conditions than those imposed for exports of the same items to third countries.
8. A Member State may, by national legislation, require that, for any intra-Union transfers from that Member State of items listed in Annex I, Category 5, Part 2, which are not listed in Annex IV, additional information concerning those items shall be provided to the competent authority of that Member State.
9. The relevant commercial documents relating to intra-Union transfers of dual-use items listed in Annex I shall indicate clearly that those items are subject to controls if exported from the customs territory of the Union. Such documents include, in particular, any sales contract, order confirmation, invoice or dispatch note.
CHAPTER III
EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES AND TECHNICAL ASSISTANCE
Article 12
1. The following types of authorisations for export may be issued or are established under this Regulation:
|
(a) |
individual export authorisations; |
|
(b) |
global export authorisations; |
|
(c) |
national general export authorisations; |
|
(d) |
Union general export authorisations for exports of certain items to certain destinations under specific conditions and requirements for use as set out in Sections A to H of Annex II. |
Authorisations issued or established under this Regulation shall be valid throughout the customs territory of the Union.
2. Individual and global export authorisations under this Regulation shall be granted by the competent authority of the Member State where the exporter is resident or established.
Without prejudice to point (3) of Article 2, where the exporter is not resident or established on the customs territory of the Union, individual export authorisations shall be granted under this Regulation by the competent authority of the Member State where the dual-use items are located.
All individual and global export authorisations shall be issued, whenever possible, by electronic means on forms containing at least all the elements of and in the order provided for in the models set out in Section A of Annex III.
3. Individual export authorisations and global export authorisations shall be valid for up to two years, unless the competent authority decides otherwise.
Large project authorisations shall be valid for a duration to be determined by the competent authority, but no longer than four years, except in duly justified circumstances based on the duration of the project.
4. Exporters shall supply the competent authority with all relevant information required for their applications for individual and global export authorisations so as to provide complete information in particular about the end-user, the country of destination and the end-use of the item exported.
Individual export authorisations shall be subject to an end-use statement. The competent authority may exempt certain applications from the obligation of providing an end-use statement. Global export authorisations may be subject to an end-use statement if appropriate.
Exporters using global export authorisations shall implement an ICP, unless the competent authority considers it unnecessary due to other information it has taken into account when processing the application for a global export authorisation submitted by the exporter.
Reporting and ICP requirements relating to the use of global export authorisations shall be defined by Member States.
At the request of exporters, global export authorisations that contain quantitative limitations shall be split.
5. The competent authorities of the Member States shall process requests for individual or global authorisations within a period of time to be determined by national law or practice.
6. National general export authorisations shall:
|
(a) |
exclude from their scope items listed in Section I of Annex II; |
|
(b) |
be defined by national law or practice; they may be used by all exporters, resident or established in the Member State that issues those authorisations, if they meet the requirements set in this Regulation and in the complementary national legislation; they shall be issued in accordance with the indications set out in Section C of Annex III; |
|
(c) |
not be used if the exporter has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1), or if the exporter is aware that the items are intended for such uses. |
National general export authorisations may also apply to items and destinations listed in Sections A to H of Annex II.
Member States shall notify the Commission immediately of any national general export authorisations issued or modified. The Commission shall publish such notifications in the C series of the Official Journal of the European Union.
7. The competent authority of the Member State where the exporter is resident or established may prohibit the exporter from using Union general export authorisations if there is reasonable suspicion about the exporter’s ability to comply with such authorisation or with a provision of the export control legislation.
The competent authorities of the Member States shall exchange information on exporters which are prohibited from using a Union general export authorisation, unless the competent authority of the Member State where the exporter is resident or established determines that the exporter will not attempt to export dual-use items through another Member State. The exchange of information shall be carried out using the electronic system referred to in Article 23(6).
Article 13
1. Authorisations for the provision of brokering services and technical assistance under this Regulation shall be granted by the competent authority of the Member State where the broker or the provider of technical assistance is resident or established. Where the broker or the provider of technical assistance is not resident or established on the customs territory of the Union, authorisations for the provision of brokering services and technical assistance under this Regulation shall be granted by the competent authority of the Member State from where the brokering services or technical assistance will be provided.
2. Authorisations for the provision of brokering services shall be granted for a set quantity of specific items and shall clearly identify the location of the items in the originating third country, the end-user and the exact location of the end-user.
Authorisations for technical assistance shall clearly identify the end-user and the exact location of the end-user.
The authorisations shall be valid throughout the customs territory of the Union.
3. Brokers and providers of technical assistance shall supply the competent authority with all relevant information required for their application for authorisation under this Regulation, in particular details of the location of the dual-use items, a clear description of the items and the quantity involved, third parties involved in the transaction, the country of destination, the end-user in that country and its exact location.
4. The competent authorities of the Member States shall process requests for authorisations for the provision of brokering services and technical assistance within a period of time to be determined by national law or practice.
5. All authorisations for the provision of brokering services and technical assistance shall be issued, whenever possible, by electronic means on forms containing at least all the elements of and in the order provided for in the models set out in Section B of Annex III.
Article 14
1. If the dual-use items in respect of which an application has been made for an individual export authorisation to a destination not listed in Part 2 of Section A of Annex II or to any destination in the case of dual-use items listed in Annex IV are or will be located in one or more Member States other than the one where the application has been made, that fact shall be indicated in the application. The competent authority of the Member State to which the application for authorisation has been made shall immediately consult the competent authorities of the Member States in question and provide the relevant information. That consultation may be carried out using the electronic system referred to in Article 23(6). The Member States consulted shall make known within 10 working days any objections they may have to the granting of such an authorisation, which shall bind the Member State in which the application has been made.
If no objections are received within 10 working days, the Member States consulted shall be regarded as having no objection.
In exceptional cases, any Member State consulted may request the extension of that 10-day period. However, the extension shall not exceed 30 working days.
2. If an export might prejudice its essential security interests, a Member State may request another Member State not to grant an export authorisation or, if such authorisation has been granted, request its annulment, suspension, modification or revocation. The Member State receiving such a request shall immediately engage in consultations of a non-binding nature with the requesting Member State, to be terminated within 10 working days. In the event that the Member State receiving the request decides to grant the authorisation, that Member State shall notify the Commission and the other Member States thereof using the electronic system referred to in Article 23(6).
Article 15
1. In deciding whether or not to grant an authorisation or to prohibit a transit under this Regulation, the Member States shall take into account all relevant considerations, including:
|
(a) |
Union and Member States’ international obligations and commitments, in particular the obligations and commitments they have each accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties; |
|
(b) |
their obligations under sanctions imposed by a decision or a common position adopted by the Council or by a decision of the OSCE or by a binding resolution of the Security Council of the United Nations; |
|
(c) |
considerations of national foreign and security policy, including those covered by Common Position 2008/944/CFSP; |
|
(d) |
considerations about intended end-use and the risk of diversion. |
2. In addition to the criteria set out in paragraph 1, when assessing an application for a global export authorisation, Member States shall take into consideration the implementation of an ICP by the exporter.
Article 16
1. The competent authority acting in accordance with this Regulation, may refuse to grant an export authorisation and may annul, suspend, modify or revoke an export authorisation which it has already granted. Where the competent authority refuses, annuls, suspends, substantially limits or revokes an export authorisation or when it has determined that the intended export is not to be authorised, it shall notify the competent authorities of the other Member States and the Commission thereof and share the relevant information with them. In case the competent authority of a Member State has suspended an export authorisation, the final assessment shall be communicated to the competent authorities of the other Member States and the Commission at the end of the period of suspension.
2. The competent authorities of the Member States shall review denials of authorisations notified under paragraph 1 within three years of their notification and revoke them, amend them or renew them. The competent authorities of the Member States shall notify the results of the review to the competent authorities of the other Member States and the Commission as soon as possible. Denials which are not revoked shall remain valid and shall be reviewed every three years. At the third review, the Member State concerned shall be required to explain the reasoning for maintaining such denial.
3. The competent authority shall notify the competent authorities of the other Member States and the Commission of their decisions to prohibit a transit of dual-use items taken under Article 7 without delay. These notifications shall contain all relevant information including the classification of the item, its technical parameters, the country of destination and the end-user.
4. Paragraphs 1 and 2 of this Article shall also apply to authorisations for the provision of brokering services and technical assistance referred to in Article 13.
5. Before the competent authority of a Member State decides whether or not to grant an authorisation or to prohibit a transit under this Regulation, it shall examine all valid denials or decisions to prohibit a transit of dual-use items listed in Annex I taken under this Regulation to ascertain whether an authorisation or a transit has been denied by the competent authorities of another Member State for an essentially identical transaction. It shall then consult the competent authorities of the Member States which issued such denials or decisions to prohibit the transit as provided for in paragraphs 1, 3 and 4 of this Article.
The competent authorities of the Member States consulted shall make known within 10 working days whether or not they consider the transaction in question to be an essentially identical transaction. If no reaction has been received within 10 working days, the competent authorities of the Member States consulted shall be regarded as not considering the transaction in question to be an essentially identical transaction.
If more information is required to correctly evaluate the transaction in question, the competent authorities of the Member States concerned shall agree on the extension of that 10-day period. However, the extension shall not exceed 30 working days.
If, following such consultation, the competent authority decides to grant an authorisation or allow the transit, it shall notify the competent authorities of the other Member States and the Commission, providing all relevant information to explain the decision.
6. All notifications required pursuant to this Article shall be made via secure electronic means, including through the system referred to in Article 23(6).
7. All information shared pursuant to this Article shall be in compliance with Article 23(5) concerning the confidentiality of such information.
CHAPTER IV
AMENDMENT OF LISTS OF DUAL-USE ITEMS AND DESTINATIONS
Article 17
1. The Commission is empowered to adopt delegated acts in accordance with Article 18 in order to amend the list of dual-use items set out in Annexes I and IV, as follows:
|
(a) |
the list of dual-use items set out in Annex I shall be amended in conformity with the relevant obligations and commitments, and any amendment thereof, that Member States and, where applicable, the Union have accepted as members of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties; |
|
(b) |
where the amendment of Annex I concerns dual-use items which are also listed in Annex II or IV, those Annexes shall be amended accordingly. |
2. The Commission is empowered to adopt delegated acts in accordance with Article 18 in order to amend Annex II by removing items and by adding or removing destinations from the scope of Union general export authorisations in consultation with the Dual-Use Coordination Group set up pursuant to Article 24 and taking into consideration obligations and commitments under the relevant non-proliferation regimes and export control arrangements, such as amendments to control lists, as well as relevant geopolitical developments. Where imperative grounds of urgency require a removal of particular destinations from the scope of a Union general export authorisation, the procedure provided for in Article 19 shall apply to delegated acts adopted pursuant to this paragraph.
Article 18
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Article 17 shall be conferred on the Commission for a period of five years from 9 September 2021. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.
3. The delegation of power referred to in Article 17 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.
4. Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making.
5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
6. A delegated act adopted pursuant to Article 17 shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.
Article 19
1. Delegated acts adopted under this Article shall enter into force without delay and shall apply as long as no objection is expressed in accordance with paragraph 2. The notification of a delegated act to the European Parliament and to the Council shall state the reasons for the use of the urgency procedure.
2. Either the European Parliament or the Council may object to a delegated act in accordance with the procedure referred to in Article 18(6). In such a case, the Commission shall repeal the act immediately following the notification of the decision to object by the European Parliament or by the Council.
Article 20
The list of dual-use items set out in Annex IV, which is a subset of Annex I, shall be updated having regard to Article 36 TFEU, namely the public policy and public security interests of the Member States.
CHAPTER V
CUSTOMS PROCEDURES
Article 21
1. When completing the formalities for the export of dual-use items at the customs office responsible for handling the export declaration, the exporter shall furnish proof that any necessary export authorisation has been obtained.
2. A translation of any documents furnished as proof into an official language of the Member State where the export declaration is presented may be required of the exporter.
3. Without prejudice to any powers conferred on it under, and pursuant to, the Union Customs Code, a Member State may also, for a period not exceeding the periods referred to in paragraph 4, suspend the process of export from its territory, or, if necessary, otherwise prevent the dual-use items which are or are not covered by a valid export authorisation from leaving the Union via its territory, where it has:
|
(a) |
grounds for suspicion that:
|
|
(b) |
relevant information regarding the potential application of measures under Article 4(1). |
4. In the cases referred to in paragraph 3 of this Article, the Member State referred to in that paragraph shall consult the competent authority of the Member State which granted the export authorisation or which may take action pursuant to Article 4(1) without delay in order that the competent authority may take action pursuant to Article 4(1) or Article 16(1). If that competent authority decides to maintain the authorisation or not to take action pursuant to Article 4(1), it shall reply within 10 working days, which, at its request, may be extended to 30 working days in exceptional circumstances. In such case, or if no reply is received within 10 or 30 working days, as the case may be, the dual-use items shall be released immediately. The competent authority of the Member State which granted the authorisation shall inform the competent authorities of the other Member States and the Commission.
5. The Commission, in cooperation with the Member States, may develop guidance to support interagency cooperation between licensing and customs authorities.
Article 22
1. Member States may provide that customs formalities for the export of dual-use items may be completed only at customs offices empowered to that end.
2. Member States availing themselves of the option set out in paragraph 1 shall inform the Commission of the duly empowered customs offices. The Commission shall publish the information in the C series of the Official Journal of the European Union.
CHAPTER VI
ADMINISTRATIVE COOPERATION, IMPLEMENTATION AND ENFORCEMENT
Article 23
1. Member States shall inform the Commission without delay of the laws, regulations and administrative provisions adopted in implementation of this Regulation, including:
|
(a) |
a list of the competent authorities of the Member States empowered to:
|
|
(b) |
the measures referred to in Article 25(1). |
The Commission shall forward the information to the other Member States and shall publish the information in the C series of the Official Journal of the European Union.
2. Member States, in cooperation with the Commission, shall take all appropriate measures to establish direct cooperation and exchange of information between the competent authorities with a view to enhance the efficiency of the Union export control regime and to ensure the consistent and effective implementation and enforcement of control throughout the customs territory of the Union. The information exchange may include:
|
(a) |
relevant licensing data, provided for each authorisation issued (e.g. value and types of licence and related destinations, number of users of general authorisations); |
|
(b) |
additional information regarding the application of controls, including information on the application of criteria set out in Article 15(1), the number of operators with an ICP and, where available, data on exports of dual-use items carried out in other Member States; |
|
(c) |
information regarding the analysis underlying additions or planned additions to national control lists pursuant to Article 9; |
|
(d) |
information regarding the enforcement of controls, including risk-based audits, details of exporters deprived of the right to use the national or Union general export authorisations, and, where available, number of violations, seizures and application of other penalties; |
|
(e) |
data on sensitive end-users, actors involved in suspicious procurement activities, and, where available, routes taken. |
3. The exchange of licensing data shall take place at least annually in accordance with guidelines to be drawn up by the Dual-Use Coordination Group established pursuant to Article 24 and with due consideration to legal requirements concerning the protection of personal information, commercially sensitive information or protected defence, foreign policy or national security information.
4. Member States and the Commission shall regularly examine the implementation of Article 15 based on information submitted pursuant to this Regulation and analyses of such data. All participants of these exchanges shall respect the confidentiality of the discussions.
5. Council Regulation (EC) No 515/97 (14), and in particular its provisions on the confidentiality of information, shall apply mutatis mutandis.
6. A secure and encrypted system shall be developed by the Commission, in consultation with the Dual-Use Coordination Group set up pursuant to Article 24, to support direct cooperation and exchange of information between the competent authorities of the Member States and, where appropriate, the Commission. The system shall, where feasible, be connected by the Commission to the electronic licensing systems of the competent authorities of the Member States to the extent necessary for the purpose of facilitating this direct cooperation and exchange of information. The European Parliament shall be informed about the system’s budget, development and functioning.
7. The processing of personal data shall be in accordance with the rules laid down in Regulations (EU) 2016/679 and (EU) 2018/1725.
Article 24
1. A Dual-Use Coordination Group chaired by a representative of the Commission shall be set up. Each Member State shall appoint a representative to this Group. It shall examine any question concerning the application of this Regulation which may be raised either by the chair or by a representative of a Member State.
2. The Dual-Use Coordination Group shall, whenever it considers it to be necessary, consult exporters, brokers, providers of technical assistance and other relevant stakeholders concerned by this Regulation.
3. The Dual-Use Coordination Group shall, where appropriate, set up technical expert groups composed of experts from Member States to examine specific issues relating to the implementation of controls, including issues relating to the updating of the Union control lists set out in Annex I. Technical expert groups shall, where appropriate, consult exporters, brokers, providers of technical assistance and other relevant stakeholders concerned by this Regulation.
4. The Commission shall support a Union licensing and enforcement capacity-building programme, including by developing, in consultation with the Dual-Use Coordination Group, common training programmes for officials of the Member States.
Article 25
1. Each Member State shall take appropriate measures to ensure the proper enforcement of this Regulation. In particular, it shall lay down the penalties applicable to infringements of the provisions of this Regulation or of those adopted for its implementation. Those penalties shall be effective, proportionate and dissuasive.
2. The Dual-Use Coordination Group shall set up an enforcement coordination mechanism to support exchange of information and direct cooperation between competent authorities and enforcement agencies of the Member States (the ‘Enforcement Coordination Mechanism’). Under the Enforcement Coordination Mechanism, the Member States and the Commission shall exchange relevant information, where available, including on the application, nature and effect of the measures, taken under paragraph 1, on enforcement of best practices and unauthorised exports of dual-use items and/or infringements of this Regulation and/or relevant national legislation.
Under the Enforcement Coordination Mechanism, the Member States and the Commission shall also exchange information on best practices of national enforcement authorities regarding risk-based audits, the detection and prosecution of unauthorised exports of dual-use items and/or possible other infringements of this Regulation and/or relevant national legislation.
Exchange of information under the Enforcement Coordination Mechanism shall be confidential.
CHAPTER VII
TRANSPARENCY, OUTREACH, MONITORING, EVALUATION
Article 26
1. The Commission and the Council shall, where appropriate, make available guidelines and/or recommendations for best practices for the subjects referred to in this Regulation to ensure the efficiency of the Union export control regime and the consistency of its implementation. The provision of guidelines and/or recommendations for best practices to exporters, brokers and providers of technical assistance shall be the responsibility of the Member States where they are resident or established. In those guidelines and/or recommendations for best practices, the information needs of SMEs in particular shall be taken into account.
2. The Commission shall, in consultation with the Dual-Use Coordination Group, submit an annual report to the European Parliament and the Council on the implementation of this Regulation, and on the activities, examinations and consultations of the Dual-Use Coordination Group. That annual report shall be public.
The annual report shall include information on authorisations (in particular number and value by types of items and by destinations at Union and Member State levels), denials and prohibitions under this Regulation. The annual report shall also include information on the administration (in particular staffing, compliance and outreach activities, dedicated licensing or classification tools), and enforcement of controls (in particular the number of infringements and penalties).
With regard to cyber-surveillance items, the annual report shall include dedicated information on authorisations, in particular on the number of applications received by item, the issuing Member State and the destinations concerned by those applications, and on the decisions taken on those applications.
The information contained in the annual report shall be presented in accordance with the principles set out in paragraph 3.
The Commission and the Council shall make available guidelines on the methodology for data gathering and processing for the preparation of the annual report, including the determination of the types of items and the availability of enforcement data.
3. Member States shall provide to the Commission all appropriate information for the preparation of the report with due consideration given to legal requirements concerning the protection of personal information, commercially sensitive information or protected defence, foreign policy or national security information. Regulation (EC) No 223/2009 of the European Parliament and of the Council (15) on European statistics applies to information exchanged or published under this Article.
4. Between 10 September 2026 and 10 September 2028, the Commission shall carry out an evaluation of this Regulation and report on the main findings to the European Parliament, the Council and the European Economic and Social Committee. After 10 September 2024, the Commission shall carry out an evaluation of Article 5 and report on the main findings to the European Parliament, the Council and the European Economic and Social Committee.
CHAPTER VIII
CONTROL MEASURES
Article 27
1. Exporters of dual-use items shall keep detailed registers or records of their exports, in accordance with the national law or practice in force in the Member State concerned. Such registers or records shall include in particular commercial documents such as invoices, manifests and transport and other dispatch documents containing sufficient information to allow the following to be identified:
|
(a) |
a description of the dual-use items; |
|
(b) |
the quantity of the dual-use items; |
|
(c) |
the name and address of the exporter and of the consignee; |
|
(d) |
where known, the end-use and end-user of the dual-use items. |
2. In accordance with national law or practice in force in the Member State concerned, brokers and providers of technical assistance shall keep registers or records for brokering services or technical assistance so as to be able to prove, on request, the description of the dual-use items that were the subject of brokering services or technical assistance, the period during which the items were the subject of such services, the destination of such items and services, and the countries concerned by those services.
3. The registers or records and the documents referred to in paragraphs 1 and 2 shall be kept for at least five years from the end of the calendar year in which the export took place or the brokering services or technical assistance were provided. They shall be produced, on request, to the competent authority.
4. Documents and records of intra-Union transfers of dual-use items listed in Annex I shall be kept for at least three years from the end of the calendar year in which a transfer took place and shall be produced, on request, to the competent authority of the Member State from which these items were transferred.
Article 28
In order to ensure that this Regulation is properly applied, each Member State shall take all necessary measures to permit its competent authorities:
|
(a) |
to gather information on any order or transaction involving dual-use items; |
|
(b) |
to establish whether the export control measures are being properly applied, which may include in particular the power to enter the premises of persons with an interest in an export transaction or brokers involved in the provision of brokering services under circumstances set out in Article 6, or providers of technical assistance under the circumstances set out in Article 8. |
CHAPTER IX
COOPERATION WITH THIRD COUNTRIES
Article 29
1. The Commission and the Member States shall, where appropriate, maintain dialogues with third countries, with a view to promoting the global convergence of controls.
The dialogues may support regular and reciprocal cooperation with third countries, including exchange of information and best practices, as well as capacity-building and outreach to third countries. The dialogues may also encourage the adherence of third countries to robust export controls developed by multilateral export control regimes as a model for international best practice.
2. Without prejudice to the provisions on mutual administrative assistance agreements or protocols in customs matters concluded between the Union and third countries, the Council may authorise the Commission to negotiate with third countries on agreements providing for the mutual recognition of export controls of dual-use items covered by this Regulation.
Those negotiations shall be conducted in accordance with the procedures established in Article 207(3) TFEU and in the Treaty establishing the European Atomic Energy Community, as appropriate.
CHAPTER X
FINAL PROVISIONS
Article 30
This Regulation applies without prejudice to the Commission Delegated Decision of 15 September 2015 supplementing Decision No 1104/2011/EU.
Article 31
Regulation (EC) No 428/2009 is repealed.
However, for authorisation applications made before 9 September 2021, the relevant provisions of Regulation (EC) No 428/2009 shall continue to apply.
References to the repealed Regulation shall be construed as references to this Regulation and shall be read in accordance with the correlation table in Annex VI.
Article 32
This Regulation shall enter into force on the ninetieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 20 May 2021.
For the European Parliament
The President
D. M. SASSOLI
For the Council
The President
A. P. ZACARIAS
(1) Position of the European Parliament of 25 March 2021 (not yet published in the Official Journal) and decision of the Council of 10 May 2021.
(2) Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (OJ L 134, 29.5.2009, p. 1).
(3) Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment (OJ L 335, 13.12.2008, p. 99).
(4) Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code (OJ L 269, 10.10.2013, p. 1).
(5) OJ L 123, 12.5.2016, p. 1.
(6) Regulation (EU) 2015/479 of the European Parliament and of the Council of 11 March 2015 on common rules for exports (OJ L 83, 27.3.2015, p. 34).
(7) Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (OJ L 119, 4.5.2016, p. 1).
(8) Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39).
(9) Commission Decision (EU, Euratom) 2015/443 of 13 March 2015 on Security in the Commission (OJ L 72, 17.3.2015, p. 41).
(10) Commission Decision (EU, Euratom) 2015/444 of 13 March 2015 on the security rules for protecting EU classified information (OJ L 72, 17.3.2015, p. 53).
(11) OJ C 202, 8.7.2011, p. 13.
(12) Decision No 1104/2011/EU of the European Parliament and of the Council of 25 October 2011 on the rules for access to the public regulated service provided by the global navigation satellite system established under the Galileo programme (OJ L 287, 4.11.2011, p. 1).
(13) Commission Delegated Regulation (EU) 2015/2446 of 28 July 2015 supplementing Regulation (EU) No 952/2013 of the European Parliament and of the Council as regards detailed rules concerning certain provisions of the Union Customs Code (OJ L 343, 29.12.2015, p. 1).
(14) Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters (OJ L 82, 22.3.1997, p. 1).
(15) Regulation (EC) No 223/2009 of the European Parliament and of the Council of 11 March 2009 on European statistics and repealing Regulation (EC, Euratom) No 1101/2008 of the European Parliament and of the Council on the transmission of data subject to statistical confidentiality to the Statistical Office of the European Communities, Council Regulation (EC) No 322/97 on Community Statistics, and Council Decision 89/382/EEC, Euratom establishing a Committee on the Statistical Programmes of the European Communities (OJ L 87, 31.3.2009, p. 164).
ANNEX I
LIST OF DUAL-USE ITEMS REFERRED TO IN ARTICLE 3 OF THIS REGULATION
The list of dual-use items contained in this Annex implements internationally agreed dual-use controls, including the Australia Group (1), the Missile Technology Control Regime (MTCR) (2), the Nuclear Suppliers Group (NSG) (3), the Wassenaar Arrangement (4) and the Chemical Weapons Convention (CWC) (5).
CONTENTS
|
Part I - |
General Notes, Acronyms and Abbreviations, and Definitions |
|
Part II - Category 0 |
Nuclear materials, facilities and equipment |
|
Part III -Category 1 |
Special materials and related equipment |
|
Part IV - Category 2 |
Materials processing |
|
Part V - Category 3 |
Electronics |
|
Part VI - Category 4 |
Computers |
|
Part VII - Category 5 |
Telecommunications and "information security" |
|
Part VIII - Category 6 |
Sensors and lasers |
|
Part IX - Category 7 |
Navigation and avionics |
|
Part X - Category 8 |
Marine |
|
Part XI - Category 9 |
Aerospace and propulsion |
PART I - General Notes, Acronyms and Abbreviations, and Definitions
GENERAL NOTES TO ANNEX I
|
1. |
For control of goods which are designed or modified for military use, see the relevant list(s) of controls on military goods maintained by individual EU Member States. References in this Annex that state "SEE ALSO MILITARY GOODS CONTROLS" refer to the same lists. |
|
2. |
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 are the principal element of the goods and can feasibly be removed or used for other purposes.
|
|
3. |
Goods specified in this Annex include both new and used goods. |
|
4. |
In some instances, chemicals are listed by name and CAS number. The list applies to chemicals of the same structural formula (including hydrates) regardless of name or CAS number. CAS numbers are shown to assist in identifying a particular chemical or mixture, irrespective of nomenclature. CAS numbers cannot be used as unique identifiers because some forms of the listed chemical have different CAS numbers, and mixtures containing a listed chemical may also have different CAS numbers. |
NUCLEAR TECHNOLOGY NOTE (NTN)
(To be read in conjunction with section E of Category 0.)
The "technology" directly associated with any goods controlled in Category 0 is controlled according to the provisions of Category 0.
"Technology" for the "development", "production" or "use" of goods under control remains under control even when applicable to non-controlled goods.
The approval of goods for export also authorises the export to the same end-user of the minimum "technology" required for the installation, operation, maintenance and repair of the goods.
Controls on "technology" transfer do not apply to information "in the public domain" or to "basic scientific research".
GENERAL TECHNOLOGY NOTE (GTN)
(To be read in conjunction with section E of Categories 1 to 9.)
The export of "technology" which is "required" for the "development", "production" or "use" of goods controlled in Categories 1 to 9, is controlled according to the provisions of Categories 1 to 9.
"Technology""required" for the "development", "production" or "use" of goods under control remains under control even when applicable to non-controlled goods.
Controls do not apply to that "technology" which is the minimum necessary for the installation, operation, maintenance (checking) or repair of those goods which are not controlled or whose export has been authorised.
|
Note: |
This does not release such "technology" specified in 1E002.e., 1E002.f., 8E002.a. and 8E002.b. |
Controls on "technology" transfers do not apply to information "in the public domain", to "basic scientific research" or to the minimum necessary information for patent applications.
NUCLEAR SOFTWARE NOTE (NSN)
(This note overrides any control within section D of Category 0)
Section D of Category 0 of this list does not control "software" which is the minimum necessary "object code" for the installation, operation, maintenance (checking) or repair of those items whose export has been authorised.
The approval of goods for export also authorises the export to the same end-user of the minimum necessary "object code" for the installation, operation, maintenance (checking) or repair of the goods
|
Note: |
The Nuclear Software Note does not release "software" specified in Category 5, Part 2 ("Information Security"). |
GENERAL SOFTWARE NOTE (GSN)
(This note overrides any control within section D of Categories 1 to 9.)
Categories 1 to 9 of this list do not control "software" which is any of the following:
|
a. |
Generally available to the public by being:
|
|
b. |
"In the public domain"; or |
|
c. |
The minimum necessary "object code" for the installation, operation, maintenance (checking) or repair of those items whose export has been authorised. |
|
Note: |
Entry c. of the General Software Note does not release "software" specified in Category 5, Part 2 ("Information Security"). |
GENERAL "INFORMATION SECURITY" NOTE (GISN)
"Information security" items or functions should be considered against the provisions in Category 5, Part 2, even if they are components, "software" or functions of other items.
EDITORIAL PRACTICES IN THE OFFICIAL JOURNAL OF THE EUROPEAN UNION
In accordance with the rules set out in the Interinstitutional style guide, for texts in English published in the Official Journal of the European Union:
|
— |
a comma is used to separate the whole number from decimals,
|
The text reproduced in this Annex follows the above-described practice.
ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX
For acronyms and abbreviations used as defined terms, see 'Definitions of Terms used in this Annex'.
ACRONYMS AND ABBREVIATIONS
|
ABEC |
Annular Bearing Engineers Committee |
|
ABMA |
American Bearing Manufacturers Association |
|
ADC |
Analogue-to-Digital Converter |
|
AGMA |
American Gear Manufacturers’ Association |
|
AHRS |
Attitude and Heading Reference Systems |
|
AISI |
American Iron and Steel Institute |
|
ALE |
Atomic Layer Epitaxy |
|
ALU |
Arithmetic Logic Unit |
|
ANSI |
American National Standards Institute |
|
APP |
Adjusted Peak Performance |
|
APU |
Auxiliary Power Unit |
|
ASTM |
American Society for Testing and Materials |
|
ATC |
Air Traffic Control |
|
BJT |
Bipolar Junction Transistors |
|
BPP |
Beam Parameter Product |
|
BSC |
Base Station Controller |
|
CAD |
Computer-Aided-Design |
|
CAS |
Chemical Abstracts Service |
|
CCD |
Charge Coupled Device |
|
CDU |
Control and Display Unit |
|
CEP |
Circular Error Probable |
|
CMM |
Coordinate Measuring Machine |
|
CMOS |
Complementary Metal Oxide Semiconductor |
|
CNTD |
Controlled Nucleation Thermal Deposition |
|
CPLD |
Complex Programmable Logic Device |
|
CPU |
Central Processing Unit |
|
CVD |
Chemical Vapour Deposition |
|
CW |
Chemical Warfare |
|
CW (for lasers) |
Continuous Wave |
|
DAC |
Digital-to-Analogue Converter |
|
DANL |
Displayed Average Noise Level |
|
DBRN |
Data-Base Referenced Navigation |
|
DDS |
Direct Digital Synthesizer |
|
DMA |
Dynamic Mechanical Analysis |
|
DME |
Distance Measuring Equipment |
|
DMOSFET |
Diffused Metal Oxide Semiconductor Field Effect Transistor |
|
DS |
Directionally Solidified |
|
EB |
Exploding Bridge |
|
EB-PVD |
Electron Beam Physical Vapour Deposition |
|
EBW |
Exploding Bridge Wire |
|
ECM |
Electro-Chemical Machining |
|
EDM |
Electrical Discharge Machines |
|
EFI |
Exploding Foil Initiators |
|
EIRP |
Effective Isotropic Radiated Power |
|
EMP |
Electromagnetic Pulse |
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ENOB |
Effective Number of Bits |
|
ERF |
Electrorheological Finishing |
|
ERP |
Effective Radiated Power |
|
ESD |
Electrostatic Discharge |
|
ETO |
Emitter Turn-Off Thyristor |
|
ETT |
Electrical Triggering Thyristor |
|
EU |
European Union |
|
EUV |
Extreme Ultraviolet |
|
FADEC |
Full Authority Digital Engine Control |
|
FFT |
Fast Fourier Transform |
|
FPGA |
Field Programmable Gate Array |
|
FPIC |
Field Programmable Interconnect |
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FPLA |
Field Programmable Logic Array |
|
FPO |
Floating Point Operation |
|
FWHM |
Full-Width Half-Maximum |
|
GLONASS |
Global Navigation Satellite System |
|
GNSS |
Global Navigation Satellite System |
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GPS |
Global Positioning System |
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GSM |
Global System for Mobile Communications |
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GTO |
Gate Turn-off Thyristor |
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HBT |
Hetero-Bipolar Transistors |
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HDMI |
High-Definition Multimedia Interface |
|
HEMT |
High Electron Mobility Transistor |
|
ICAO |
International Civil Aviation Organization |
|
IEC |
International Electro-technical Commission |
|
IED |
Improvised Explosive Device |
|
IEEE |
Institute of Electrical and Electronic Engineers |
|
IFOV |
Instantaneous-Field-Of-View |
|
IGBT |
Insulated Gate Bipolar Transistor |
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IGCT |
Integrated Gate Commutated Thyristor |
|
IHO |
International Hydrographic Organization |
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ILS |
Instrument Landing System |
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IMU |
Inertial Measurement Unit |
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INS |
Inertial Navigation System |
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IP |
Internet Protocol |
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IRS |
Inertial Reference System |
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IRU |
Inertial Reference Unit |
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ISA |
International Standard Atmosphere |
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ISAR |
Inverse Synthetic Aperture Radar |
|
ISO |
International Organization for Standardization |
|
ITU |
International Telecommunication Union |
|
JT |
Joule-Thomson |
|
LIDAR |
Light Detection and Ranging |
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LIDT |
Laser Induced Damage Threshold |
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LOA |
Length Overall |
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LRU |
Line Replaceable Unit |
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LTT |
Light Triggering Thyristor |
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MLS |
Microwave Landing Systems |
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MMIC |
Monolithic Microwave Integrated Circuit |
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MOCVD |
Metal Organic Chemical Vapour Deposition |
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MOSFET |
Metal-Oxide-Semiconductor Field Effect Transistor |
|
MPM |
Microwave Power Module |
|
MRF |
Magnetorheological Finishing |
|
MRF |
Minimum Resolvable Feature size |
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MRI |
Magnetic Resonance Imaging |
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MTBF |
Mean-Time-Between-Failures |
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MTTF |
Mean-Time-To-Failure |
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NA |
Numerical Aperture |
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NDT |
Non-Destructive Test |
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NEQ |
Net Explosive Quantity |
|
NIJ |
National Institute of Justice |
|
OAM |
Operations, Administration or Maintenance |
|
OSI |
Open Systems Interconnection |
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PAI |
Polyamide-imides |
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PAR |
Precision Approach Radar |
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PCL |
Passive Coherent Location |
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PDK |
Process Design Kit |
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PIN |
Personal Identification Number |
|
PMR |
Private Mobile Radio |
|
PVD |
Physical Vapour Deposition |
|
ppm |
parts per million |
|
QAM |
Quadrature-Amplitude-Modulation |
|
QE |
Quantum Efficiency |
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RAP |
Reactive Atom Plasmas |
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RF |
Radio Frequency |
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rms |
root mean square |
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RNC |
Radio Network Controller |
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RNSS |
Regional Navigation Satellite System |
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ROIC |
Read-out Integrated Circuit |
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S-FIL |
Step and Flash Imprint Lithography |
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SAR |
Synthetic Aperture Radar |
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SAS |
Synthetic Aperture Sonar |
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SC |
Single Crystal |
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SCR |
Silicon Controlled Rectifier |
|
SFDR |
Spurious Free Dynamic Range |
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SHPL |
Super High Powered Laser |
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SLAR |
Sidelooking Airborne Radar |
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SOI |
Silicon-on-Insulator |
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SQUID |
Superconducting Quantum Interference Device |
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SRA |
Shop Replaceable Assembly |
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SRAM |
Static Random Access Memory |
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SSB |
Single Sideband |
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SSR |
Secondary Surveillance Radar |
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SSS |
Side Scan Sonar |
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TIR |
Total Indicated Reading |
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TVR |
Transmitting Voltage Response |
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u |
Atomic Mass Unit |
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UPR |
Unidirectional Positioning Repeatability |
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UTS |
Ultimate Tensile Strength |
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UV |
Ultraviolet |
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VJFET |
Vertical Junction Field Effect Transistor |
|
VOR |
Very High Frequency Omni-directional Range |
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WHO |
World Health Organization |
|
WLAN |
Wireless Local Area Network |
DEFINITIONS OF TERMS USED IN THIS ANNEX
PART II – Category 0
CATEGORY 0 - NUCLEAR MATERIALS, FACILITIES AND EQUIPMENT
0A Systems, Equipment and Components
|
0A001 |
"Nuclear reactors" and specially designed or prepared equipment and components therefor, as follows:
|
0B Test, Inspection and Production Equipment
|
0B001 |
Plant for the separation of isotopes of "natural uranium", "depleted uranium" or "special fissile materials", and specially designed or prepared equipment and components therefor, as follows:
|
|
0B002 |
Specially designed or prepared auxiliary systems, equipment and components as follows, for isotope separation plant specified in 0B001, made of or protected by "materials resistant to corrosion by UF6":
|
|
0B003 |
Plant for the conversion of uranium and equipment specially designed or prepared therefor, as follows:
|
|
0B004 |
Plant for the production or concentration of heavy water, deuterium and deuterium compounds and specially designed or prepared equipment and components therefor, as follows:
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|
0B005 |
Plant specially designed for the fabrication of "nuclear reactor" fuel elements and specially designed or prepared equipment therefor.
Technical Note: Specially designed or prepared equipment for the fabrication of "nuclear reactor" fuel elements includes equipment which:
|
|
0B006 |
Plant for the reprocessing of irradiated "nuclear reactor" fuel elements, and specially designed or prepared equipment and components therefor.
|
|
0B007 |
Plant for the conversion of plutonium and equipment specially designed or prepared therefor, as follows:
|
0C Materials
|
0C001 |
"Natural uranium" or "depleted uranium" or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing;
|
|
0C002 |
"Special fissile materials"
|
|
0C003 |
Deuterium, heavy water (deuterium oxide) and other compounds of deuterium, and mixtures and solutions containing deuterium, in which the isotopic ratio of deuterium to hydrogen exceeds 1:5 000. |
|
0C004 |
Graphite having a purity level better than 5 parts per million 'boron equivalent' and with a density greater than 1,50 g/cm3 for use in a "nuclear reactor", in quantities exceeding 1 kg.
|
|
0C005 |
Specially prepared compounds or powders for the manufacture of gaseous diffusion barriers, resistant to corrosion by UF6 (e.g. nickel or alloys containing 60% by weight or more nickel, aluminium oxide and fully fluorinated hydrocarbon polymers), having a purity of 99,9% by weight or more and a particle size less than 10 μm measured by ASTM B330 standard and a high degree of particle size uniformity. |
0D Software
|
0D001 |
"Software" specially designed or modified for the "development", "production" or "use" of goods specified in this Category. |
0E Technology
|
0E001 |
"Technology" according to the Nuclear Technology Note for the "development", "production" or "use" of goods specified in this Category. |
PART III – Category 1
CATEGORY 1 – SPECIAL MATERIALS AND RELATED EQUIPMENT
1A Systems, Equipment and Components
|
1A001 |
Components made from fluorinated compounds, as follows:
|
|
1A002 |
"Composite" structures or laminates, as follows:
|
|
1A003 |
Manufactures of non-"fusible" aromatic polyimides in film, sheet, tape or ribbon form having any of the following:
|
|
1A004 |
Protective and detection equipment and components not specially designed for military use, as follows:
|
|
1A005 |
Body armour and components therefor, as follows:
|
|
1A006 |
Equipment, specially designed or modified for the disposal of Improvised Explosive Devices (IEDs), as follows, and specially designed components and accessories therefor:
Technical Note: For the purposes of 1A006.b. 'disruptors' are devices specially designed for the purpose of preventing the operation of an explosive device by projecting a liquid, solid or frangible projectile.
|
|
1A007 |
Equipment and devices, specially designed to initiate charges and devices containing "energetic materials", by electrical means, as follows:
Technical Notes:
|
|
1A008 |
Charges, devices and components, as follows:
Technical Note: 'Shaped charges' are explosive charges shaped to focus the effects of the explosive blast. |
|
1A102 |
Resaturated pyrolised carbon-carbon components designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104. |
|
1A202 |
Composite structures, other than those specified in 1A002, in the form of tubes and having both of the following characteristics:
|
|
1A225 |
Platinized catalysts specially designed or prepared for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from heavy water or for the production of heavy water. |
|
1A226 |
Specialised packings which may be used in separating heavy water from ordinary water, having both of the following characteristics:
|
|
1A227 |
High-density (lead glass or other) radiation shielding windows, having all of the following characteristics, and specially designed frames therefor:
Technical Note: In 1A227 the term 'cold area' means the viewing area of the window exposed to the lowest level of radiation in the design application. |
1B Test, Inspection and Production Equipment
|
1B001 |
Equipment for the production or inspection of "composite" structures or laminates specified in 1A002 or "fibrous or filamentary materials" specified in 1C010, as follows, and specially designed components and accessories therefor:
Technical Notes:
|
|
1B002 |
Equipment designed to produce metal alloy powder or particulate materials, and having all of the following:
|
|
1B003 |
Tools, dies, moulds or fixtures, for "superplastic forming" or "diffusion bonding" titanium, aluminium or their alloys, specially designed for the manufacture of any of the following:
|
|
1B101 |
Equipment, other than that specified in 1B001, for the "production" of structural composites as follows; and specially designed components and accessories therefor:
|
|
1B102 |
Metal powder "production equipment", other than that specified in 1B002, and components as follows:
|
|
1B115 |
Equipment, other than that specified in 1B002 or 1B102, for the production of propellant and propellant constituents, as follows, and specially designed components therefor:
|
|
1B116 |
Specially designed nozzles for producing pyrolitically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1 573 K (1 300oC) to 3 173 K (2 900oC) temperature range at pressures of 130 Pa to 20 kPa. |
|
1B117 |
Batch mixers having all of the following, and specially designed components therefor:
|
|
1B118 |
Continuous mixers having all of the following, and specially designed components therefor:
|
|
1B119 |
Fluid energy mills usable for grinding or milling substances specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls, and specially designed components therefor. |
|
1B201 |
Filament winding machines, other than those specified in 1B001 or 1B101, and related equipment, as follows:
|
|
1B225 |
Electrolytic cells for fluorine production with an output capacity greater than 250 g of fluorine per hour. |
|
1B226 |
Electromagnetic isotope separators designed for, or equipped with, single or multiple ion sources capable of providing a total ion beam current of 50 mA or greater.
|
|
1B228 |
Hydrogen-cryogenic distillation columns having all of the following characteristics:
Technical Note: In 1B228 'effective length' means the active height of packing material in a packed-type column, or the active height of internal contactor plates in a plate-type column. |
|
1B230 |
Pumps capable of circulating solutions of concentrated or dilute potassium amide catalyst in liquid ammonia (KNH2/NH3), having all of the following characteristics:
|
|
1B231 |
Tritium facilities or plants, and equipment therefor, as follows:
|
|
1B232 |
Turboexpanders or turboexpander-compressor sets having both of the following characteristics:
|
|
1B233 |
Lithium isotope separation facilities or plants, and systems and equipment therefor, as follows:
|
|
1B234 |
High explosive containment vessels, chambers, containers and other similar containment devices designed for the testing of high explosives or explosive devices and having both of the following characteristics:
|
|
1B235 |
Target assemblies and components for the production of tritium as follows:
Technical Note: Components specially designed for target assemblies for the production of tritium may include lithium pellets, tritium getters, and specially-coated cladding. |
1C Materials
Technical Note:
Metals and alloys:
Unless provision to the contrary is made, the words 'metals' and 'alloys' in 1C001 to 1C012 cover crude and semi-fabricated forms, as follows:
Crude forms:
|
|
Anodes, balls, bars (including notched bars and wire bars), billets, blocks, blooms, brickets, cakes, cathodes, crystals, cubes, dice, grains, granules, ingots, lumps, pellets, pigs, powder, rondelles, shot, slabs, slugs, sponge, sticks; |
Semi-fabricated forms (whether or not coated, plated, drilled or punched):
|
a. |
Wrought or worked materials fabricated by rolling, drawing, extruding, forging, impact extruding, pressing, graining, atomising, and grinding, i.e.: angles, channels, circles, discs, dust, flakes, foils and leaf, forging, plate, powder, pressings and stampings, ribbons, rings, rods (including bare welding rods, wire rods, and rolled wire), sections, shapes, sheets, strip, pipe and tubes (including tube rounds, squares, and hollows), drawn or extruded wire; |
|
b. |
Cast material produced by casting in sand, die, metal, plaster or other types of moulds, including high pressure castings, sintered forms, and forms made by powder metallurgy. |
The object of the control should not be defeated by the export of non-listed forms alleged to be finished products but representing in reality crude forms or semi-fabricated forms.
|
1C001 |
Materials specially designed for absorbing electromagnetic radiation, or intrinsically conductive polymers, as follows:
|
|
1C002 |
Metal alloys, metal alloy powder and alloyed materials, as follows:
Technical Notes:
|
|
1C003 |
Magnetic metals, of all types and of whatever form, having any of the following:
|
|
1C004 |
Uranium titanium alloys or tungsten alloys with a "matrix" based on iron, nickel or copper, having all of the following:
|
|
1C005 |
"Superconductive""composite" conductors in lengths exceeding 100 m or with a mass exceeding 100 g, as follows:
Technical Note: For the purpose of 1C005 'filaments' may be in wire, cylinder, film, tape or ribbon form. |
|
1C006 |
Fluids and lubricating materials, as follows:
|
|
1C007 |
Ceramic powders, ceramic-"matrix""composite" materials and 'precursor materials', as follows:
|
|
1C008 |
Non-fluorinated polymeric substances as follows:
Technical Notes:
|
|
1C009 |
Unprocessed fluorinated compounds as follows:
|
|
1C010 |
"Fibrous or filamentary materials", as follows:
Technical Notes:
|
|
1C011 |
Metals and compounds, as follows:
|
|
1C012 |
Materials as follows:
Technical Note: These materials are typically used for nuclear heat sources.
|
|
1C101 |
Materials and devices for reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures, other than those specified in 1C001, usable in 'missiles', "missile" subsystems or unmanned aerial vehicles specified in 9A012 or 9A112.a.
Technical Note: In 1C101 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
1C102 |
Resaturated pyrolised carbon-carbon materials designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104. |
|
1C107 |
Graphite and ceramic materials, other than those specified in 1C007, as follows:
|
|
1C111 |
Propellants and constituent chemicals for propellants, other than those specified in 1C011, as follows:
|
|
1C116 |
Maraging steels, useable in 'missiles', having all of the following:
Technical Note 1: Maraging steels are iron alloy:
Technical Note 2: In 1C116 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
1C117 |
Materials for the fabrication of 'missiles' components as follows:
Technical Note: In 1C117 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
1C118 |
Titanium-stabilised duplex stainless steel (Ti-DSS) having all of the following:
|
|
1C202 |
Alloys, other than those specified in 1C002.b.3. or .b.4., as follows:
Technical Note: The phrase alloys 'capable of' encompasses alloys before or after heat treatment. |
|
1C210 |
'Fibrous or filamentary materials' or prepregs, other than those specified in 1C010.a., .b. or .e., as follows:
|
|
1C216 |
Maraging steel, other than that specified in 1C116, 'capable of' an ultimate tensile strength of 1 950 MPa or more, at 293 K (20oC).
Technical Note: The phrase maraging steel 'capable of' encompasses maraging steel before or after heat treatment. |
|
1C225 |
Boron enriched in the boron-10 (10B) isotope to greater than its natural isotopic abundance, as follows: elemental boron, compounds, mixtures containing boron, manufactures thereof, waste or scrap of any of the foregoing.
Technical Note: The natural isotopic abundance of boron-10 is approximately 18,5 weight per cent (20 atom per cent). |
|
1C226 |
Tungsten, tungsten carbide, and alloys containing more than 90% tungsten by weight, other than that specified in 1C117, having both of the following characteristics:
|
|
1C227 |
Calcium having both of the following characteristics:
|
|
1C228 |
Magnesium having both of the following characteristics:
|
|
1C229 |
Bismuth having both of the following characteristics:
|
|
1C230 |
Beryllium metal, alloys containing more than 50% beryllium by weight, beryllium compounds, manufactures thereof, and waste or scrap of any of the foregoing, other than that specified in the Military Goods Controls.
|
|
1C231 |
Hafnium metal, alloys containing more than 60% hafnium by weight, hafnium compounds containing more than 60% hafnium by weight, manufactures thereof, and waste or scrap of any of the foregoing. |
|
1C232 |
Helium-3 (3He), mixtures containing helium-3, and products or devices containing any of the foregoing.
|
|
1C233 |
Lithium enriched in the lithium-6 (6Li) isotope to greater than its natural isotopic abundance, and products or devices containing enriched lithium, as follows: elemental lithium, alloys, compounds, mixtures containing lithium, manufactures thereof, waste or scrap of any of the foregoing.
Technical Note: The natural isotopic abundance of lithium-6 is approximately 6,5 weight per cent (7,5 atom per cent). |
|
1C234 |
Zirconium with a hafnium content of less than 1 part hafnium to 500 parts zirconium by weight, as follows: metal, alloys containing more than 50% zirconium by weight, compounds, manufactures thereof, waste or scrap of any of the foregoing, other than those specified in 0A001.f.
|
|
1C235 |
Tritium, tritium compounds, mixtures containing tritium in which the ratio of tritium to hydrogen atoms exceeds 1 part in 1 000, and products or devices containing any of the foregoing.
|
|
1C236 |
'Radionuclides' appropriate for making neutron sources based on alpha-n reaction, other than those specified in 0C001 and 1C012.a., in the following forms:
Technical Note: In 1C236 'radionuclides' are any of the following: – Actinium-225 (225Ac) Actinium-227 (227Ac) Californium-253 (253Cf) Curium-240 (240Cm) Curium-241 (241Cm) Curium-242 (242Cm) Curium-243 (243Cm) Curium-244 (244Cm) Einsteinium-253 (253Es) Einsteinium-254 (254Es) Gadolinium-148 (148Gd) Plutonium-236 (236Pu) Plutonium-238 (238Pu) Polonium-208 ( 208Po) Polonium-209 (209Po) Polonium-210 (210Po) Radium-223 (223Ra) Thorium-227 (227Th) Thorium-228 (228Th) Uranium-230 (230U) Uranium-232 (232U) |
|
1C237 |
Radium-226 (226Ra), radium-226 alloys, radium-226 compounds, mixtures containing radium-226, manufactures thereof, and products or devices containing any of the foregoing.
|
|
1C238 |
Chlorine trifluoride (ClF3). |
|
1C239 |
High explosives, other than those specified in the Military Goods Controls, or substances or mixtures containing more than 2% by weight thereof, with a crystal density greater than 1,8 g/cm3 and having a detonation velocity greater than 8 000 m/s. |
|
1C240 |
Nickel powder and porous nickel metal, other than those specified in 0C005, as follows:
Technical Note: 1C240.b. refers to porous metal formed by compacting and sintering the materials in 1C240.a. to form a metal material with fine pores interconnected throughout the structure. |
|
1C241 |
Rhenium, and alloys containing 90% by weight or more rhenium; and alloys of rhenium and tungsten containing 90% by weight or more of any combination of rhenium and tungsten, other than those specified in 1C226, having both of the following characteristics:
|
|
1C350 |
Chemicals, which may be used as precursors for toxic chemical agents, as follows, and "chemical mixtures" containing one or more thereof:
|
|
1C351 |
Human and animal pathogens and "toxins", as follows:
|
|
1C353 |
'Genetic elements' and 'genetically-modified organisms', as follows:
Technical Notes:
|
|
1C354 |
Plant pathogens, as follows:
|
|
1C450 |
Toxic chemicals and toxic chemical precursors, as follows, and "chemical mixtures" containing one or more thereof:
|
1D Software
|
1D001 |
"Software" specially designed or modified for the "development", "production" or "use" of equipment specified in 1B001 to 1B003. |
|
1D002 |
"Software" for the "development" of organic "matrix", metal "matrix" or carbon "matrix" laminates or "composites". |
|
1D003 |
"Software" specially designed or modified to enable equipment to perform the functions of equipment specified in 1A004.c. or 1A004.d. |
|
1D101 |
"Software" specially designed or modified for the operation or maintenance of goods specified in 1B101, 1B102, 1B115, 1B117, 1B118 or 1B119. |
|
1D103 |
"Software" specially designed for analysis of reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures. |
|
1D201 |
"Software" specially designed for the "use" of goods specified in 1B201. |
1E Technology
|
1E001 |
"Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 1A002 to 1A005, 1A006.b., 1A007, 1B or 1C. |
|
1E002 |
Other "technology" as follows:
|
|
1E101 |
"Technology" according to the General Technology Note for the "use" of goods specified in 1A102, 1B001, 1B101, 1B102, 1B115 to 1B119, 1C001, 1C101, 1C107, 1C111 to 1C118, 1D101 or 1D103. |
|
1E102 |
"Technology" according to the General Technology Note for the "development" of "software" specified in 1D001, 1D101 or 1D103. |
|
1E103 |
"Technology" for the regulation of temperature, pressure or atmosphere in autoclaves or hydroclaves, when used for the "production" of "composites" or partially processed "composites". |
|
1E104 |
"Technology" for the "production" of pyrolytically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1 573 K (1 300°C) to 3 173 K (2 900°C) temperature range at pressures of 130 Pa to 20 kPa.
|
|
1E201 |
"Technology" according to the General Technology Note for the "use" of goods specified in 1A002, 1A007, 1A202, 1A225 to 1A227, 1B201, 1B225 to 1B234, 1C002.b.3. or .b.4., 1C010.b., 1C202, 1C210, 1C216, 1C225 to 1C241 or 1D201. |
|
1E202 |
"Technology" according to the General Technology Note for the "development" or "production" of goods specified in 1A007, 1A202 or 1A225 to 1A227. |
|
1E203 |
"Technology" according to the General Technology Note for the "development" of "software" specified in 1D201. |
PART IV – Category 2
CATEGORY 2 - MATERIALS PROCESSING
2A Systems, Equipment and Components
|
N.B. |
For quiet running bearings, see the Military Goods Controls. |
|
2A001 |
Anti-friction bearings, bearing systems and components, as follows:
|
|
2A101 |
Radial ball bearings, other than those specified in 2A001, having all tolerances specified in accordance with ISO 492 Tolerance Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9 or other national equivalents), or better and having all of the following characteristics:
|
|
2A225 |
Crucibles made of materials resistant to liquid actinide metals, as follows:
|
|
2A226 |
Valves having all of the following characteristics:
Technical Note: For valves with different inlet and outlet diameters, the 'nominal size' in 2A226 refers to the smallest diameter. |
2B Test, Inspection and Production Equipment
Technical Notes:
|
1. |
Secondary parallel contouring axes, (e.g., the w-axis on horizontal boring mills or a secondary rotary axis the centre line of which is parallel to the primary rotary axis) are not counted in the total number of contouring axes. Rotary axes need not rotate over 360°. A rotary axis can be driven by a linear device (e.g., a screw or a rack-and-pinion). |
|
2. |
For the purposes of 2B, the number of axes which can be co-ordinated simultaneously for "contouring control" is the number of axes along or around which, during processing of the workpiece, simultaneous and interrelated motions are performed between the workpiece and a tool. This does not include any additional axes along or around which other relative movement within the machine are performed such as:
|
|
3. |
Axis nomenclature shall be in accordance with International Standard ISO 841:2001, Industrial automation systems and integration - Numerical control of machines - Coordinate system and motion nomenclature. |
|
4. |
For the purposes of 2B001 to 2B009 a "tilting spindle" is counted as a rotary axis. |
|
5. |
'Stated "unidirectional positioning repeatability"' may be used for each machine tool model as an alternative to individual machine tests and is determined as follows:
|
|
6. |
For the purposes of 2B001.a. to 2B001.c., measurement uncertainty for the "unidirectional positioning repeatability" of machine tools, as defined in the International Standard ISO 230-2:2014 or national equivalents, shall not be considered. |
|
7. |
For the purpose of 2B001.a. to 2B001.c., the measurement of axes shall be made according to test procedures in 5.3.2. of ISO 230-2:2014. Tests for axes longer than 2 meters shall be made over 2 m segments. Axes longer than 4 m require multiple tests (e.g., two tests for axes longer than 4 m and up to 8 m, three tests for axes longer than 8 m and up to 12 m), each over 2 m segments and distributed in equal intervals over the axis length. Test segments are equally spaced along the full axis length, with any excess length equally divided at the beginning, in between, and at the end of the test segments. The smallest "unidirectional positioning repeatability"-value of all test segments is to be reported. |
|
2B001 |
Machine tools and any combination thereof, for removing (or cutting) metals, ceramics or "composites", which, according to the manufacturer’s technical specification, can be equipped with electronic devices for "numerical control", as follows:
|
|
2B002 |
Numerically controlled optical finishing machine tools equipped for selective material removal to produce non-spherical optical surfaces having all of the following characteristics:
Technical Notes: For the purposes of 2B002:
|
|
2B003 |
"Numerically controlled" machine tools, specially designed for the shaving, finishing, grinding or honing of hardened (Rc=40 or more) spur, helical and double-helical gears having all of the following:
|
|
2B004 |
Hot "isostatic presses" having all of the following, and specially designed components and accessories therefor:
Technical Note: The inside chamber dimension is that of the chamber in which both the working temperature and the working pressure are achieved and does not include fixtures. That dimension will be the smaller of either the inside diameter of the pressure chamber or the inside diameter of the insulated furnace chamber, depending on which of the two chambers is located inside the other.
|
|
2B005 |
Equipment specially designed for the deposition, processing and in-process control of inorganic overlays, coatings and surface modifications, as follows, for substrates specified in column 2, by processes shown in column 1 in the Table following 2E003.f., and specially designed automated handling, positioning, manipulation and control components therefor:
|
|
2B006 |
Dimensional inspection or measuring systems, equipment, position feedback units and "electronic assemblies", as follows:
|
|
2B007 |
"Robots" having any of the following characteristics and specially designed controllers and "end-effectors" therefor:
|
|
2B008 |
'Compound rotary tables' and "tilting spindles", specially designed for machine tools, as follows:
|
|
2B009 |
Spin-forming machines and flow-forming machines, which, according to the manufacturer's technical specification, can be equipped with "numerical control" units or a computer control and having all of the following:
Technical Note: For the purpose of 2B009, machines combining the function of spin-forming and flow-forming are regarded as flow-forming machines. |
|
2B104 |
"Isostatic presses", other than those specified in 2B004, having all of the following:
|
|
2B105 |
Chemical vapour deposition (CVD) furnaces, other than those specified in 2B005.a., designed or modified for the densification of carbon-carbon composites. |
|
2B109 |
Flow-forming machines, other than those specified in 2B009, usable in the "production" of propulsion components and equipment (e.g. motor cases and interstages) for "missiles", and specially designed components as follows:
Technical Note: Machines combining the function of spin-forming and flow-forming are for the purpose of 2B109 regarded as flow-forming machines. |
|
2B116 |
Vibration test systems, equipment and components therefor, as follows:
Technical Note: In 2B116, 'bare table' means a flat table, or surface, with no fixture or fittings. |
|
2B117 |
Equipment and process controls, other than those specified in 2B004, 2B005.a., 2B104 or 2B105, designed or modified for densification and pyrolysis of structural composite rocket nozzles and reentry vehicle nose tips. |
|
2B119 |
Balancing machines and related equipment, as follows:
|
|
2B120 |
Motion simulators or rate tables having all of the following characteristics:
|
|
2B121 |
Positioning tables (equipment capable of precise rotary positioning in any axes), other than those specified in 2B120, having all of the following characteristics:
|
|
2B122 |
Centrifuges capable of imparting accelerations greater than 100 g and designed or modified to incorporate slip rings or integrated non-contact devices capable of transferring electrical power, signal information, or both.
|
|
2B201 |
Machine tools and any combination thereof, other than those specified in 2B001, as follows, for removing or cutting metals, ceramics or "composites", which, according to the manufacturer’s technical specification, can be equipped with electronic devices for simultaneous "contouring control" in two or more axes:
Technical Note: Stated positioning accuracy levels derived under the following procedures from measurements made according to ISO 230-2:1988 (6) or national equivalents may be used for each machine tool model if provided to, and accepted by, national authorities instead of individual machine tests. Determination of stated positioning accuracy:
|
|
2B204 |
"Isostatic presses", other than those specified in 2B004 or 2B104, and related equipment, as follows:
Technical Note: In 2B204 the inside chamber dimension is that of the chamber in which both the working temperature and the working pressure are achieved and does not include fixtures. That dimension will be the smaller of either the inside diameter of the pressure chamber or the inside diameter of the insulated furnace chamber, depending on which of the two chambers is located inside the other. |
|
2B206 |
Dimensional inspection machines, instruments or systems, other than those specified in 2B006, as follows:
Technical Notes: All parameters of measurement values in 2B206 represent plus/minus i.e., not total band. |
|
2B207 |
"Robots", "end-effectors" and control units, other than those specified in 2B007, as follows:
|
|
2B209 |
Flow forming machines, spin forming machines capable of flow forming functions, other than those specified in 2B009 or 2B109, and mandrels, as follows:
|
|
2B219 |
Centrifugal multiplane balancing machines, fixed or portable, horizontal or vertical, as follows:
|
|
2B225 |
Remote manipulators that can be used to provide remote actions in radiochemical separation operations or hot cells, having either of the following characteristics:
Technical Note: Remote manipulators provide translation of human operator actions to a remote operating arm and terminal fixture. They may be of 'master/slave' type or operated by joystick or keypad. |
|
2B226 |
Controlled atmosphere (vacuum or inert gas) induction furnaces, other than those specified in 9B001 and 3B001, and power supplies therefor, as follows:
|
|
2B227 |
Vacuum or other controlled atmosphere metallurgical melting and casting furnaces and related equipment as follows:
|
|
2B228 |
Rotor fabrication or assembly equipment, rotor straightening equipment, bellows-forming mandrels and dies, as follows:
|
|
2B230 |
All types of 'pressure transducers' capable of measuring absolute pressures and having all of the following:
Technical Notes:
|
|
2B231 |
Vacuum pumps having all of the following characteristics:
Technical Notes:
|
|
2B232 |
High-velocity gun systems (propellant, gas, coil, electromagnetic, and electrothermal types, and other advanced systems) capable of accelerating projectiles to 1,5 km/s or greater. |
|
N.B. |
SEE ALSO MILTARY GOODS CONTROLS. |
|
2B233 |
Bellows-sealed scroll-type compressors and bellows-sealed scroll-type vacuum pumps having all of the following:
|
|
2B350 |
Chemical manufacturing facilities, equipment and components, as follows:
Technical Notes:
|
|
2B351 |
Toxic gas monitors and monitoring systems and their dedicated detecting components, other than those specified in 1A004, as follows; and detectors; sensor devices; and replaceable sensor cartridges therefor:
|
|
2B352 |
Biological manufacturing and handling equipment, as follows:
|
2C Materials
None.
2D Software
|
2D001 |
"Software", other than that specified in 2D002, as follows:
|
|
2D002 |
"Software" for electronic devices, even when residing in an electronic device or system, enabling such devices or systems to function as a "numerical control" unit, capable of co-ordinating simultaneously more than four axes for "contouring control".
|
|
2D003 |
"Software", designed or modified for the operation of equipment specified in 2B002, that converts optical design, workpiece measurements and material removal functions into "numerical control" commands to achieve the desired workpiece form. |
|
2D101 |
"Software" specially designed or modified for the "use" of equipment specified in 2B104, 2B105, 2B109, 2B116, 2B117 or 2B119 to 2B122.
|
|
2D201 |
"Software" specially designed for the "use" of equipment specified in 2B204, 2B206, 2B207, 2B209, 2B219 or 2B227. |
|
2D202 |
"Software" specially designed or modified for the "development", "production" or "use" of equipment specified in 2B201.
|
|
2D351 |
"Software", other than that specified in 1D003, specially designed for "use" of equipment specified in 2B351. |
2E Technology
|
2E001 |
"Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 2A, 2B or 2D.
|
|
2E002 |
"Technology" according to the General Technology Note for the "production" of equipment specified in 2A or 2B. |
|
2E003 |
Other "technology", as follows:
|
|
2E101 |
"Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 2B004, 2B009, 2B104, 2B109, 2B116, 2B119 to 2B122 or 2D101. |
|
2E201 |
"Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 2A225, 2A226, 2B001, 2B006, 2B007.b., 2B007.c., 2B008, 2B009, 2B201, 2B204, 2B206, 2B207, 2B209, 2B225 to 2B233, 2D201 or 2D202. |
|
2E301 |
"Technology" according to the General Technology Note for the "use" of goods specified in 2B350 to 2B352.
TABLE - DEPOSITION TECHNIQUES
TABLE - DEPOSITION TECHNIQUES - NOTES
magnetic disk drives and heads, equipment for the manufacture of disposables, valves for faucets, acoustic diaphragms for speakers, engine parts for automobiles, cutting tools, punching-pressing dies, office automation equipment, microphones or medical devices or moulds, for casting or moulding of plastics, manufactured from alloys containing less than 5% beryllium.
TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE Processes specified in Column 1 of the Table are defined as follows:
|
PART V – Category 3
CATEGORY 3 - ELECTRONICS
3A Systems, Equipment and Components
|
Note 1: |
The control status of equipment and components described in 3A001 or 3A002, other than those described in 3A001.a.3. to 3A001.a.10., or 3A001.a.12. to 3A001.a.14., which are specially designed for or which have the same functional characteristics as other equipment is determined by the control status of the other equipment. |
|
Note 2: |
The control status of integrated circuits described in 3A001.a.3. to 3A001.a.9., or 3A001.a.12. to 3A001.a.14., which are unalterably programmed or designed for a specific function for another equipment is determined by the control status of the other equipment.
|
|
Note 3: |
The status of wafers (finished or unfinished), in which the function has been determined, is to be evaluated against the parameters of 3A001.a., 3A001.b., 3A001.d., 3A001.e.4., 3A001.g., 3A001.h., or 3A001.i. |
|
3A001 |
Electronic items as follows:
|
|
3A002 |
General purpose "electronic assemblies", modules and equipment, as follows:
Technical Notes:
|
|
3A003 |
Spray cooling thermal management systems employing closed loop fluid handling and reconditioning equipment in a sealed enclosure where a dielectric fluid is sprayed onto electronic components using specially designed spray nozzles that are designed to maintain electronic components within their operating temperature range, and specially designed components therefor. |
|
3A101 |
Electronic equipment, devices and components, other than those specified in 3A001, as follows:
|
|
3A102 |
'Thermal batteries' designed or modified for 'missiles'.
Technical Notes:
|
|
3A201 |
Electronic components, other than those specified in 3A001, as follows;
|
|
3A225 |
Frequency changers or generators, other than those specified in 0B001.b.13., usable as a variable or fixed frequency motor drive, having all of the following characteristics:
Technical Notes:
|
|
3A226 |
High-power direct current power supplies, other than those specified in 0B001.j.6., having both of the following characteristics:
|
|
3A227 |
High-voltage direct current power supplies, other than those specified in 0B001.j.5., having both of the following characteristics:
|
|
3A228 |
Switching devices, as follows:
|
|
3A229 |
High-current pulse generators as follows:
|
|
3A230 |
High-speed pulse generators, and 'pulse heads' therefor, having both of the following characteristics:
Technical Notes:
|
|
3A231 |
Neutron generator systems, including tubes, having both of the following characteristics:
|
|
3A232 |
Multipoint initiation systems, other than those specified in 1A007, as follows:
|
|
3A233 |
Mass spectrometers, other than those specified in 0B002.g., capable of measuring ions of 230 u or greater and having a resolution of better than 2 parts in 230, as follows, and ion sources therefor:
Technical Notes:
|
|
3A234 |
Striplines to provide low inductance path to detonators with the following characteristics:
|
3B Test, Inspection and Production Equipment
|
3B001 |
Equipment for the manufacturing of semiconductor devices or materials, as follows and specially designed components and accessories therefor:
|
|
3B002 |
Test equipment specially designed for testing finished or unfinished semiconductor devices as follows and specially designed components and accessories therefor:
|
3C Materials
|
3C001 |
Hetero-epitaxial materials consisting of a "substrate" having stacked epitaxially grown multiple layers of any of the following:
|
|
3C002 |
Resist materials as follows and "substrates" coated with the following resists:
|
|
3C003 |
Organo-inorganic compounds as follows:
|
|
3C004 |
Hydrides of phosphorus, arsenic or antimony, having a purity better than 99,999%, even diluted in inert gases or hydrogen.
|
|
3C005 |
High resistivity materials as follows:
|
|
3C006 |
Materials, not specified in 3C001, consisting of a "substrate" specified in 3C005 with at least one epitaxial layer of silicon carbide, gallium nitride, aluminium nitride or aluminium gallium nitride. |
3D Software
|
3D001 |
"Software" specially designed for the "development" or "production" of equipment specified in 3A001.b. to 3A002.h. or 3B. |
|
3D002 |
"Software" specially designed for the "use" of equipment specified in 3B001.a. to f., 3B002 or 3A225 |
|
3D003 |
'Computational lithography' "software" specially designed for the "development" of patterns on EUV-lithography masks or reticles.
Technical Note: 'Computational lithography' is the use of computer modelling to predict, correct, optimise and verify imaging performance of the lithography process over a range of patterns, processes, and system conditions. |
|
3D004 |
"Software" specially designed for the "development" of equipment specified in 3A003. |
|
3D005 |
"Software" specially designed to restore normal operation of a microcomputer, "microprocessor microcircuit" or "microcomputer microcircuit" within 1 ms after an Electromagnetic Pulse (EMP) or Electrostatic Discharge (ESD) disruption, without loss of continuation of operation. |
|
3D101 |
"Software" specially designed or modified for the "use" of equipment specified in 3A101.b. |
|
3D225 |
"Software" specially designed to enhance or release the performance of frequency changers or generators to meet the characteristics of 3A225. |
3E Technology
|
3E001 |
"Technology" according to the General Technology Note for the "development" or "production" of equipment or materials specified in 3A, 3B or 3C;
|
|
3E002 |
"Technology" according to the General Technology Note, other than that specified in 3E001, for the "development" or "production" of a "microprocessor microcircuit", "microcomputer microcircuit" or microcontroller microcircuit core, having an arithmetic logic unit with an access width of 32 bits or more and any of the following features or characteristics:
|
|
3E003 |
Other "technology" for the "development" or "production" of the following:
|
|
3E004 |
"Technology""required" for the slicing, grinding and polishing of 300 mm diameter silicon wafers to achieve a 'Site Front least sQuares Range' ('SFQR') less than or equal to 20 nm at any site of 26 mm x 8 mm on the front surface of the wafer and an edge exclusion less than or equal to 2 mm.
Technical Note: For the purposes of 3E004 'SFQR' is the range of maximum deviation and minimum deviation from front reference plane, calculated by least square method with all front surface data including site boundary within a site. |
|
3E101 |
"Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 3A001.a.1. or 2., 3A101, 3A102 or 3D101. |
|
3E102 |
"Technology" according to the General Technology Note for the "development" of "software" specified in 3D101. |
|
3E201 |
"Technology" according to the General Technology Note for the "use" of equipment specified in 3A001.e.2., 3A001.e.3., 3A001.g., 3A201, 3A225 to 3A234. |
|
3E225 |
"Technology", in the form of codes or keys, to enhance or release the performance of frequency changers or generators to meet the characteristics of 3A225. |
PART VI – Category 4
CATEGORY 4 - COMPUTERS
|
Note 1: |
Computers, related equipment and "software" performing telecommunications or "local area network" functions must also be evaluated against the performance characteristics of Category 5, Part 1 (Telecommunications). |
|
Note 2: |
Control units which directly interconnect the buses or channels of central processing units, 'main storage' or disk controllers are not regarded as telecommunications equipment described in Category 5, Part 1 (Telecommunications).
Technical Note: 'Main storage' is the primary storage for data or instructions for rapid access by a central processing unit. It consists of the internal storage of a "digital computer" and any hierarchical extension thereto, such as cache storage or non-sequentially accessed extended storage. |
4A Systems, Equipment and Components
|
4A001 |
Electronic computers and related equipment, having any of the following and "electronic assemblies" and specially designed components therefor:
|
|
4A003 |
"Digital computers", "electronic assemblies", and related equipment therefor, as follows and specially designed components therefor:
|
|
4A004 |
Computers as follows and specially designed related equipment, "electronic assemblies" and components therefor:
Technical Notes:
|
|
4A005 |
Systems, equipment, and components therefor, specially designed or modified for the generation, command and control, or delivery of "intrusion software". |
|
4A101 |
Analogue computers, "digital computers" or digital differential analysers, other than those specified in 4A001.a.1., which are ruggedized and designed or modified for use in space launch vehicles specified in 9A004 or sounding rockets specified in 9A104. |
|
4A102 |
Hybrid computers specially designed for modelling, simulation or design integration of space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
|
4B Test, Inspection and Production Equipment
None.
4C Materials
None.
4D Software
|
Note: |
The control status of "software" for equipment described in other Categories is dealt with in the appropriate Category. |
|
4D001 |
"Software" as follows:
|
|
4D002 |
Not used |
|
4D003 |
Not used. |
|
4D004 |
"Software" specially designed or modified for the generation, command and control, or delivery of "intrusion software".
|
4E Technology
|
4E001 |
|
TECHNICAL NOTE ON "ADJUSTED PEAK PERFORMANCE" ("APP")
"APP" is an adjusted peak rate at which "digital computers" perform 64-bit or larger floating point additions and multiplications.
"APP" is expressed in Weighted TeraFLOPS (WT), in units of 1012 adjusted floating point operations per second.
Abbreviations used in this Technical Note
|
n |
number of processors in the "digital computer" |
|
i |
processor number (i,...n) |
|
ti |
processor cycle time (ti = 1/Fi) |
|
Fi |
processor frequency |
|
Ri |
peak floating point calculating rate |
|
Wi |
architecture adjustment factor |
Outline of "APP" calculation method
|
1. |
For each processor i, determine the peak number of 64-bit or larger floating point operations, FPOi, performed per cycle for each processor in the "digital computer".
|
|
2. |
Calculate the floating point rate R for each processor Ri = FPOi/ti. |
|
3. |
Calculate "APP" as "APP" = W1 x R1 + W2 x R2 + … + Wn x Rn. |
|
4. |
For 'vector processors', Wi = 0,9. For non-'vector processors', Wi = 0,3. |
|
Note 1: |
For processors that perform compound operations in a cycle, such as addition and multiplication, each operation is counted. |
|
Note 2: |
For a pipelined processor the effective calculating rate R is the faster of the pipelined rate, once the pipeline is full, or the non-pipelined rate. |
|
Note 3: |
The calculating rate R of each contributing processor is to be calculated at its maximum value theoretically possible before the "APP" of the combination is derived. Simultaneous operations are assumed to exist when the computer manufacturer claims concurrent, parallel, or simultaneous operation or execution in a manual or brochure for the computer. |
|
Note 4: |
Do not include processors that are limited to input/output and peripheral functions (e.g., disk drive, communication and video display) when calculating "APP". |
|
Note 5: |
"APP" values are not to be calculated for processor combinations (inter)connected by "Local Area Networks", Wide Area Networks, I/O shared connections/devices, I/O controllers and any communication interconnection implemented by "software". |
|
Note 6: |
"APP" values must be calculated for processor combinations containing processors specially designed to enhance performance by aggregation, operating simultaneously and sharing memory;
Technical Notes:
|
|
Note 7: |
A 'vector processor' is defined as a processor with built-in instructions that perform multiple calculations on floating-point vectors (one-dimensional arrays of 64-bit or larger numbers) simultaneously, having at least 2 vector functional units and at least 8 vector registers of at least 64 elements each. |
PART VII – Category 5
CATEGORY 5 - TELECOMMUNICATIONS AND "INFORMATION SECURITY"
Part 1 - TELECOMMUNICATIONS
|
Note 1: |
The control status of components, test and "production" equipment and "software" therefor which are specially designed for telecommunications equipment or systems is determined in Category 5, Part 1.
|
|
Note 2: |
"Digital computers", related equipment or "software", when essential for the operation and support of telecommunications equipment described in this Category, are regarded as specially designed components, provided they are the standard models customarily supplied by the manufacturer. This includes operation, administration, maintenance, engineering or billing computer systems. |
5A1 Systems, Equipment and Components
|
5A001 |
Telecommunications systems, equipment, components and accessories as follows:
|
|
5A101 |
Telemetry and telecontrol equipment, including ground equipment, designed or modified for 'missiles'.
Technical Note: In 5A101 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.
|
5B1 Test, Inspection and Production Equipment
|
5B001 |
Telecommunications test, inspection and production equipment, components and accessories, as follows:
|
5C1 Materials
None
5D1 Software
|
5D001 |
"Software" as follows:
Technical Notes:
|
|
5D101 |
"Software" specially designed or modified for the "use" of equipment specified in 5A101. |
5E1 Technology
|
5E001 |
"Technology" as follows:
|
|
5E101 |
"Technology" according to the General Technology Note for the "development", "production" or "use" of equipment specified in 5A101. |
Part 2 - "INFORMATION SECURITY"
|
Note 1: |
Not used. |
|
Note 2: |
Category 5, Part 2 does not control products when accompanying their user for the user's personal use. |
|
Note 3: |
Cryptography Note
5A002, 5D002.a.1., 5D002.b. and 5D002.c.1. do not control items as follows:
Note to the Cryptography Note:
|
5A2 Systems, Equipment and Components
|
5A002 |
"Information security" systems, equipment and components, as follows:
|
|
5A003 |
Systems, equipment and components, for non-cryptographic "information security", as follows:
|
|
5A004 |
Systems, equipment and components for defeating, weakening or bypassing "information security", as follows:
|
5B2 Test, Inspection and Production Equipment
|
5B002 |
"Information security" test, inspection and "production" equipment, as follows:
|
5C2 Materials
None.
5D2 Software
|
5D002 |
"Software" as follows:
|
5E2 Technology
|
5E002 |
"Technology" as follows:
|
PART VIII – Category 6
CATEGORY 6 - SENSORS AND LASERS
6A Systems, Equipment and Components
|
6A001 |
Acoustic systems, equipment and components, as follows:
|
|
6A002 |
Optical sensors or equipment and components therefor, as follows:
|
|
6A003 |
Cameras, systems or equipment, and components therefor, as follows:
|
|
6A004 |
Optical equipment and components, as follows:
|
|
6A005 |
"Lasers", other than those specified in 0B001.g.5. or 0B001.h.6., components and optical equipment, as follows:
Technical Note: In 6A005 'Wall-plug efficiency' is defined as the ratio of "laser" output power (or "average output power") to total electrical input power required to operate the "laser", including the power supply/conditioning and thermal conditioning/heat exchanger.
|
|
6A006 |
"Magnetometers", "magnetic gradiometers", "intrinsic magnetic gradiometers", underwater electric field sensors, "compensation systems", and specially designed components therefor, as follows:
Technical Note: For the purposes of 6A006, 'sensitivity' (noise level) is the root mean square of the device-limited noise floor which is the lowest signal that can be measured. |
|
6A007 |
Gravity meters (gravimeters) and gravity gradiometers, as follows:
|
|
6A008 |
Radar systems, equipment and assemblies, having any of the following, and specially designed components therefor:
Technical Notes:
|
|
6A102 |
Radiation hardened 'detectors', other than those specified in 6A002, specially designed or modified for protecting against nuclear effects (e.g. electromagnetic pulse (EMP), X-rays, combined blast and thermal effects) and usable for "missiles", designed or rated to withstand radiation levels which meet or exceed a total irradiation dose of 5 x 105 rads (silicon).
Technical Note: In 6A102, a 'detector' is defined as a mechanical, electrical, optical or chemical device that automatically identifies and records, or registers a stimulus such as an environmental change in pressure or temperature, an electrical or electromagnetic signal or radiation from a radioactive material. This includes devices that sense by one time operation or failure. |
|
6A107 |
Gravity meters (gravimeters) and components for gravity meters and gravity gradiometers, as follows:
|
|
6A108 |
Radar systems, tracking systems and radomes, other than those specified in entry 6A008, as follows:
|
|
6A202 |
Photomultiplier tubes having both of the following characteristics:
|
|
6A203 |
Cameras and components, other than those specified in 6A003, as follows:
|
|
6A205 |
"Lasers", "laser" amplifiers and oscillators, other than those specified in 0B001.g.5., 0B001.h.6. and 6A005, as follows:
|
|
6A225 |
Velocity interferometers for measuring velocities exceeding 1 km/s during time intervals of less than 10 microseconds.
|
|
6A226 |
Pressure sensors, as follows:
|
6B Test, Inspection and Production Equipment
|
6B002 |
Masks and reticles, specially designed for optical sensors specified in 6A002.a.1.b. or 6A002.a.1.d. |
|
6B004 |
Optical equipment as follows:
|
|
6B007 |
Equipment to produce, align and calibrate land-based gravity meters with a static "accuracy" of better than 0,1 mGal. |
|
6B008 |
Pulse radar cross-section measurement systems having transmit pulse widths of 100 ns or less, and specially designed components therefor.
|
|
6B108 |
Systems, other than those specified in 6B008, specially designed for radar cross-section measurement usable for 'missiles' and their subsystems.
Technical Note: In 6B108 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
6C Materials
|
6C002 |
Optical sensor materials as follows:
|
|
6C004 |
Optical materials as follows:
|
|
6C005 |
"Laser" materials as follows:
|
6D Software
|
6D001 |
"Software" specially designed for the "development" or "production" of equipment specified in 6A004, 6A005, 6A008 or 6B008. |
|
6D002 |
"Software" specially designed for the "use" of equipment specified in 6A002.b., 6A008 or 6B008. |
|
6D003 |
Other "software" as follows:
|
|
6D102 |
"Software" specially designed or modified for the "use" of goods specified in 6A108. |
|
6D103 |
"Software" which processes post-flight, recorded data, enabling determination of vehicle position throughout its flight path, specially designed or modified for 'missiles'.
Technical Note: In 6D103 'missiles' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
6D203 |
"Software" specially designed to enhance or release the performance of cameras or imaging devices to meet the characteristics of 6A203.a. to 6A203.c. |
6E Technology
|
6E001 |
"Technology" according to the General Technology Note for the "development" of equipment, materials or "software" specified in 6A, 6B, 6C or 6D. |
|
6E002 |
"Technology" according to the General Technology Note for the "production" of equipment or materials specified in 6A, 6B or 6C. |
|
6E003 |
Other "technology" as follows:
|
|
6E101 |
"Technology" according to the General Technology Note for the "use" of equipment or "software" specified in 6A002, 6A007.b. and .c., 6A008, 6A102, 6A107, 6A108, 6B108, 6D102 or 6D103.
|
|
6E201 |
"Technology" according to the General Technology Note for the "use" of equipment specified in 6A003, 6A005.a.2., 6A005.b.2., 6A005.b.3., 6A005.b.4., 6A005.b.6., 6A005.c.2., 6A005.d.3.c., 6A005.d.4.c., 6A202, 6A203, 6A205, 6A225 or 6A226.
|
|
6E203 |
"Technology", in the form of codes or keys, to enhance or release the performance of cameras or imaging devices to meet the characteristics of 6A203.a. to 6A203.c. |
PART IX – Category 7
CATEGORY 7 - NAVIGATION AND AVIONICS
7A Systems, Equipment and Components
|
N.B. |
For automatic pilots for underwater vehicles, see Category 8.
For radar, see Category 6. |
|
7A001 |
Accelerometers as follows and specially designed components therefor:
|
|
7A002 |
Gyros or angular rate sensors, having any of the following and specially designed components therefor:
|
|
7A003 |
'Inertial measurement equipment or systems', having any of the following:
Technical Note: 'Positional aiding references' independently provide position, and include:
|
|
7A004 |
'Star trackers' and components therefor, as follows:
Technical Note: 'Star trackers' are also referred to as stellar attitude sensors or gyro-astro compasses. |
|
7A005 |
"Satellite navigation system" receiving equipment having any of the following and specially designed components therefor:
|
|
7A006 |
Airborne altimeters operating at frequencies other than 4,2 to 4,4 GHz inclusive and having any of the following:
|
|
7A008 |
Underwater sonar navigation systems using doppler velocity or correlation velocity logs integrated with a heading source and having a positioning "accuracy" of equal to or less (better) than 3% of distance travelled "Circular Error Probable" ("CEP") and specially designed components therefor.
|
|
7A101 |
Linear accelerometers, other than those specified in 7A001, designed for use in inertial navigation systems or in guidance systems of all types, usable in 'missiles', having all of the following characteristics, and specially designed components therefor:
Technical Notes:
|
|
7A102 |
All types of gyros, other than those specified in 7A002, usable in 'missiles', with a rated "drift rate" 'stability' of less than 0,5° (1 sigma or rms) per hour in a 1 g environment and specially designed components therefor.
Technical Notes:
|
|
7A103 |
Instrumentation, navigation equipment and systems, other than those specified in 7A003, as follows; and specially designed components therefor:
Technical Note: In 7A103 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
7A104 |
Gyro-astro compasses and other devices, other than those specified in 7A004, which derive position or orientation by means of automatically tracking celestial bodies or satellites and specially designed components therefor. |
|
7A105 |
Receiving equipment for 'navigation satellite systems', other than those specified in 7A005, having any of the following characteristics, and specially designed components therefor:
Technical Note: In 7A105, 'navigation satellite system' includes Global Navigation Satellite Systems (GNSS; e.g., GPS, GLONASS, Galileo or BeiDou) and Regional Navigation Satellite Systems (RNSS; e.g., NavIC, QZSS). |
|
7A106 |
Altimeters, other than those specified in 7A006, of radar or laser radar type, designed or modified for use in space launch vehicles specified in 9A004 or sounding rockets specified in 9A104. |
|
7A115 |
Passive sensors for determining bearing to specific electromagnetic source (direction finding equipment) or terrain characteristics, designed or modified for use in space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
|
|
7A116 |
Flight control systems and servo valves, as follows; designed or modified for use in space launch vehicles specified in 9A004, sounding rockets specified in 9A104 or "missiles".
|
|
7A117 |
"Guidance sets", usable in "missiles" capable of achieving system accuracy of 3,33% or less of the range (e.g., a 'CEP' of 10 km or less at a range of 300 km).
Technical Note: In 7A117 'CEP' (Circular Error Probable or Circle of Equal Probability) is a measure of accuracy, defined as the radius of the circle centred at the target, at a specific range, in which 50% of the payloads impact. |
7B Test, Inspection and Production Equipment
|
7B001 |
Test, calibration or alignment equipment, specially designed for equipment specified in 7A.
Technical Notes:
|
|
7B002 |
Equipment specially designed to characterize mirrors for ring "laser" gyros, as follows:
|
|
7B003 |
Equipment specially designed for the "production" of equipment specified in 7A.
|
|
7B102 |
Reflectometers specially designed to characterise mirrors, for "laser" gyros, having a measurement accuracy of 50 ppm or less (better). |
|
7B103 |
"Production facilities" and "production equipment" as follows:
|
7C Materials
None.
7D Software
|
7D001 |
"Software" specially designed or modified for the "development" or "production" of equipment specified in 7A or 7B. |
|
7D002 |
"Source code" for the operation or maintenance of any inertial navigation equipment, including inertial equipment not specified in 7A003 or 7A004, or Attitude and Heading Reference Systems ('AHRS').
Technical Note: 'AHRS' generally differ from Inertial Navigation Systems (INS) in that an 'AHRS' provides attitude and heading information and normally does not provide the acceleration, velocity and position information associated with an INS. |
|
7D003 |
Other "software" as follows:
|
|
7D004 |
"Source code" incorporating "development""technology" specified in 7E004.a.2., 7E004.a.3., 7E004.a.5., 7E004.a.6. or 7E004.b., for any of the following:
|
|
7D005 |
"Software" specially designed to decrypt "satellite navigation system" ranging code designed for government use. |
|
7D101 |
"Software" specially designed or modified for the "use" of equipment specified in 7A001 to 7A006, 7A101 to 7A106, 7A115, 7A116.a., 7A116.b., 7B001, 7B002, 7B003, 7B102 or 7B103. |
|
7D102 |
Integration "software" as follows:
|
|
7D103 |
"Software" specially designed for modelling or simulation of the "guidance sets" specified in 7A117 or for their design integration with the space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
|
|
7D104 |
"Software" specially designed or modified for the operation or maintenance of "guidance sets" specified in 7A117.
|
7E Technology
|
7E001 |
"Technology" according to the General Technology Note for the "development" of equipment or "software", specified in 7A, 7B, 7D001, 7D002, 7D003, 7D005 and 7D101 to 7D103.
|
|
7E002 |
"Technology" according to the General Technology Note for the "production" of equipment specified in 7A or 7B. |
|
7E003 |
"Technology" according to the General Technology Note for the repair, refurbishing or overhaul of equipment specified in 7A001 to 7A004.
|
|
7E004 |
Other "technology" as follows:
|
|
7E101 |
"Technology" according to the General Technology Note for the "use" of equipment specified in 7A001 to 7A006, 7A101 to 7A106, 7A115 to 7A117, 7B001, 7B002, 7B003, 7B102, 7B103, 7D101 to 7D103. |
|
7E102 |
"Technology" for protection of avionics and electrical subsystems against electromagnetic pulse (EMP) and electromagnetic interference (EMI) hazards, from external sources, as follows:
|
|
7E104 |
"Technology" for the integration of the flight control, guidance, and propulsion data into a flight management system for optimisation of rocket system trajectory. |
PART X – Category 8
CATEGORY 8 - MARINE
8A Systems, Equipment and Components
|
8A001 |
Submersible vehicles and surface vessels, as follows:
|
|
8A002 |
Marine systems, equipment and components, as follows:
|
8B Test, Inspection and Production Equipment
|
8B001 |
Water tunnels designed to have a background noise of less than 100 dB (reference 1 μPa, 1 Hz) within the frequency range exceeding 0 Hz but not exceeding 500 Hz and designed for measuring acoustic fields generated by a hydro-flow around propulsion system models. |
8C Materials
|
8C001 |
'Syntactic foam' designed for underwater use and having all of the following:
Technical Note: 'Syntactic foam' consists of hollow spheres of plastic or glass embedded in a resin "matrix". |
8D Software
|
8D001 |
"Software" specially designed or modified for the "development", "production" or "use" of equipment or materials, specified in 8A, 8B or 8C. |
|
8D002 |
Specific "software" specially designed or modified for the "development", "production", repair, overhaul or refurbishing (re-machining) of propellers specially designed for underwater noise reduction. |
8E Technology
|
8E001 |
"Technology" according to the General Technology Note for the "development" or "production" of equipment or materials, specified in 8A, 8B or 8C. |
|
8E002 |
Other "technology" as follows:
|
PART XI – Category 9
CATEGORY 9 – AEROSPACE AND PROPULSION
9A Systems, Equipment and Components
|
N.B. |
For propulsion systems designed or rated against neutron or transient ionising radiation, SEE THE MILITARY GOODS CONTROLS. |
|
9A001 |
Aero gas turbine engines having any of the following:
|
|
9A002 |
'Marine gas turbine engines' designed to use liquid fuel and having all of the following, and specially designed assemblies and components therefor:
Technical Note: For the purposes of 9A002, 'corrected specific fuel consumption' is the specific fuel consumption of the engine corrected to a marine distillate liquid fuel having a net specific energy (i.e. net heating value) of 42MJ/kg (ISO 3977-2:1997). |
|
9A003 |
Specially designed assemblies or components, incorporating any of the "technologies" specified in 9E003.a., 9E003.h. or 9E003.i., for any of the following aero gas turbine engines:
|
|
9A004 |
Space launch vehicles, "spacecraft", "spacecraft buses", "spacecraft payloads", "spacecraft" on-board systems or equipment, terrestrial equipment, and air-launch platforms as follows:
|
|
9A005 |
Liquid rocket propulsion systems containing any of the systems or components, specified in 9A006.
|
|
9A006 |
Systems and components, specially designed for liquid rocket propulsion systems, as follows:
|
|
9A007 |
Solid rocket propulsion systems having any of the following:
|
|
9A008 |
Components specially designed for solid rocket propulsion systems, as follows:
|
|
9A009 |
Hybrid rocket propulsion systems having any of the following:
|
|
9A010 |
Specially designed components, systems and structures, for launch vehicles, launch vehicle propulsion systems or "spacecraft", as follows:
|
|
9A011 |
Ramjet, scramjet or 'combined cycle engines', and specially designed components therefor.
Technical Note: For the purposes of 9A011, 'combined cycle engines' combine two or more of the following types of engines:
Ramjet or scramjet; Rocket motor or engine (liquid/gel/solid-propellant and hybrid). |
|
9A012 |
"Unmanned aerial vehicles" ("UAVs"), unmanned "airships", related equipment and components, as follows:
|
|
9A101 |
Turbojet and turbofan engines, other than those specified in 9A001, as follows;
|
|
9A102 |
'Turboprop engine systems' specially designed for unmanned aerial vehicles specified in 9A012 or 9A112.a., and specially designed components therefor, having a 'maximum power' greater than 10 kW.
Technical Notes:
|
|
9A104 |
Sounding rockets, capable of a range of at least 300 km.
|
|
9A105 |
Liquid propellant rocket engines or gel propellant rocket motors, as follows:
|
|
9A106 |
Systems or components, other than those specified in 9A006 as follows, specially designed for liquid rocket propulsion or gel propellant rocket systems:
|
|
9A107 |
Solid propellant rocket motors, usable in complete rocket systems or unmanned aerial vehicles, capable of a range of 300 km, other than those specified in 9A007, having total impulse capacity equal to or greater than 0,841 MNs.
|
|
9A108 |
Components, other than those specified in 9A008, as follows, specially designed for solid and hybrid rocket propulsion systems:
|
|
9A109 |
Hybrid rocket motors and specially designed components as follows:
|
|
9A110 |
Composite structures, laminates and manufactures thereof, other than those specified in 9A010, specially designed for use in 'missiles' or the subsystems specified in 9A005, 9A007, 9A105, 9A106.c., 9A107, 9A108.c., 9A116 or 9A119.
Technical Note: In 9A110 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
9A111 |
Pulse jet or detonation engines, usable in "missiles" or unmanned aerial vehicles specified in 9A012 or 9A112.a., and specially designed components therefor.
Technical Note: In 9A111 detonation engines utilise detonation to produce a rise in effective pressure across the combustion chamber. Examples of detonation engines include pulse detonation engines, rotating detonation engines or continuous wave detonation engines. |
|
9A112 |
"Unmanned aerial vehicles" ("UAVs"), other than those specified in 9A012, as follows:
|
|
9A115 |
Launch support equipment as follows:
|
|
9A116 |
Reentry vehicles, usable in "missiles", and equipment designed or modified therefor, as follows:
|
|
9A117 |
Staging mechanisms, separation mechanisms, and interstages, usable in "missiles".
N.B. SEE ALSO 9A121. |
|
9A118 |
Devices to regulate combustion usable in engines, which are usable in "missiles" or unmanned aerial vehicles specified in 9A012 or 9A112.a., specified in 9A011 or 9A111. |
|
9A119 |
Individual rocket stages, usable in complete rocket systems or unmanned aerial vehicles, capable of a range of 300 km, other than those specified in 9A005, 9A007, 9A009, 9A105, 9A107 and 9A109. |
|
9A120 |
Liquid or gel propellant tanks, other than those specified in 9A006, specially designed for propellants specified in 1C111 or 'other liquid or gel propellants' used in rocket systems capable of delivering at least a 500 kg payload to a range of at least 300 km.
|
|
9A121 |
Umbilical and interstage electrical connectors specially designed for "missiles", space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
Technical Note: Interstage connectors referred to in 9A121 also include electrical connectors installed between the "missile", space launch vehicle or sounding rocket and their payload. |
|
9A350 |
Spraying or fogging systems, specially designed or modified for fitting to aircraft, "lighter-than-air vehicles" or unmanned aerial vehicles, and specially designed components therefor, as follows:
Technical Notes:
|
9B Test, Inspection and Production Equipment
|
9B001 |
Manufacturing equipment, tooling or fixtures, as follows:
|
|
9B002 |
On-line (real time) control systems, instrumentation (including sensors) or automated data acquisition and processing equipment, having all of the following:
|
|
9B003 |
Equipment specially designed for the "production" or test of gas turbine brush seals designed to operate at tip speeds exceeding 335 m/s and temperatures in excess of 773 K (500°C), and specially designed components or accessories therefor. |
|
9B004 |
Tools, dies or fixtures, for the solid state joining of "superalloy", titanium or intermetallic airfoil-to-disk combinations described in 9E003.a.3. or 9E003.a.6. for gas turbines. |
|
9B005 |
On-line (real time) control systems, instrumentation (including sensors) or automated data acquisition and processing equipment, specially designed for use with any of the following:
|
|
9B006 |
Acoustic vibration test equipment capable of producing sound pressure levels of 160 dB or more (referenced to 20 μPa) with a rated output of 4 kW or more at a test cell temperature exceeding 1 273 K (1 000°C), and specially designed quartz heaters therefor.
|
|
9B007 |
Equipment specially designed for inspecting the integrity of rocket motors and using Non-Destructive Test (NDT) techniques other than planar x-ray or basic physical or chemical analysis. |
|
9B008 |
Direct measurement wall skin friction transducers specially designed to operate at a test flow total (stagnation) temperature exceeding 833 K (560°C). |
|
9B009 |
Tooling specially designed for producing gas turbine engine powder metallurgy rotor components having all of the following:
|
|
9B010 |
Equipment specially designed for the production of items specified in 9A012. |
|
9B105 |
'Aerodynamic test facilities' for speeds of Mach 0,9 or more, usable for 'missiles' and their subsystems.
Technical Notes:
|
|
9B106 |
Environmental chambers and anechoic chambers, as follows:
|
|
9B107 |
'Aerothermodynamic test facilities', usable for 'missiles', 'missile' rocket propulsion systems, and reentry vehicles and equipment specified in 9A116, having any of the following characteristics:
Technical Notes:
|
|
9B115 |
Specially designed "production equipment" for the systems, sub-systems and components specified in 9A005 to 9A009, 9A011, 9A101, 9A102, 9A105 to 9A109, 9A111, 9A116 to 9A120. |
|
9B116 |
Specially designed "production facilities" for the space launch vehicles specified in 9A004, or systems, sub-systems, and components specified in 9A005 to 9A009, 9A011, 9A101, 9A102, 9A104 to 9A109, 9A111, 9A116 to 9A120 or 'missiles'.
Technical Note: In 9B116 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
9B117 |
Test benches or test stands for solid or liquid propellant rockets or rocket motors, having either of the following characteristics:
|
9C Materials
|
9C108 |
"Insulation" material in bulk form and "interior lining", other than those specified in 9A008, for rocket motor cases usable in "missiles" or specially designed for solid propellant rocket engines specified in 9A007 or 9A107. |
|
9C110 |
Resin impregnated fibre prepregs and metal coated fibre preforms therefor, for composite structures, laminates and manufactures specified in 9A110, made either with organic matrix or metal matrix utilising fibrous or filamentary reinforcements having a "specific tensile strength" greater than 7,62 x 104 m and a "specific modulus" greater than 3,18 x 106 m.
|
9D Software
|
9D001 |
"Software", not specified in 9D003 or 9D004, specially designed or modified for the "development" of equipment or "technology", specified in 9A001 to 9A119, 9B or 9E003. |
|
9D002 |
"Software", not specified in 9D003 or 9D004, specially designed or modified for the "production" of equipment specified in 9A001 to 9A119 or 9B. |
|
9D003 |
"Software" incorporating "technology" specified in 9E003.h. and used in "FADEC Systems" for systems specified in 9A or equipment specified in 9B. |
|
9D004 |
Other "software" as follows:
|
|
9D005 |
"Software" specially designed or modified for the operation of items specified in 9A004.e. or 9A004.f.
|
|
9D101 |
"Software" specially designed or modified for the "use" of goods specified in 9B105, 9B106, 9B116 or 9B117. |
|
9D103 |
"Software" specially designed for modelling, simulation or design integration of the space launch vehicles specified in 9A004, sounding rockets specified in 9A104 or "missiles", or the subsystems specified in 9A005, 9A007, 9A105, 9A106.c., 9A107, 9A108.c., 9A116 or 9A119.
|
|
9D104 |
"Software" as follows:
|
|
9D105 |
"Software" specially designed or modified to coordinate the function of more than one subsystem, other than that specified in 9D004.e., in space launch vehicles specified in 9A004 or sounding rockets specified in 9A104 or 'missiles'
Technical Note: In 9D105 'missile' means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
9E Technology
|
Note: |
"Development" or "production""technology" specified in 9E001 to 9E003 for gas turbine engines remains controlled when used for repair or overhaul. Excluded from control are: technical data, drawings or documentation for maintenance activities directly associated with calibration, removal or replacement of damaged or unserviceable line replaceable units, including replacement of whole engines or engine modules. |
|
9E001 |
"Technology" according to the General Technology Note for the "development" of equipment or "software", specified in 9A001.b., 9A004 to 9A012, 9A350, 9B or 9D. |
|
9E002 |
"Technology" according to the General Technology Note for the "production" of equipment specified in 9A001.b., 9A004 to 9A011, 9A350 or 9B.
|
|
9E003 |
Other "technology" as follows:
|
|
9E101 |
|
|
9E102 |
"Technology" according to the General Technology Note for the "use" of space launch vehicles specified in 9A004, goods specified in 9A005 to 9A011, 'UAV's specified in 9A012 or goods specified in 9A101, 9A102, 9A104 to 9A111, 9A112.a., 9A115 to 9A121, 9B105, 9B106, 9B115, 9B116, 9B117, 9D101 or 9D103.
Technical Note: In 9E102 'UAV' means unmanned aerial vehicle systems capable of a range exceeding 300 km. |
(1) https://www.australiagroup.net/
(2) http://mtcr.info/
(3) http://www.nuclearsuppliersgroup.org/
(4) http://www.wassenaar.org/
(5) https://www.opcw.org/chemical-weapons-convention
(6) Manufacturers calculating positioning accuracy in accordance with ISO 230-2:1997 or 2006 should consult the competent authorities of the EU Member State in which they are established.
(7) The numbers in parenthesis refer to the Notes following this Table.
ANNEX II
UNION GENERAL EXPORT AUTHORISATIONS
The following sections set out the Union general export authorisations for certain exports.
A. EXPORTS TO AUSTRALIA, CANADA, ICELAND, JAPAN, NEW ZEALAND, NORWAY, SWITZERLAND, INCLUDING LIECHTENSTEIN, THE UNITED KINGDOM AND THE UNITED STATES
UNION GENERAL EXPORT AUTHORISATION No EU001
(referred to in point (d) of Article 12(1) of this Regulation)
Exports to Australia, Canada, Iceland, Japan, New Zealand, Norway, Switzerland, including Liechtenstein, the United Kingdom and the United States
Issuing authority: European Union
Part 1 – Items
This authorisation covers all dual-use items specified in any entry in Annex I, except those listed in Section I of this Annex.
Part 2 – Destinations
This authorisation is valid throughout the customs territory of the Union for exports to the following destinations:
|
— |
Australia, |
|
— |
Canada, |
|
— |
Iceland, |
|
— |
Japan, |
|
— |
New Zealand, |
|
— |
Norway, |
|
— |
Switzerland, including Liechtenstein, |
|
— |
United Kingdom (without prejudice to the application of this Regulation to and in the United Kingdom in respect of Northern Ireland, in accordance with point 47 of Annex 2 to the Protocol on Ireland/Northern Ireland (the “Protocol”) annexed to the Agreement on the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union and the European Atomic Energy Community (1), listing the provisions of Union law referred to in Article 5(4) of the Protocol), |
|
— |
United States. |
Part 3 – Conditions and requirements for use
|
1. |
This authorisation does not authorise the export of items where:
|
|
2. |
The exporter shall declare that the items are being exported under Union general export authorisation No EU001 in the customs declaration. |
|
3. |
The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is resident or established of the first use of this authorisation within 30 days from the date when the first export took place or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the exporter is resident or established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State from which the export is made might require on items exported under this authorisation shall be defined by Member States. A Member State may require exporters resident or established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authority to the exporter without delay and in any case within 10 working days of receipt, subject to Article 12(7) of this Regulation. Where applicable, the requirements set out in the second and third subparagraphs shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations. |
B. EXPORTS OF CERTAIN DUAL-USE ITEMS TO CERTAIN DESTINATIONS
UNION GENERAL EXPORT AUTHORISATION No EU002
(referred to in point (d) of Article 12(1) of this Regulation)
Exports of certain dual-use items to certain destinations
Issuing authority: European Union
Part 1 — Items
This authorisation covers the following dual-use items specified in Annex I:
|
— |
1A001, |
|
— |
1A003, |
|
— |
1A004, |
|
— |
1C003.b., |
|
— |
1C003.c., |
|
— |
1C004, |
|
— |
1C005, |
|
— |
1C006, |
|
— |
1C008, |
|
— |
1C009, |
|
— |
2B008, |
|
— |
3A001.a.3., |
|
— |
3A001.a.6., |
|
— |
3A001.a.7., |
|
— |
3A001.a.9., |
|
— |
3A001.a.10., |
|
— |
3A001.a.11., |
|
— |
3A001.a.12., |
|
— |
3A002.c., |
|
— |
3A002.d., |
|
— |
3A002.e., |
|
— |
3A002.f., |
|
— |
3C001, |
|
— |
3C002, |
|
— |
3C003, |
|
— |
3C004, |
|
— |
3C005, |
|
— |
3C006. |
Part 2 — Destinations
This authorisation is valid throughout the customs territory of the Union for exports to the following destinations:
|
— |
Argentina, |
|
— |
South Africa, |
|
— |
South Korea, |
|
— |
Turkey. |
Part 3 — Conditions and requirements for use
|
1. |
This authorisation does not authorise the export of items where:
|
|
2. |
The exporter shall declare that the items are being exported under Union general export authorisation No EU002 in the customs declaration. |
|
3. |
The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is resident or established of the first use of this authorisation within 30 days from the date when the first export took place or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the exporter is resident or established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State from which the export is made might require on items exported under this authorisation are defined by Member States. A Member State may require exporters resident or established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authority to the exporter without delay and in any case within 10 working days of receipt, subject to Article 12(7) of this Regulation. Where applicable, the requirements set out in the second and third subparagraphs shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations. |
C. EXPORT AFTER REPAIR/REPLACEMENT
UNION GENERAL EXPORT AUTHORISATION No EU003
(referred to in point (d) of Article 12(1) of this Regulation)
Export after repair/replacement
Issuing authority: European Union
Part 1 — Items
|
1. |
This authorisation covers all dual-use items specified in any entry in Annex I, except those listed in paragraph 2 of this Section where:
|
|
2. |
Items excluded:
|
Part 2 — Destinations
This authorisation is valid throughout the customs territory of the Union for exports to the following destinations:
|
— |
Albania, |
|
— |
Argentina, |
|
— |
Bosnia and Herzegovina, |
|
— |
Brazil, |
|
— |
Chile, |
|
— |
China (including Hong Kong and Macao), |
|
— |
French overseas territories, |
|
— |
India, |
|
— |
Kazakhstan, |
|
— |
Mexico, |
|
— |
Montenegro, |
|
— |
Morocco, |
|
— |
North Macedonia, |
|
— |
Russia, |
|
— |
Serbia, |
|
— |
Singapore, |
|
— |
South Africa, |
|
— |
South Korea, |
|
— |
Tunisia, |
|
— |
Turkey, |
|
— |
Ukraine, |
|
— |
United Arab Emirates. |
Part 3 — Conditions and requirements for use
|
1. |
This authorisation can only be used when the initial export has taken place under a Union general export authorisation or an initial export authorisation has been granted by the competent authority of the Member State where the original exporter was resident or established for the export of the items which have subsequently been reimported into the customs territory of the Union for the purposes of maintenance, repair or replacement. This authorisation is valid only for exports to the original end-user. |
|
2. |
This authorisation does not authorise the export of items where:
|
|
3. |
On exportation of any of the items pursuant to this authorisation, exporters shall:
|
|
4. |
The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is resident or established of the first use of this authorisation within 30 days from the date when the first export took place or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the exporter is resident or established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State from which the export is made might require on items exported under this authorisation shall be defined by Member States. A Member State may require exporters resident or established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authority to the exporter without delay and in any case within 10 working days of receipt, subject to Article 12(7) of this Regulation. Where applicable, the requirements set out in the second and third subparagraphs shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations. |
|
5. |
This authorisation covers items for “repair”, “replacement” and “maintenance”, including coincidental improvements to the original goods, e.g. resulting from the use of modern spare parts or from use of a later built standard for reliability or safety reasons, provided that this does not result in any enhancement to the functional capability of the items or provide the items with new or additional functions. |
D. TEMPORARY EXPORT FOR EXHIBITION OR FAIR
UNION GENERAL EXPORT AUTHORISATION No EU004
(referred to in point (d) of Article 12(1) of this Regulation)
Temporary export for exhibition or fair
Issuing authority: European Union
Part 1 — Items
This authorisation covers all dual-use items specified in any entry in Annex I, except:
|
(a) |
all items listed in Section I of this Annex; |
|
(b) |
all items listed in Section D of each Category of Annex I (this does not include software necessary to the proper functioning of the equipment for the purpose of the demonstration); |
|
(c) |
all items listed in Section E of each category of Annex I; |
|
(d) |
the following items specified in Annex I:
|
Part 2 — Destinations
This authorisation is valid throughout the customs territory of the Union for exports to the following destinations:
|
— |
Albania, |
|
— |
Argentina, |
|
— |
Bosnia and Herzegovina, |
|
— |
Brazil, |
|
— |
Chile, |
|
— |
China (including Hong Kong and Macao), |
|
— |
French overseas territories, |
|
— |
India, |
|
— |
Kazakhstan, |
|
— |
Mexico, |
|
— |
Montenegro, |
|
— |
Morocco, |
|
— |
North Macedonia, |
|
— |
Russia, |
|
— |
Serbia, |
|
— |
Singapore, |
|
— |
South Africa, |
|
— |
South Korea, |
|
— |
Tunisia, |
|
— |
Turkey, |
|
— |
Ukraine, |
|
— |
United Arab Emirates. |
Part 3 — Conditions and requirements for use
|
1. |
This authorisation authorises the export of items listed in Part 1 on condition that the export concerns temporary export for an exhibition or fair as defined in paragraph 6 of this Part and that the items are reimported within a period of 120 days after the initial export, complete and without modification, into the customs territory of the Union. |
|
2. |
The competent authority of the Member State where the exporter is resident or established may, at the exporter’s request, waive the requirement that the items are to be reimported as stated in paragraph 1. To waive the requirement, the procedure for individual authorisations laid down in Article 12(2) of this Regulation shall apply accordingly. |
|
3. |
This authorisation does not authorise the export of items where:
|
|
4. |
The exporter shall declare that the items are being exported under Union general export authorisation No EU004 in the customs declaration. |
|
5. |
The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is resident or established of the first use of this authorisation within 30 days from the date when the first export took place or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the exporter is resident or established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State from which the export is made might require on items exported under this authorisation are defined by Member States. A Member State may require exporters resident or established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authority to the exporter without delay and in any case within 10 working days of receipt, subject to Article 12(7) of this Regulation. Where applicable, the requirements set out in the second and third subparagraphs shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations. |
|
6. |
For the purpose of this authorisation, “exhibition or fair” means commercial events of a specific duration at which several exhibitors make demonstrations of their products to trade visitors or to the general public. |
E. TELECOMMUNICATIONS
UNION GENERAL EXPORT AUTHORISATION No EU005
(referred to in point (d) of Article 12(1) of this Regulation)
Telecommunications
Issuing authority: European Union
Part 1 — Items
This authorisation covers the following dual-use items specified in Annex I:
|
(a) |
the following items of Category 5, Part l:
|
|
(b) |
technology controlled by 5E001.a., where required for the installation, operation, maintenance or repair of items specified under point (a) and intended for the same end-user. |
Part 2 — Destinations
This authorisation is valid throughout the customs territory of the Union for exports to the following destinations:
|
— |
Argentina, |
|
— |
China (including Hong Kong and Macao), |
|
— |
India, |
|
— |
South Africa, |
|
— |
South Korea, |
|
— |
Russia, |
|
— |
Turkey, |
|
— |
Ukraine. |
Part 3 — Conditions and requirements for use
|
1. |
This authorisation does not authorise the export of items where:
|
|
2. |
The exporter shall declare that the items are being exported under Union general export authorisation No EU005 in the customs declaration. |
|
3. |
The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is resident or established of the first use of this authorisation within 30 days from the date when the first export took place or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the exporter is resident or established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State from which the export is made might require on items exported under this authorisation are defined by Member States. A Member State may require exporters resident or established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authority to the exporter without delay and in any case within 10 working days of receipt, subject to Article 12(7) of this Regulation. Where applicable, the requirements set out in the second and third subparagraphs shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations. |
F. CHEMICALS
UNION GENERAL EXPORT AUTHORISATION No EU006
(referred to in point (d) of Article 12(1) of this Regulation)
Chemicals
Issuing authority: European Union
Part 1 — Items
This authorisation covers the following dual-use items specified in Annex I:
|
|
1C350:
|
|
|
1C450.a.:
|
|
|
1C450.b.:
|
Part 2 — Destinations
This authorisation is valid throughout the customs territory of the Union for exports to the following destinations:
|
— |
Argentina, |
|
— |
South Korea, |
|
— |
Turkey, |
|
— |
Ukraine. |
Part 3 — Conditions and requirements for use
|
1. |
This authorisation does not authorise the export of items where:
|
|
2. |
The exporter shall declare that the items are being exported under Union general export authorisation No EU006 in the customs declaration. |
|
3. |
The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is resident or established of the first use of this authorisation within 30 days from the date when the first export took place or, alternatively, and in accordance with a requirement by the competent authority of the Member State where the exporter is resident or established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State from which the export is made might require on items exported under this authorisation shall be defined by Member States. A Member State may require exporters resident or established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authority to the exporter without delay and in any case within 10 working days of receipt, subject to Article 12(7) of this Regulation. Where applicable, the requirements set out in the second and third subparagraphs shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations. |
G. INTRA-GROUP EXPORT OF SOFTWARE AND TECHNOLOGY
UNION GENERAL EXPORT AUTHORISATION No EU007
(referred to in point (d) of Article 12(1) of this Regulation)
Intra-group export of software and technology
Issuing authority: European Union
Part 1 – Items
This authorisation covers all technology and software specified in Annex I, except those listed in Section I of this Annex and technology and software related to items under 4A005, 4D004, 4E001.c, 5A001.f and 5A001.j.
Part 2 – Destinations
This authorisation is valid throughout the customs territory of the Union for exports of software and technology to the following destinations:
|
— |
Argentina, |
|
— |
Brazil, |
|
— |
Chile, |
|
— |
India, |
|
— |
Indonesia, |
|
— |
Israel, |
|
— |
Jordan, |
|
— |
Malaysia, |
|
— |
Mexico, |
|
— |
Morocco, |
|
— |
Philippines, |
|
— |
Singapore, |
|
— |
South Africa, |
|
— |
South Korea, |
|
— |
Thailand, |
|
— |
Tunisia. |
Part 3 – Conditions and requirements for use
|
1. |
This authorisation authorises the export of software and technology listed in Part 1 by any exporter that is a legal person established in a Member State to a company wholly owned and controlled by the exporter (subsidiary) or to a company directly and wholly owned and controlled by the same parent company as the exporter (sister company), provided that:
|
|
2. |
This authorisation does not authorise the export of software and technology where:
|
|
3. |
The exporter intending to use this authorisation shall implement an Internal Compliance Programme. |
|
4. |
The exporter shall declare that the items are being exported under Union general export authorisation No EU007 in the customs declaration in the case of tangible export of software or technology. |
|
5. |
The exporter intending to use this authorisation shall register prior to the first use of this authorisation with the competent authority of the Member State where the exporter is established.
Registration shall be automatic and acknowledged by the competent authority to the exporter within 10 working days of receipt. |
|
6. |
The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is established of the first use of this authorisation no later than 30 days prior to the date of the first export. |
|
7. |
The exporter who uses this authorisation shall report to the competent authority of the Member State where the exporter is established on the use of this authorisation. The report on the use of this authorisation shall be produced at least once per year and shall include at least information regarding:
Additional information that the Member State from which the export is made might require on items exported under this authorisation shall be defined by Member States. |
H. ENCRYPTION
UNION GENERAL EXPORT AUTHORISATION No EU008
(referred to in point (d) of Article 12(1) of this Regulation)
Encryption
Issuing authority: European Union
Part 1 — Items
|
1. |
This authorisation covers dual-use items specified in Annex I, as follows:
|
|
2. |
This authorisation shall be valid only if the items meet all of the following conditions:
|
|
3. |
This authorisation shall not be used if:
|
Part 2 — Destinations
This authorisation is valid throughout the customs territory of the Union for exports to all destinations, excluding:
|
(a) |
destinations eligible for export under Union general export authorisation No EU001; |
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(b) |
Afghanistan, Armenia, Azerbaijan, Belarus, Cambodia, Central African Republic, China (including Hong Kong and Macao), Congo, Democratic Republic of the Congo, Egypt, Eritrea, Georgia, Iran, Iraq, Israel, Kazakhstan, Kyrgyzstan, Lebanon, Libya, Malaysia, Mali, Mauritius, Mongolia, Myanmar/Burma, North Korea, Oman, Pakistan, Qatar, Russia, Saudi Arabia, Somalia, South Sudan, Sudan, Syria, Tajikistan, Turkmenistan, United Arab Emirates, Uzbekistan, Venezuela, Yemen, Zimbabwe; |
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(c) |
any destination, other than those listed in point (b), subject to an arms embargo or subject to restrictive measures of the Union applicable to dual-use items. |
Part 3 — Conditions and requirements for use
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1. |
This authorisation does not authorise the export of items where:
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2. |
Where a customs declaration is required, the exporter shall declare that the items are being exported under Union general export authorisation No EU008 in the customs declaration. |
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3. |
The exporter intending to use this authorisation shall register prior to the first use of this authorisation with the competent authority of the Member State where the exporter is resident or established. Registration shall be automatic and acknowledged by the competent authority to the exporter within 10 working days of receipt. |
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4. |
The registered exporter shall notify the first use of this authorisation to the competent authority of the Member State where the registered exporter is resident or established, no later than 10 days before the date of the first export. |
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5. |
The exporter shall, at the request of the competent authority of the Member State where the exporter is resident or established, submit technical data of any export planned or conducted under this authorisation. If such technical data has been requested in relation to a specific item and the technical data changes, the exporter shall notify the competent authority of this without delay. The technical data shall include at least the following information regarding the item:
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6. |
The competent authority of the Member State where the exporter is resident or established may, for reasons of national security, prohibit the exporter from using this Union general export authorisation for any item mentioned in Part 1. The Member State concerned shall inform the Commission and the other Member States on the use of this provision. |
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7. |
The registered exporter shall at the request of the competent authority of the Member State where the registered exporter is resident or established report on the use of this authorisation. Upon request, the report on the use of this authorisation shall be produced at least once per year and shall include at least the following information:
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I. LIST REFERRED TO IN POINT (A) OF ARTICLE 12(6) OF THIS REGULATION AND SECTIONS A, C, D AND G OF THIS ANNEX
The entries do not always provide a complete description of the items and the related notes in Annex I. Only Annex I provides a complete description of the items.
The mention of an item in this Section does not affect the application of the General Software Note (GSN) set out in Annex I.
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— |
all items specified in Annex IV, |
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— |
0C001 “Natural uranium” or “depleted uranium” or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing, |
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— |
0C002 “Special fissile materials” other than those specified in Annex IV, |
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— |
0D001 “Software” specially designed or modified for the “development”, “production” or “…” of goods specified in Category 0, in so far as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV, |
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— |
0E001 “Technology” in accordance with the Nuclear Technology Note for the “development”, “production” or “…” of goods specified in Category 0, in so far as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV, |
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— |
1A102 Resaturated pyrolised carbon-carbon components designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104, |
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— |
1C351 Human and animal pathogens and “toxins”, |
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— |
1C353 Genetic elements and genetically modified organisms, |
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— |
1C354 Plant pathogens, |
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— |
1C450.a.1. Amiton: O,O-Diethyl S-[2-(diethylamino)ethyl] phosphorothiolate (78-53-5) and corresponding alkylated or protonated salts, |
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— |
1C450.a.2. PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene (382-21-8), |
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— |
7E104 “Technology” for the integration of flight control, guidance and propulsion data into a flight management system for optimisation of rocket system trajectory, |
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— |
9A009.a. Hybrid rocket propulsion systems with total impulse capacity exceeding 1.1 MNs, |
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— |
9A117 Staging mechanisms, separation mechanisms and interstages usable in “missiles”. |
(1) Agreement on the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union and the European Atomic Energy Community (OJ L 29, 31.1.2020, p. 7).
ANNEX III
MODELS FOR AUTHORISATION FORMS
A. Model for individual or global export authorisation forms
(referred to in Article 12(2) of this Regulation)
When granting the export authorisations, Member States will strive to ensure the visibility of the nature of the authorisation (individual or global) on the form issued.
This export authorisation is valid in all Member States of the European Union until its expiry date.
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EUROPEAN UNION |
EXPORT OF DUAL-USE ITEMS (Reg. (EU) 2021/821) |
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Available for pre-printed information At discretion of Member States |
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For completion by issuing authority Signature Issuing Authority |
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Note: In part 1 of column 24, write the quantity still available and in part 2 of column 24, write the quantity deducted on this occasion. |
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B. Model for brokering services / technical assistance authorisation forms
(referred to in Article 13(5) of this Regulation)
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EUROPEAN UNION |
PROVISION OF BROKERING SERVICES / TECHNICAL ASSISTANCE (Reg. (EU) 2021/821) |
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Available for pre-printed information At discretion of Member States |
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For completion by issuing authority Signature Issuing Authority |
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C. Common elements for publication of national general export authorisations in national Official Journals
(referred to in point (b) of Article 12(6) of this Regulation)
|
1. |
Title of the national general export authorisation |
|
2. |
Authority issuing the authorisation |
|
3. |
EU validity. The following text shall be used:
‘This is a national general export authorisation under the terms of Article 12(6) of Regulation (EU) 2021/821. This authorisation, in accordance with Article 12(6) of that Regulation, is valid in all Member States of the European Union.’ Validity: according to national practices. |
|
4. |
Items concerned: the following introductory text shall be used:
‘This export authorisation covers the following items’ |
|
5. |
Destinations concerned: the following introductory text shall be used:
‘This export authorisation is valid for exports to the following destinations’ |
|
6. |
Conditions and requirements |
(1) If needed, this description may be given in one or more attachments to this form (1bis). In this case, indicate the exact number of attachments in this box. The description should be as precise as possible and integrate, where relevant, the CAS or other references for chemical items in particular.
(2) See Regulation (EC) No 1172/95 (OJ L 118, 25.5.1995, p. 10).
ANNEX IV
LIST OF DUAL-USE ITEMS REFERRED TO IN ARTICLE 11(1) OF THIS REGULATION
The entries do not always cover the complete description of the item and the related notes in Annex I (1) . Only Annex I provides for the complete description of the items.
The mention of an item in this Annex does not affect the application of the provisions concerning mass-market products in Annex I.
The terms appearing in straight double quotes are defined terms in the global definitions list of Annex I.
PART I
(possibility of National General Authorisation for intra-Union trade)
Items of stealth technology
|
1C001 |
|
Materials specially designed for absorbing electromagnetic radiations, or intrinsically conductive polymers. N.B. SEE ALSO 1C101 |
|
1C101 |
|
Materials and devices for reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures, other than those specified in 1C001, usable in ‘missiles’, "missile" subsystems or unmanned aerial vehicles specified in 9A012. Note: 1C101 does not control materials if such goods are formulated solely for civil applications. Technical Note: In 1C101 ‘missiles’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
|
1D103 |
|
"Software" specially designed for analysis of reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures. |
|
1E101 |
|
"Technology" according to the GTN for the "use" of goods specified in 1C101 or 1D103. |
|
1E102 |
|
"Technology" according to the GTN for the "development" of "software" specified in 1D103. |
|
6B008 |
|
Pulse radar cross-section measurement systems having transmit pulse widths of 100 ns or less and specially designed components therefor. N.B. SEE ALSO 6B108 |
|
6B108 |
|
Systems specially designed for radar cross section measurement usable for ‘missiles’ and their subsystems. Technical Note: In 6B108 ‘missile’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km. |
Items of the Union strategic control
|
1A007 |
|
Equipment and devices, specially designed to initiate charges and devices containing "energetic materials", by electrical means, as follows: N.B. SEE ALSO MILITARY GOODS CONTROLS, 3A229 AND 3A232.
Note: 1A007.b. does not control detonators using only primary explosives, such as lead azide. |
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|
1C239 |
|
High explosives, other than those specified in the Military Goods Controls, or substances or mixtures containing more than 2% by weight thereof, with a crystal density greater than 1,8 g/cm3 and having a detonation velocity greater than 8 000 m/s. |
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1E201 |
|
"Technology" according to the General Technology Note for the "use" of goods specified in 1C239. |
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3A229 |
|
High-current pulse generators, as follows ... N.B. SEE ALSO MILITARY GOODS CONTROLS |
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3A232 |
|
Multipoint initiation systems, other than those specified in 1A007 above, as follows ... N.B. SEE ALSO MILITARY GOODS CONTROLS |
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3E201 |
|
"Technology" according to the General Technology Note for the "use" of equipment specified in 3A229 or 3A232. |
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6A001 |
|
Acoustics, limited to the following: |
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6A001.a.1.b. |
|
Object detection or location systems, having any of the following:
|
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6A001.a.2.a.2. |
|
Hydrophones … Incorporating … |
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6A001.a.2.a.3. |
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Hydrophones … Having any … |
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6A001.a.2.a.6. |
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Hydrophones … Designed for … |
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6A001.a.2.b. |
|
Towed acoustic hydrophone arrays … |
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6A001.a.2.c. |
|
Processing equipment, specially designed for real time application with towed acoustic hydrophone arrays, having "user-accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes; |
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6A001.a.2.e. |
|
Bottom or bay-cable hydrophone arrays, having any of the following:
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6A001.a.2.f. |
|
Processing equipment, specially designed for real time application with bottom or bay cable systems, having "user-accessible programmability" and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes; |
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6D003.a. |
|
"Software" for the "real-time processing" of acoustic data; |
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8A002.o.3. |
|
Noise reduction systems designed for use on vessels of 1 000 tonnes displacement or more, as follows:
Technical Note: ‘Active noise reduction or cancellation systems’ incorporate electronic control systems capable of actively reducing equipment vibration by the generation of anti-noise or anti-vibration signals directly to the source. |
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8E002.a. |
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"Technology" for the "development", "production", repair, overhaul or refurbishing (re-machining) of propellers specially designed for underwater noise reduction. |
Items of the Union strategic control— Cryptanalysis — Category 5, Part 2
|
5A004.a. |
|
Equipment designed or modified to perform ‘cryptanalytic functions’. Note: 5A004.a. includes systems or equipment, designed or modified to perform ‘cryptanalytic functions’ by means of reverse engineering. Technical Note: ‘Cryptanalytic functions’ are functions designed to defeat cryptographic mechanisms in order to derive confidential variables or sensitive data, including clear text, passwords or cryptographic keys. |
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5D002.a. |
|
"Software" specially designed or modified for the "development", "production" or "use" of any of the following:
|
||||||
|
5D002.c. |
|
"Software" having the characteristics of, or performing or simulating the functions of, any of the following:
|
||||||
|
5E002.a. |
|
Only "technology" for the "development", "production" or "use" of the goods specified in 5A004.a, 5D002.a.3. or 5D002.c.3. above. |
Items of the MTCR technology
|
7A117 |
|
"Guidance sets", usable in "missiles" capable of achieving system accuracy of 3,33% or less of the range (e.g., a ‘CEP’ of 10 km or less at a range of 300 km), except "guidance sets" designed for missiles with a range under 300 km or manned aircraft. Technical Note: In 7A117 ‘CEP’ (Circular Error Probable or Circle of Equal Probability) is a measure of accuracy, defined as the radius of the circle centred at the target, at a specific range, in which 50% of the payloads impact. |
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7B001 |
|
Test, calibration or alignment equipment specially designed for equipment specified in 7A117 above . Note: 7B001 does not control test, calibration or alignment equipment for ‘Maintenance Level I’ or ‘Maintenance Level II’. |
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|
7B003 |
|
Equipment specially designed for the "production" of equipment specified in 7A117 above. |
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7B103 |
|
"Production facilities" specially designed for equipment specified in 7A117 above. |
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|
7D101 |
|
"Software" specially designed for the "use" of equipment specified in 7B003 or 7B103 above. |
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|
7E001 |
|
"Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 7A117, 7B003, 7B103 or 7D101 above. |
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|
7E002 |
|
"Technology" according to the General Technology Note for the "production" of equipment specified in 7A117, 7B003 and 7B103 above. |
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7E101 |
|
"Technology" according to the General Technology Note for the "use" of equipment specified in 7A117, 7B003, 7B103 and 7D101 above . |
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|
9A004 |
|
Space launch vehicles capable of delivering at least a 500 kg payload to a range of at least 300 km . N.B. SEE ALSO 9A104. Note 1: 9A004 does not control payloads. |
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|
9A005 |
|
Liquid rocket propulsion systems containing any of the systems or components specified in 9A006 usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below. N.B. SEE ALSO 9A105 and 9A119. |
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|
9A007.a. |
|
Solid rocket propulsion systems, usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below, with any of the following: N.B. SEE ALSO 9A119.
|
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|
9A008.d. |
|
Components, as follows, specially designed for solid rocket propulsion systems: N.B. SEE ALSO 9A108.c.
|
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|
9A104 |
|
Sounding rockets, capable of delivering at least a 500 kg payload to a range of at least 300 km. N.B. SEE ALSO 9A004. |
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|
9A105.a. |
|
Liquid propellant rocket engines, as follows: N.B. SEE ALSO 9A119.
|
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|
9A106.c. |
|
Systems or components, other than those specified in 9A006, usable in "missiles" , as follows, specially designed for liquid rocket propulsion systems:
Technical Note: Examples of methods of achieving thrust vector control specified in 9A106.c. are:
|
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|
9A108.c. |
|
Components, other than those specified in 9A008, usable in ‘missiles’ as follows, specially designed for solid rocket propulsion systems:
Technical Note: Examples of methods of achieving thrust vector control specified in 9A108.c. are:
|
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|
9A116 |
|
Reentry vehicles, usable in "missiles", and equipment designed or modified therefor, as follows, except for reentry vehicles designed for non-weapon payloads:
|
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|
9A119 |
|
Individual rocket stages, usable in complete rocket systems or unmanned aerial vehicles, capable of delivering at least a 500 kg payload to a range of 300 km, other than those specified in 9A005 or 9A007.a. above |
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|
9B115 |
|
Specially designed "production equipment" for the systems, sub-systems and components specified in 9A005, 9A007.a., 9A008.d., 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above. |
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|
9B116 |
|
Specially designed "production facilities" for the space launch vehicles specified in 9A004, or systems, sub-systems, and components specified in 9A005, 9A007.a., 9A008.d., 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above. |
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|
9D101 |
|
"Software" specially designed for the "use" of goods specified in 9B116 above . |
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|
9E001 |
|
"Technology" according to the General Technology Note for the "development" of equipment or "software" specified in 9A004, 9A005, 9A007.a., 9A008.d., 9B115, 9B116 or 9D101 above. |
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|
9E002 |
|
"Technology" according to the General Technology Note for the "production" of equipment specified in 9A004, 9A005, 9A007.a., 9A008.d., 9B115 or 9B116 above . Note: For "technology" for the repair of controlled structures, laminates or materials, see 1E002.f. |
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|
9E101 |
|
"Technology" according to the General Technology Note for the "development" or "production" of goods specified in 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above . |
||||||||||||
|
9E102 |
|
"Technology" according to the General Technology Note for the "use" of space launch vehicles specified in 9A004, 9A005, 9A007.a., 9A008.d., 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116, 9A119, 9B115, 9B116 or 9D101 above . |
Exemptions:
Annex IV does not control the following items of the MTCR technology:
|
1. |
that are transferred on the basis of orders pursuant to a contractual relationship placed by the European Space Agency (ESA) or that are transferred by ESA to accomplish its official tasks; |
|
2. |
that are transferred on the basis of orders pursuant to a contractual relationship placed by a Member State's national space organisation or that are transferred by it to accomplish its official tasks; |
|
3. |
that are transferred on the basis of orders pursuant to a contractual relationship placed in connection with a Union space launch development and production programme signed by two or more European governments; |
|
4. |
that are transferred to a State-controlled space launching site in the territory of a Member State, unless that Member State controls such transfers within the terms of this Regulation. |
PART II
(NO NATIONAL GENERAL AUTHORISATION FOR INTRA-UNION TRADE)
Items of the CWC (Chemical Weapons Convention)
|
1C351.d.4. |
|
Ricin |
|
1C351.d.5. |
|
Saxitoxin |
Items of the NSG technology
All Category 0 of Annex I is included in Annex IV, subject to the following:
0C001: this item is not included in Annex IV;
|
— |
0C002: this item is not included in Annex IV, with the exception of "special fissile materials" as follows:
|
|
— |
0C003 only if for use in a "nuclear reactor" (within 0A001.a.); |
|
— |
0D001 ("software") is included in Annex IV except insofar as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV; |
|
— |
0E001 ("technology") is included in Annex IV except insofar as these related to 0C001 or to those items of 0C002 that are excluded from Annex IV.
|
(1) The differences in the wordings/scopes between Annex I and Annex IV are indicated with bold italic text.
ANNEX V
REPEALED REGULATION WITH LIST OF THE SUCCESSIVE AMENDMENTS THERETO
Council Regulation (EC) No 428/2009 (OJ L 134, 29.5.2009, p. 1)
Regulation (EU) No 1232/2011 of the European Parliament and of the Council (OJ L 326, 8.12.2011, p. 26)
Regulation (EU) No 388/2012 of the European Parliament and of the Council (OJ L 129, 16.5.2012, p. 12)
Regulation (EU) No 599/2014 of the European Parliament and of the Council (OJ L 173, 12.6.2014, p. 79)
Commission Delegated Regulation (EU) No 1382/2014 (OJ L 371, 30.12.2014, p. 1)
Commission Delegated Regulation (EU) 2015/2420 (OJ L 340, 24.12.2015, p. 1)
Commission Delegated Regulation (EU) 2016/1969 (OJ L 307, 15.11.2016, p. 1)
Commission Delegated Regulation (EU) 2017/2268 (OJ L 334, 15.12.2017, p. 1)
Commission Delegated Regulation (EU) 2018/1922 (OJ L 319, 14.12.2018, p. 1)
Commission Delegated Regulation (EU) 2019/2199 (OJ L 338, 30.12.2019, p. 1)
Commission Delegated Regulation (EU) 2020/1749 (OJ L 421, 14.12.2020, p. 1)
Regulation (EU) 2020/2171 of the European Parliament and of the Council (OJ L 432, 21.12.2020, p. 4)
ANNEX VI
CORRELATION TABLE
|
Regulation (EC) No 428/2009 |
This Regulation |
|
Article 1 |
Article 1 |
|
Article 2, introductory wording |
Article 2, introductory wording |
|
Article 2, point 1 |
Article 2, point (1) |
|
Article 2, point 2, introductory wording |
Article 2, point (2), introductory wording |
|
Article 2, point 2,(i) and (ii) |
Article 2, point (2)(a) and (b) |
|
- |
Article 2, point (2)(c) |
|
Article 2, point 2,(iii) |
Article 2, point (2)(d) |
|
Article 2, point 3, first subparagraph, introductory wording |
Article 2, point (3), first subparagraph, introductory wording |
|
Article 2, point 3, first subparagraph, point (i) |
Article 2, point (3), first subparagraph, point (a) |
|
Article 2, point 3, first subparagraph, point (ii) |
Article 2, point (3), first subparagraph, point (b) |
|
Article 2, point 3, second subparagraph |
Article 2, point (3), point (c) |
|
- |
Article 2, point (3), point (d) |
|
Article 2, point 4 |
Article 2, point (4) |
|
- |
Article 2, point (5) |
|
- |
Article 2, point (6) |
|
Article 2, point 5, first subparagraph, introductory wording |
Article 2, point (7), first subparagraph, introductory wording |
|
Article 2, point 5, first subparagraph, first indent |
Article 2, point (7) |
|
Article 2, point 5, first subparagraph, second indent |
Article 2, point (7) |
|
Article 2, point 5, second subparagraph |
Article 2, point (7) |
|
Article 2, point 6 |
Article 2, point (8) |
|
- |
Article 2, point (9) and (10) |
|
Article 2, point 7 |
Article 2, point (11) |
|
Article 2, point 8 |
Article 2, point (12) |
|
Article 2, point 9 |
Article 2, point (15) |
|
Article 2, point 10 |
Article 2, point (13) |
|
- |
Article 2, point (14) |
|
Article 2, point 11 |
Article 2, point (16) |
|
Article 2, point 12 |
Article 2, point (17) |
|
Article 2, point 13 |
Article 2, point (18) |
|
- |
Article 2, point (19) |
|
- |
Article 2, point (20) |
|
- |
Article 2, point (21) and (22) |
|
Article 3 |
Article 3 |
|
Article 4(1) |
Article 4(1), introductory wording and point (a) |
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Article 4(2), first sentence |
Article 2 (19) and 4(1)(b) |
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Article 4(2),second sentence |
Article 4(1)(b), introductory wording |
|
Article 4(2), points (a), (b) and (c) |
Article 4(1), point (b) (i), (ii) and (iii) |
|
Article 4(3) |
Article 4(1), point (c) |
|
Article 4(4) |
Article 4(2) |
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Article 4(5) |
Article 4(3) |
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Article 4(6) |
Article 4(4) and (5) |
|
Article 4(7) |
Article 4(6) |
|
- |
Article 4(7) |
|
Article 4(8) |
Article 4(8) |
|
- |
Article 5 |
|
Article 5(1), first sentence |
Article 6(1) |
|
Article 5(1), second sentence |
Article 6(2) |
|
Article 5(2), (3) and (4) |
Article 6(3), (4) and (5) |
|
Article 6(1), first sentence |
Article 7(1) |
|
Article 6(1), second sentence |
- |
|
Article 6(2), first sentence |
Article 7(2), first sentence |
|
- |
Article 7(2), second sentence |
|
Article 6(3) |
Article 7(3) |
|
Article 6(4) |
Article 7(4) |
|
Article 7 |
- |
|
- |
Article 8 |
|
Article 8 |
Article 9 |
|
- |
Article 10 |
|
Article 9(1), first subparagraph |
Article 12(1), point (d) |
|
Article 9(1), second and third subparagraphs |
Article 12(7) |
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Article 9(1), fourth and fifth subparagraphs |
Articles 17 and 19 |
|
Article 9(2), first subparagraph |
Article 12(1), points (a) to (c), and Article 12(2), first subparagraph |
|
Article 9(2), second subparagraph |
Article 12(1), second subparagraph |
|
- |
Article 12(2), second subparagraph |
|
- |
Article 12(3) |
|
Article 9(2), third subparagraph |
Article 12(4), first and second subparagraphs |
|
- |
Article 12(4), third subparagraph |
|
Article 9(3) |
Article 12(5) |
|
Article 9(4) |
Article 12(6) |
|
Article 9(5) |
- |
|
Article 9(6) |
Article 12(6), fourth subparagraph, and Article 23(1) |
|
Article 10(1), extended to technical assistance |
Article 13(1), first subparagraph, and Article 13(2) |
|
- |
Article 13(1), second subparagraph |
|
Article 10(2) |
Article 13(3) |
|
Article 10(3) |
Article 13(4) |
|
Article 11 |
Article 14 |
|
Article 12(1) |
Article 15(1) |
|
Article 12(2) |
- |
|
- |
Article 15(2) |
|
Article 13 |
Article 16 |
|
Article 14(1) |
Article 12(2), third subparagraph, and Article 13(5), extended to technical assistance |
|
Article 14(2) |
Article 12(4), fourth subparagraph |
|
Article 15(1) |
Article 17(1), point (a) |
|
Article 15(2) |
Article 20 |
|
Article 15(3) |
Article 17(1), introductory wording and point (b) |
|
- |
Article 17(2) |
|
Article 16 |
Article 21 |
|
Article 17 |
Article 22 |
|
Article 18 |
- |
|
Article 19(1) |
- |
|
Article 19(1), introductory wording |
Article 23(2), introductory wording |
|
- |
Article 23(2), point (a) |
|
- |
Article 23 (2), point (b) |
|
- |
Article 23 (2), point (c) |
|
Article 19(2), point (a) |
Article 23(2), point (d) |
|
Article 19(2), point (b) |
Article 23(2), point (e) |
|
- |
Article 23 (3) |
|
- |
Article 23 (4) |
|
Article 19(3) |
Article 23 (5) |
|
Article 19(4) |
Article 23(6) |
|
Article 19(5) |
Article 26(1), second sentence |
|
Article 19(6) |
Article 23(7) |
|
Article 20(1) to (3) |
Article 27(1) to (3) |
|
Article 21 |
Article 28 |
|
Article 22(1) and (2) |
Article 11(1) and (2) |
|
Article 22(3) and (4) |
Article 11(3) and (4) |
|
Article 22(5) to (7) |
Article 11(5) to (7) |
|
Article 22(8) |
Article 27(4) |
|
Article 22(9) and (10) |
Article 11(8) and (9) |
|
Article 23(1) and (2) |
Article 24(1) and (2) |
|
- |
Article 24(3) |
|
- |
Article 24 (4) |
|
Article 23(3) |
Article 26(2) |
|
- |
Article 26(3) |
|
- |
Article 26 (4) |
|
Article 23a(1) |
Article 18(1) |
|
Article 23a(2) and (3) |
Article 18(2) and (3) |
|
- |
Article 18(4) |
|
Article 23a(4) and (5) |
Article 18(5) and (6) |
|
Article 23b |
Article 19 |
|
Article 24 |
Article 25(1) |
|
- |
Article 25(2) |
|
Article 25(1) |
Article 23(1), first and second subparagraphs |
|
Article 25(2) and (3) |
- |
|
Article 25(4) |
Article 26(2) |
|
- |
Article 29(1) |
|
Article 25a |
Article 29(2) |
|
Article 26 |
- |
|
- |
Article 30 |
|
Article 27 |
Article 31 |
|
Article 28 |
Article 32 |
|
Annex I |
Annex I |
|
- |
Annex I |
|
Annex IIa |
Annex II, Section A |
|
Annex IIb |
Annex II, Section B |
|
Annex IIc |
Annex II, Section C |
|
Annex IId |
Annex II, Section D |
|
Annex IIe |
Annex II, Section E |
|
Annex IIf |
Annex II, Section F |
|
- |
Annex II, Section G |
|
- |
Annex II, Section H |
|
Annex IIg |
Annex II, Section I |
|
Annex IIIa |
Annex III, Section A |
|
Annex IIIb |
Annex III, Section B |
|
Annex IIIc |
Annex III, Section C |
|
Annex IV |
Annex IV |
|
Annex V |
Annex V |
|
Annex VI |
Annex VI |