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Articles 2 and 4

[F1SCHEDULE 3U.K. UK CONTROLLED DUAL-USE GOODS, SOFTWARE AND TECHNOLOGY

Textual Amendments

Note: In this Schedule, defined terms are printed in quotation marks.

DefinitionsU.K.

In this Schedule:

[F2“ammunition” means the complete round or the components thereof, including cartridge cases, primers, propellant powder, bullets or projectiles that are used in a “firearm”;]

“development” means all stages prior to “production” (eg, design, design research, design analyses, design concepts, assembly and testing of prototypes, pilot production schemes, design data, process of transforming design data into goods or “software”, configuration design, integration design, layouts);

[F3“Deactivation Regulation” means Commission Implementing Regulation (EU) 2015/2403 establishing common guidelines on deactivation standards and techniques for ensuring that deactivated firearms are rendered irreversibly inoperable.]

“energetic materials” means substances or mixtures that react chemically to release energy required for their intended application; “explosives”, “pyrotechnics” and “propellants” are sub-classes of energetic materials;

[F4“essential components” means the breech-closing mechanism, the chamber and the barrel of a “firearm”, which, being separate objects, are included in the category of the “firearms” on which they are or are intended to be mounted;]

“explosive signatures” are features which are characteristic of explosives in any form prior to their initiation, as detected using technology including, but not limited to, ion mobility spectrometry, chemiluminescence, fluorescence, nuclear, acoustic or electromagnetic techniques;

“explosives” means solid, liquid or gaseous substances or mixtures of substances which, in their application as primary, booster, or main charges in warheads, demolition and other applications, are required to detonate;

[F5“firearm” means any portable barrelled weapon that expels, is designed to expel or may be converted to expel, a [F6shot], bullet or projectile by the action of a combustible propellant;]

[F7Note: This definition does not include items specially designed for any of the following:

a. Alarm;

b. Signalling;

c. Life-saving;

d. Animal slaughter;

e. Harpoon fishing;

f. Industrial or technical purposes.]

[F8“Firearm Regulation”, in relation to—

(a)

England and Wales and Scotland, means Regulation (EU) No 258/2012 of the European Parliament and of the Council of 14 March 2012 implementing Article 10 of the United Nations' Protocol against the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, supplementing the United Nations Convention against Transnational Organised Crime (UN Firearms Protocol), and establishing export authorisation, and import and transit measures for firearms, their parts and components and ammunition;

(b)

Northern Ireland, means Regulation (EU) No 258/2012 of the European Parliament and of the Council of 14 March 2012 implementing Article 10 of the United Nations' Protocol against the illicit manufacturing of and trafficking in firearms, their parts and components and ammunition, supplementing the United Nations Convention against Transnational Organised Crime (UN Firearms Protocol), and establishing export authorisation, and import and transit measures for firearms, their parts and components and ammunition as it has effect by virtue of the Protocol on Ireland/Northern Ireland in the EU withdrawal agreement;]

“improvised explosive devices” means devices fabricated or intended to be placed in an improvised manner incorporating destructive, lethal, noxious, “pyrotechnic” or incendiary chemicals designed to destroy, disfigure or harass; they may incorporate military stores, but are normally devised from non-military components;

“lighter-than-air vehicles” means balloons and airships that rely on hot air or on lighter-than-air gases such as helium or hydrogen for their lift;

[F9“parts” means any element or replacement element as referred to specifically designed for a “firearm” and essential to its operation, including a barrel, frame or [F10receiver], slide or cylinder, bolt or breech block F11... ]

“previously separated” in relation to a controlled isotope in any form, means after the application of any process intended to increase the concentration of the controlled isotope;

“production” means all production stages (eg, product engineering, manufacture, integration, assembly (mounting), inspection, testing, quality assurance);

“propellants” means substances or mixtures that react chemically to produce large volumes of hot gases at controlled rates to perform mechanical work;

“pyrotechnic(s)” means mixtures of solid or liquid fuels and oxidisers which, when ignited, undergo an energetic chemical reaction at a controlled rate intended to produce specific time delays, or quantities of heat, noise, smoke, visible light or infrared radiation; pyrophorics are a subclass of pyrotechnics, which contain no oxidisers but ignite spontaneously on contact with air;

“required” as applied to “technology”, refers to only that portion of “technology” which is peculiarly responsible for achieving or exceeding the controlled performance levels, characteristics or functions. Such “required” “technology” may be shared by different goods and the intended use of “technology” is irrelevant to whether it is “required”;

“technology” means specific ‘information’ necessary for the “development”, “production” or “use” of goods or “software”;

Technical Note:
‘Information’ may take forms including, not limited to: blueprints, plans, diagrams, models, formulae, tables, ‘source code’, engineering designs and specifications, manuals and instructions written or recorded on other media or devices (eg, disk, tape, read-only memories);
‘source code’ (or source language) is a convenient expression of one or more processes which may be turned by a programming system into equipment executable form.

“use” means operation, installation (eg, on-site installation), maintenance, checking, repair, overhaul and refurbishing;

“vaccines” are medical products in a pharmaceutical formulation licensed by, or having marketing or clinical trial authorisation from, the regulatory authorities of either the country of manufacture or of use, which is intended to stimulate a protective immunological response in humans or animals in order to prevent disease in those to whom or to which it is administered.

Textual Amendments

F11Words in Sch. 3 omitted (22.2.2017) by virtue of The Export Control (Amendment) Order 2017 (S.I. 2017/85), arts. 1, 2(9)(b)(i)

Explosive-related goods and technologyU.K.

PL8001The export or “transfer by electronic means” of the following goods or “technology” is prohibited to any destination outside all of the following: [F12European Union], Australia, New Zealand, Canada, Norway, Switzerland, United States of America and Japan:
a.Equipment and devices, other than those in Schedule 2 or in 1A004.d., 1A005, 1A006, 1A007, 1A008, 3A229, 3A232 or 5A001.h. in Annex I to “the dual-use Regulation”, for detection of or use with “explosives” or for dealing with or protecting against “improvised explosive devices”, as follows, and specially designed components therefor:
1.Electronic equipment designed to detect “explosives” or “explosive signatures”;
N.B.:See also 1A004.d. in Annex I to “the dual-use Regulation”.
Note:PL8001.a.1. does not control equipment requiring operator judgment to establish the presence of “explosives” or “explosive signatures”.
2.Electronic jamming equipment specially designed to prevent the detonation by radio remote control of “improvised explosive devices”;
N.B.:See also 5A001.h. in Annex I to “the dual-use Regulation”.
3.Equipment and devices specially designed to initiate explosions by electrical or non-electrical means, (eg, firing sets, detonators and igniters);
N.B.:See also 1A007, 1A008, 3A229 and 3A232 in Annex I to “the dual-use Regulation”.
Note:PL8001.a.3. does not control:
a.Equipment and devices specially designed for a specific commercial use consisting of the actuation or operation by explosive means of other equipment or devices the function of which is not the initiation or creation of explosions;
b.Pressure controlled equipment specially designed for down-hole oilfield equipment applications and which are incapable of use at atmospheric pressure; F13...
[F14c. Detonating cord; and
d.Equipment and devices specially designed for use with pyrotechnics.]
4.Equipment and devices, including, but not limited to: shields and helmets, specially designed for the disposal of “improvised explosive devices”;
N.B.:See also 1A005, 1A006 and 5A001.h. in Annex I to “the dual-use Regulation”.
Note:PL8001.a.4. does not control bomb blankets, mechanical handling equipment for manoeuvring or exposing “improvised explosive devices”, containers designed for holding “improvised explosive devices” or objects suspected of being such devices or other equipment specially designed to temporarily protect against “improvised explosive devices” or objects suspected of being such devices.
b.Linear cutting explosive charges other than those listed at entry 1A008 of Annex I to “the dual-use Regulation”;
c.“Technology” “required” for the “use” of goods in PL8001.a. and PL8001.b.”
N.B.See article 18 of this Order for exceptions from the controls on “technology”.

Textual Amendments

Materials, chemicals, micro-organisms and toxinsU.K.

PL9002The export of the following goods is prohibited to any destination:
“Energetic materials”, as follows, and mixtures containing one or more thereof:
a.Nitrocellulose (containing more than 12.5% nitrogen);
b.Nitroglycerol;
c.Pentaerythritol tetranitrate (PETN);
d.Picryl chloride;
e.Trinitrophenylmethylnitramine (tetryl);
f.2,4,6-Trinitrotoluene (TNT).
Note:PL9002 does not control single, double and triple base “propellants”.
PL9003The export of the following goods is prohibited to any destination:
“Vaccines” for protection against:
a.bacillus anthracis;
b.botulinum toxin.
PL9004The export of the following goods is prohibited to any destination:
“Previously separated” americium-241, -242m or -243 in any form.
Note:PL9004 does not control goods with an americium content of 10 grams or less.

Telecommunications and related technologyU.K.

PL9005The export or “transfer by electronic means” of the following goods, or “technology” is prohibited to any destination in Iran:
a.Tropospheric scatter communication equipment using analogue or digital modulation techniques and specially designed components therefor;
b.“Technology” for the “development”, “production” or “use” of goods specified in PL9005.a.
N.B.See article 18 of this Order for exceptions from the controls on “technology”.

Detection equipmentU.K.

PL9006The export of ‘electro-statically powered’ equipment for detecting “explosives”, other than detection equipment specified in Schedule 2, PL8001.a.1. or in 1A004.d. in Annex I to “the dual-use Regulation”, is prohibited to any destination in Afghanistan or Iraq.

Technical note

‘Electro-statically powered’ means using electro-statically generated charge.

Vessels and related software and technologyU.K.

PL9008The export or “transfer by electronic means” of the following goods, “software” or “technology” is prohibited to any destination in Iran:
a.“Vessels”, inflatable craft and ‘submersible vehicles’, and related equipment and components, as follows, other than those specified in Schedule 2 to this Order or Annex I to “the dual-use Regulation”:
1.Marine “vessels” (surface or underwater), inflatable craft and ‘submersible vehicles’;
2.Equipment and components, designed for “vessels”, inflatable craft and ‘submersible vehicles’, as follows:
a.Hull and keel structures and components;
b.Propulsive engines designed or modified for marine use and specially designed components therefor;
c.Marine radar, sonar and speed log equipment, and specially designed components therefor;
b.“Software” designed for the “development”, “production” or “use” of goods specified in PL9008.a..
c.“Technology” for the “development”, “production”, or “use” of goods or “software” specified in PL9008.a. or PL9008.b.
N.B.See article 18 of this Order for exceptions from the controls on “technology”.

Technical note:

‘Submersible vehicles’ include manned, unmanned, tethered or untethered vehicles.

Aircraft and related technologyU.K.

PL9009The export or “transfer by electronic means” of the following goods or “technology” is prohibited to any destination in Iran:
a.“Aircraft”, “lighter-than-air vehicles” and steerable parachutes, and related equipment and components, as follows, other than those specified in Schedule 2 to this Order or Annex I to “the dual-use Regulation”:
1.“Aircraft”, “lighter-than-air vehicles” and steerable parachutes;
2.Equipment and components, designed for “aircraft” and “lighter-than-air vehicles”, as follows:
a.Airframe structures and components;
b.Aero-engines and auxiliary power units (APU)s and specially designed components therefor;
c.Avionics and navigation equipment and specially designed components therefor;
d.Landing gear and specially designed components therefor, and aircraft tyres;
e.Propellers and rotors;
f.Transmissions and gearboxes, and specially designed components therefor;
g.Unmanned aerial vehicle (UAV) recovery systems;
b. [F15This entry is not used];
c.“Technology” for the “development”, “production” or “use” of goods specified in PL9009.a.
N.B.See article 18 of this Order for exceptions from the controls on “technology”.
Note: PL9009.c. does not control technical data, drawings or documentation for maintenance activities directly associated with calibration, removal or replacement of damaged or unserviceable goods that are necessary for the continuing airworthiness and safe operation of civil “aircraft”

Textual Amendments

[F16FirearmsU.K.

N.B. Military firearms and ammunition are controlled in ML1, ML2 and ML3 in Schedule 2.

PL9010

Where the “Firearm Regulation” does not apply, the export of “firearms”, their “parts” and “essential components” and “ammunition”, as follows, is prohibited to any destination outside the European Union:

N.B.: See also the “Firearm Regulation” for the export of “firearms” to non-EU Member States.

a.“Firearms” other than those specified in ML1 or ML2 of Schedule 2;
Note: PL9010.a. includes pre-1938 “firearms”, post 1937 smooth-bore “firearms” that are not fully automatic or specially designed for military use and post 1937 “firearms” using non-centre fire (e.g. rimfire) cased “ammunition” and which are not of the fully automatic firing type.
b.“Parts” (including sound suppressors or moderators) or “essential components” specially designed for “firearms” specified in PL9010.a. above;
c.“Ammunition” specially designed for “firearms” specified in PL9010.a. above;
d.“Software” designed for “development” or “production” of semi-automatic or pump action type smooth-bore “firearms” manufactured in 1938 or later;
e.

“Technology” for the “development” or “production” of semi-automatic or pump action type smooth-bore “firearms” manufactured in 1938 or later.

N.B.: See article 18 of this Order for exceptions from the controls on “technology”.

Note: PL9010 does not control:

1.“Firearms” manufactured earlier than 1890 and reproductions thereof;

2.“Parts” (including sound suppressors or moderators), “essential components” or “ammunition”, specially designed for “firearms” specified in Note 1 above;

3.“Firearms” to which the “Deactivation Regulation” applies which have been deactivated and marked in accordance with the technical specifications set out in Annex I and II to the Deactivation Regulation;

4.“Firearms” to which the “Deactivation Regulation” does not apply which bear a mark and are certified as having been rendered incapable of discharging any shot, bullet or other missile in accordance with section 8 of the Firearms (Amendment) Act 1988

PL9011

Where the “Firearm Regulation” does not apply, the export of “firearms”, devices, “essential components”, sound suppressors or moderators and “ammunition”, as follows, is prohibited to any destination inside the European Union:

N.B.: See also the Firearm Regulation and PL9010 for exports of “firearms” to non-EU Member States.

a.“Firearms” other than those specified in ML1 or ML2 of Schedule 2;
Note: PL9011.a. includes pre-1938 “firearms”, post 1937 smooth-bore “firearms” that are not fully automatic or specially designed for military use and post 1937 “firearms” using non-centre fire (e.g. rimfire) cased “ammunition” and which are not of the fully automatic firing type.
b.“Parts” (including sound suppressors or moderators) or “essential components” specially designed for “firearms” specified in PL9011.a. above;
c.“Ammunition” specially designed for “firearms” specified in PL9011.a. above;
d.“Software” designed for the “development” or “production” of semi-automatic or pump action type smooth-bore “firearms” manufactured in 1938 or later;
e.

“Technology” for the “development” or “production” of semi-automatic or pump action type smooth-bore “firearms” manufactured in 1938 or later;

N.B.: See article 18 of this Order for exceptions from the controls on “technology”.

f.Devices for firing blanks, irritants, other active substances or pyrotechnic rounds that are capable of being converted to a “firearm”;
g.Devices for salute or acoustic applications that are capable of being converted to a “firearm”.

Note: PL9011 does not control:

1. “Firearms” manufactured earlier than 1890;

2. “Parts” (including sound suppressors or moderators), “essential components” or “ammunition”, specially designed for “firearms” specified in Note 1 above;

3. “Firearms” to which the “Deactivation Regulation” applies which have been deactivated and marked in accordance with the technical specifications set out in Annexes I and II to the Deactivation Regulation]

Textual Amendments

[F17Submersible Vessels and related goods, software and technologyU.K.

PL9012The export or “transfer by electronic means” of the following goods, “software” or “technology” is prohibited to any destination in Russia:
a.‘submersible vehicles’, and related systems, equipment and components, as follows, other than those specified in Schedule 2 to this Order or Annex I to “the dual-use Regulation”:
1.‘submersible vehicles’ and specially designed components therefor;
2.Subsea ploughs and specially designed components therefor;
3.Systems, equipment and components for use with ‘submersible vehicles’ and subsea ploughs, as follows:
a.Marine acoustic systems and equipment, as follows:
i. sonar equipment;
ii. velocity log equipment;
iii. underwater altimeters;
b.Navigation equipment specially designed for ‘submersible vehicles’;
c.Acoustic systems and equipment designed to determine the position of ‘submersible vehicles’ including via surface vessels;
d.Propulsion motors or thrusters for ‘submersible vehicles’;
e.Umbilical cables and connectors therefor, specially designed or modified for ‘submersible vehicles’;
f.Umbilical winches, tow winches and lifting winches;
g.Tethers and tether systems, for ‘submersible vehicles’;
h.Lighting systems specially designed or modified for underwater use;
i.Underwater vision systems;
j.Underwater communication systems;
k.Pressure sensors specially designed for underwater use;
l.Launch and recovery systems and equipment for deploying ‘submersible vehicles’ and specially designed components therefor;
m.Trenching tools and jetting tools, specially designed or modified for use with ‘submersible vehicles’;
n.Control systems and equipment specially designed or modified for the remote operation of ‘submersible vehicles’;
o.Remotely controlled articulated manipulators specially designed or modified for use with ‘submersible vehicles’;
p.Subsea cable detection systems;
q.Cable cutting, clamping and handling equipment, specially designed or modified for use with ‘submersible vehicles’;
r.Subsea telecoms handling systems and equipment;
s.Tools specially designed or modified to be operated by ‘submersible vehicles’ or articulated manipulators;
t.Syntactic foam;
u.Pressure housings specially designed or modified for use on ‘submersible vehicles’;
v.Biological, chemical or physical environmental sensors designed or modified to be used underwater;
b.Azimuth adjustable propulsion systems for use in surface vessels with a propeller diameter of greater than 2m;
c.“Software” designed for the “development”, “production” or “use” of goods specified in PL9012.a. and PL9012.b.
d.

“Technology” for the “development”, “production” or “use” of goods or “software” specified in PL9012.a., PL9012.b. or PL9012.c.

N.B.:Seearticle 18 of this Order for exceptions from the controls on “technology”.

Technical Note:

‘Submersible vehicles’ include manned, unmanned, tethered or untethered vehicles.]]

Textual Amendments