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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 (Recast)
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There are outstanding changes not yet made to Council Regulation (EC) No 428/2009. Those changes will be listed when you open the content using the Table of Contents below. Any changes that have already been made to the legislation appear in the content and are referenced with annotations.
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Article 3.(1) An authorisation shall be required for the export of...
Article 4.(1) An authorisation shall be required for the export of...
Article 5.(1) An authorisation shall be required for brokering services of...
Article 6.(1) The transit of non-Community dual-use items listed in Annex...
Article 7.This Regulation does not apply to the supply of services...
Article 8.(1) A Member State may prohibit or impose an authorisation...
CHAPTER III EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES
Article 9.(1) Retained General Export Authorisations for certain exports as set...
Article 10.(1) Authorisations for brokering services under this Regulation shall be...
Article 11.(1) If the dual-use items in respect of which an...
Article 12.(1) In deciding whether or not to grant an individual...
Article 13.(1) The Secretary of State, acting in accordance with this...
Article 14.(1) All individual and global export authorisations and authorisations for...
Article 22.(1) An authorisation shall be required for intra-Community transfers of...
Article 23.(1) A Dual-Use Coordination Group chaired by a representative of...
Article 23a.(1) Regulations under Article 9(1) or Article 15(1) are to...
Article 23b.(1) Delegated acts adopted under this Article shall enter into...
Article 24.Each Member State shall take appropriate measures to ensure proper...
Article 25.(1) Each Member State shall inform the Commission of the...
Article 25a.Without prejudice to the provisions on mutual administrative assistance agreements...
Article 27.Regulation (EC) No 1334/2000 is repealed with effect from 27...
Article 28.This Regulation shall enter into force 90 days after the...
LIST OF DUAL-USE ITEMS (referred to in Article 3 of this Regulation)
DEFINITIONS OF TERMS USED IN THIS ANNEX
NB: Category references are given in brackets after the defined term....
NB: Additional and alternative allocations are not included.
NB: A common use of "asymmetric algorithms" is key management.
N.B.1. "Basic gate propagation delay time" is not to be confused...
N.B.2. ‘Family’ consists of all integrated circuits to which all of...
NB: Modifications of a stored sequence of instructions include replacement of...
N.B.1. ‘Circuit element’: a single active or passive functional part of...
N.B.2. ‘Discrete component’: a separately packaged ‘circuit element’ with its own...
NB: ‘Active tooling unit’ means a device for applying motive power,...
NB: ‘Circuit element’ is a single active or passive functional part...
N.B.1. ‘Circuit element’: a single active or passive functional part of...
N.B.2. ‘Discrete component’: a separately packaged ‘circuit element’ with its own...
NB: See also "Chemical laser"; "CW laser"; "Pulsed laser"; "Super High...
NB: ‘Data device’ means equipment capable of transmitting or receiving sequences...
NB: The internal storage may be augmented by an external storage....
N.B.2. This includes chip sets which are designed to operate together...
NB: ‘Circuit element’ is a single active or passive functional part...
Note: "OAM" does not include any of the following tasks or...
NB: The above definition does not include the following devices:
NB: ‘Strand’ is a bundle of "monofilaments" (typically over 200) arranged...
NB: ‘Microprogram’ means a sequence of elementary instructions, maintained in a...
NB: A determination that a specific item is "Space-qualified" by virtue...
N.B.1. ‘Discrete component’: a separately packaged ‘circuit element’ with its own...
N.B.2. ‘Circuit element’: a single active or passive functional part of...
NB: The "superconductive" state of a material is individually characterised by...
NB: A common use of "symmetric algorithms" is confidentiality of data....
NB: ‘Strand’ is a bundle of "monofilaments" (typically over 200) arranged...
N.B.1. ‘Technical assistance’ may take forms such as instructions, skills, training,...
N.B.2. ‘Technical data’ may take forms such as blueprints, plans, diagrams,...
NB: ‘Strand’ is a bundle of "monofilaments" (typically over 200) arranged...
CATEGORY 0 – NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT
CATEGORY 1 – SPECIAL MATERIALS AND RELATED EQUIPMENT
Systems, Equipment and Components
Note 1: 1A002 does not control "composite" structures or laminates made from...
Note 2: 1A002 does not control semi-finished items, specially designed for purely...
Note 3: 1A002.b.1. does not control semi-finished items containing a maximum of...
Note 4: 1A002 does not control finished items specially designed for a...
Note 5: 1A002.b.1. does not control mechanically chopped, milled, or cut carbon...
Note: 1A003 does not control manufactures when coated or laminated with...
NB: For "fusible" aromatic polyimides in any form, see 1C008.a.3.
NB: For "fibrous or filamentary materials" used in the manufacture of...
Note 1: 1A005 does not control body armour when accompanying its user...
Note 2: 1A005 does not control body armour designed to provide frontal...
Note 3: 1A005 does not control body armour designed to provide protection...
Note: 1A006 does not control equipment when accompanying its operator.
Test, Inspection and Production Equipment
Note: Components and accessories specified in 1B101 include moulds, mandrels, dies,...
Note 1: For equipment specially designed for the production of military goods,...
Note 2: 1B115 does not control equipment for the "production", handling and...
Note: In 1B117.d. the term ‘mixing/kneading shaft’ does not refer to...
Note: 1C002 does not control metal alloys, metal alloy powder and...
NB: See also Military Goods Controls for metal powders mixed with...
Note 2: 1C101 does not include coatings when specially used for the...
Note: For propellants and constituent chemicals for propellants not specified in...
Note: In 1C210, ‘fibrous or filamentary materials’ is restricted to continuous...
Note: 1C216 does not control forms in which all linear dimensions...
Note: In 1C225 mixtures containing boron include boron loaded materials.
Note: 1C226 does not control manufactures specially designed as weights or...
Note: 1C232 does not control a product or device containing less...
Note: 1C234 does not control zirconium in the form of foil...
Note: 1C235 does not control a product or device containing less...
Note: 1C236 does not control a product or device containing less...
Note 1: For exports to "States not Party to the Chemical Weapons...
Note 2: For exports to "States Party to the Chemical Weapons Convention",...
Note 3: 1C350 does not control "chemical mixtures" containing one or more...
Note 4: 1C350 does not control products identified as consumer goods packaged...
Note 1: 1C353 does not control nucleic acid sequences of shiga toxin...
NB: SEE ALSO ENTRY 1C350, 1C351.d. AND MILITARY GOODS CONTROLS.
Note 1: For exports to "States not Party to the Chemical Weapons...
Note 2: For exports to "States Party to the Chemical Weapons Convention",...
Note 3: 1C450 does not control "chemical mixtures" containing one or more...
Note 4: 1C450 does not control products identified as consumer goods packaged...
CATEGORY 2 – MATERIALS PROCESSING
Test, Inspection and Production Equipment
1. Secondary parallel contouring axes, (e.g., the w-axis on horizontal boring...
3. Axis nomenclature shall be in accordance with International Standard ISO...
4. For the purposes of 2B001 to 2B009 a "tilting spindle"...
5. ‘Stated “unidirectional positioning repeatability” ’ may be used for each machine...
6. For the purposes of 2B001.a. to 2B001.c., measurement uncertainty for...
7. For the purpose of 2B001.a. to 2B001.c., the measurement of...
Note 1: 2B001 does not control special purpose machine tools limited to...
Note 2: 2B001 does not control special purpose machine tools limited to...
Note 4: A machine tool having an additive manufacturing capability in addition...
Technical Notes: For the purposes of 2B002: 1. ‘MRF’ is a material...
NB: For specially designed dies, moulds and tooling see 1B003, 9B009...
Note: 2B005 does not control chemical vapour deposition, cathodic arc, sputter...
Note 1: 2B120 does not control rotary tables designed or modified for...
Note 2: Motion simulators or rate tables specified in 2B120 remain controlled...
Note: 2B121 does not control rotary tables designed or modified for...
Note: Centrifuges specified in 2B122 remain controlled whether or not slip...
Note 1: 2B201 does not control special purpose machine tools limited to...
Note 3: 2B201.a.3. and 2B201.b.3. include machines based on a parallel linear...
Note 1: Machine tools that can be used as measuring machines are...
Note 2: A machine specified in 2B206 is controlled if it exceeds...
Note: 2B209.a. includes machines which have only a single roller designed...
Note: For the purposes of 2B350, the materials used for gaskets,...
Note: 2D001 does not control part programming "software" that generates "numerical...
Note 1: 2D002 does not control "software" specially designed or modified for...
Note 2: 2D002 does not control "software" for items specified in 2B002....
Note 3: 2D002 does not control "software" that is exported with, and...
Note: 2D202 does not control part programming "software" that generates "numerical...
Systems, Equipment and Components
Note 1: The control status of equipment and components described in 3A001...
Note 2: The control status of integrated circuits described in 3A001.a.3. to...
Note 3: The status of wafers (finished or unfinished), in which the...
NB: 1. "Software" specially designed to enhance or release the performance of...
NB: 2. "Technology" in the form of codes or keys to enhance...
Note: 3A225 does not control frequency changers or generators if they...
Note 1: 3E001 does not control "technology" for equipment or components specified...
Note 2: 3E001 does not control "technology" for integrated circuits specified in...
Note 3: 3E001 does not control ‘Process Design Kits’ (‘PDKs’) unless they...
Note 1: 3E002 does not control "technology" for multimedia extensions.
Note 2: 3E002 does not control "technology" for micro-processor cores, having all...
Note 3: 3E002 includes "technology" for the "development" or "production" of digital...
Note 1: Computers, related equipment and "software" performing telecommunications or "local area...
Note 2: Control units which directly interconnect the buses or channels of...
TECHNICAL NOTE ON "ADJUSTED PEAK PERFORMANCE" ("APP")
Outline of "APP" calculation method
1. For each processor i, determine the peak number of 64-bit...
2. Calculate the floating point rate R for each processor R...
4. For ‘vector processors’, W i = 0,9. For non-‘vector processors’,...
Note 1: For processors that perform compound operations in a cycle, such...
Note 2: For a pipelined processor the effective calculating rate R is...
Note 3: The calculating rate R of each contributing processor is to...
Note 4: Do not include processors that are limited to input/output and...
Note 5: "APP" values are not to be calculated for processor combinations...
Note 6: "APP" values must be calculated for processor combinations containing processors...
Note 7: A ‘vector processor’ is defined as a processor with built-in...
CATEGORY 5 – TELECOMMUNICATIONS AND "INFORMATION SECURITY"
Part 1 – TELECOMMUNICATIONS Note 1: The control status of components, test and "production"...
CATEGORY 6 – SENSORS AND LASERS
Systems, Equipment and Components
Note 1: Pulsed "lasers" include those that run in a continuous wave...
Note 2: Excimer, semiconductor, chemical, CO, CO 2 , and ‘non-repetitive pulsed’...
Note 4: The control status of "lasers" incorporating frequency conversion (i.e., wavelength...
Note 6: For the purposes of 6A005.a. and 6A005.b., ‘single transverse mode’...
Note: 6A006 does not control instruments specially designed for fishery applications...
N.B.1. "Software" specially designed to enhance or release the performance of...
N.B.2. "Technology" in the form of codes or keys to enhance...
Note: 6A203.a. to 6A203.c. does not control cameras or imaging devices...
Note: 6A225 includes velocity interferometers such as VISARs (Velocity Interferometer Systems...
CATEGORY 7 – NAVIGATION AND AVIONICS
Systems, Equipment and Components
NB: For automatic pilots for underwater vehicles, see Category 8.
Note 1: ‘Inertial measurement equipment or systems’ incorporate accelerometers or gyroscopes to...
Note 2: 7A003 does not control ‘inertial measurement equipment or systems’ which...
NB: For equipment specially designed for military use, SEE MILITARY GOODS...
Note: 7A008 does not control systems specially designed for installation on...
NB: See 6A001.a. for acoustic systems, and 6A001.b. for correlation-velocity and...
Note: 7A101 does not control accelerometers specially designed and developed as...
Note: Equipment specified in 7A105, 7A106, and 7A115 includes the following:...
Note: For conversion of manned aircraft to operate as "missiles", 7A116...
Note: 7D002 does not control "source code" for the "use" of...
Note: 7D004. does not control "source code" associated with common computer...
Note: A common form of integration "software" employs Kalman filtering.
Note: "Software" specified in 7D103 remains controlled when combined with specially...
Note: 7D104 includes ‘software’, specially designed or modified to enhance the...
CATEGORY 9 – AEROSPACE AND PROPULSION
RETAINED GENERAL EXPORT AUTHORISATION No 003
Export after repair/replacement
Issuing authority: the Secretary of State
Part 1 —Items 1. This general export authorisation covers all dual-use items specified...
Part 2 —Destinations This authorisation is valid ... for exports to the following...
RETAINED GENERAL EXPORT AUTHORISATION No 004
Temporary export for exhibition or fair
Issuing authority: the Secretary of State
Part 1 –Items This general export authorisation covers all dual-use items specified in...
Part 2 –Destinations This authorisation is valid ... for exports to the following...
1. This authorisation authorises the export of items listed in Part...
2. The Secretary of State may , at the exporter’s request,...
3. This authorisation does not authorise the export of items where:...
4. Exporters must mention the ... reference number X002 and specify...
5. Any exporter who uses this authorisation must notify the Secretary...
6. For the purpose of this authorisation, ‘exhibition or fair’ means...
COMMON ELEMENTS FOR PUBLICATION OF NATIONAL ... EXPORT AUTHORISATIONS ...
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