- Latest available (Revised)
- Point in Time (31/01/2020)
- Original (As adopted by EU)
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)
When the UK left the EU, legislation.gov.uk published EU legislation that had been published by the EU up to IP completion day (31 December 2020 11.00 p.m.). On legislation.gov.uk, these items of legislation are kept up-to-date with any amendments made by the UK since then.
Legislation.gov.uk publishes the UK version. EUR-Lex publishes the EU version. The EU Exit Web Archive holds a snapshot of EUR-Lex’s version from IP completion day (31 December 2020 11.00 p.m.).
Version Superseded: 15/12/2020
Point in time view as at 31/01/2020.
There are currently no known outstanding effects for the Council Regulation (EC) No 428/2009, CATEGORY 4 - COMPUTERS .
Revised legislation carried on this site may not be fully up to date. At the current time any known changes or effects made by subsequent legislation have been applied to the text of the legislation you are viewing by the editorial team. Please see ‘Frequently Asked Questions’ for details regarding the timescales for which new effects are identified and recorded on this site.
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). U.K.
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). U.K.
N.B. For the control status of ‘software’ specially designed for packet switching, see 5D001. U.K.
‘ 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.
Electronic computers and related equipment, having any of the following and ‘ electronic assemblies ’ and specially designed components therefor:
N.B. SEE ALSO 4A101.
Specially designed to have any of the following:
Rated for operation at an ambient temperature below 228 K (-45 °C) or above 358 K (85 °C); or
Note: 4A001.a.1. does not control computers specially designed for civil automobile, railway train or ‘civil aircraft’ applications. U.K.
Radiation hardened to exceed any of the following specifications:
5 x 10 3 Gy (silicon);
5 x 10 6 Gy (silicon)/s; or
1 x 10 -8 Error/bit/day;
Note: 4A001.a.2. does not control computers specially designed for ‘civil aircraft’ applications. U.K.
Not used.
‘ Digital computers ’ , ‘ electronic assemblies ’ , and related equipment therefor, as follows and specially designed components therefor:
Note 1: 4A003 includes the following: U.K.
‘ Vector processors ’ ;
Array processors;
Digital signal processors;
Logic processors;
Equipment designed for ‘ image enhancement ’ .
Note 2: The control status of the ‘digital computers’ and related equipment described in 4A003 is determined by the control status of other equipment or systems provided: U.K.
The ‘ digital computers ’ or related equipment are essential for the operation of the other equipment or systems;
The ‘digital computers’ or related equipment are not a ‘principal element’ of the other equipment or systems; and
N.B. 1: The control status of ‘signal processing’ or ‘image enhancement’ equipment specially designed for other equipment with functions limited to those required for the other equipment is determined by the control status of the other equipment even if it exceeds the ‘principal element’ criterion. U.K.
N.B. 2: For the control status of ‘digital computers’ or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications). U.K.
The ‘ technology ’ for the ‘ digital computers ’ and related equipment is determined by 4E.
Not used;
‘ Digital computers ’ having an ‘ Adjusted Peak Performance ’ ( ‘ APP ’ ) exceeding 29 Weighted TeraFLOPS (WT);
‘ Electronic assemblies ’ specially designed or modified for enhancing performance by aggregation of processors so that the ‘ APP ’ of the aggregation exceeds the limit specified in 4A003.b.;
Note 1: 4A003.c. controls only ‘electronic assemblies’ and programmable interconnections not exceeding the limit specified in 4A003.b. when shipped as unintegrated ‘electronic assemblies’. U.K.
Note 2: 4A003.c. does not control ‘electronic assemblies’ specially designed for a product or family of products whose maximum configuration does not exceed the limit specified in 4A003.b. U.K.
Not used;
Not used;
Not used;
Equipment specially designed for aggregating the performance of ‘ digital computers ’ by providing external interconnections which allows communications at unidirectional data rates exceeding 2,0 Gbyte/s per link.
Note: 4A003.g. does not control internal interconnection equipment (e.g. backplanes, buses), passive interconnection equipment, ‘network access controllers’ or ‘communications channel controllers’. U.K.
Computers as follows and specially designed related equipment, ‘ electronic assemblies ’ and components therefor:
‘ Systolic array computers ’ ;
‘ Neural computers ’ ;
‘ Optical computers ’ .
Systems, equipment, and components therefor, specially designed or modified for the generation, command and control, or delivery of ‘ intrusion software ’ .
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.
Hybrid computers specially designed for modelling, simulation or design integration of space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.
Note: This control only applies when the equipment is supplied with ‘software’ specified in 7D103 or 9D103.
None.
None.
Note: The control status of ‘software’ for equipment described in other Categories is dealt with in the appropriate Category. U.K.
‘ Software ’ as follows:
‘ Software ’ specially designed or modified for the ‘ development ’ or ‘ production ’ of equipment or ‘ software ’ specified in 4A001 to 4A004, or 4D.
‘ Software ’ , other than that specified in 4D001.a., specially designed or modified for the ‘ development ’ or ‘ production ’ of equipment as follows:
‘ Digital computers ’ having an ‘ Adjusted Peak Performance ’ ( ‘ APP ’ ) exceeding 15 Weighted TeraFLOPS (WT);
‘ Electronic assemblies ’ specially designed or modified for enhancing performance by aggregation of processors so that the ‘ APP ’ of the aggregation exceeds the limit in 4D001.b.1.
Not used
Not used.
‘ Software ’ specially designed or modified for the generation, command and control, or delivery of ‘ intrusion software ’ .
Note: 4D004 does not control ‘software’ specially designed and limited to provide ‘software’ updates or upgrades meeting all the following:
The update or upgrade operates only with the authorisation of the owner or administrator of the system receiving it; and
After the update or upgrade, the ‘ software ’ updated or upgraded is not any of the following:
‘Software’ specified in 4D004; or
‘ Intrusion software ’ .
‘ Technology ’ according to the General Technology Note, for the ‘ development ’ , ‘ production ’ or ‘ use ’ of equipment or ‘ software ’ specified in 4A or 4D.
‘ Technology ’ , according to the General Technology Note, other than that specified in 4E001.a., for the ‘ development ’ or ‘ production ’ of equipment as follows:
‘ Digital computers ’ having an ‘ Adjusted Peak Performance ’ ( ‘ APP ’ ) exceeding 15 Weighted TeraFLOPS (WT);
‘ Electronic assemblies ’ specially designed or modified for enhancing performance by aggregation of processors so that the ‘ APP ’ of the aggregation exceeds the limit in 4E001.b.1.
‘ Technology ’ for the ‘ development ’ of ‘ intrusion software ’ .
Note 1: 4E001.a. and 4E001.c. do not control ‘vulnerability disclosure’ or ‘cyber incident response’. U.K.
Note 2: Note 1 does not diminish the rights of the competent authority of the Member State in which the exporter is established to ascertain compliance with 4E001.a. and 4E001.c. U.K.
‘ 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 10 12 adjusted floating point operations per second
number of processors in the ‘ digital computer ’
processor number (i, …n)
processor cycle time (t i = 1/F i )
processor frequency
peak floating point calculating rate
architecture adjustment factor
Note In determining FPO, include only 64-bit or larger floating point additions or multiplications. All floating point operations must be expressed in operations per processor cycle; operations requiring multiple cycles may be expressed in fractional results per cycle. For processors not capable of performing calculations on floating point operands of 64-bit or more, the effective calculating rate R is zero. U.K.
Note 1 For processors that perform compound operations in a cycle, such as addition and multiplication, each operation is counted. U.K.
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. U.K.
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. U.K.
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’. U.K.
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’. U.K.
Note 6 ‘APP’ values must be calculated for processor combinations containing processors specially designed to enhance performance by aggregation, operating simultaneously and sharing memory; U.K.
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.] U.K.
Textual Amendments
F1Substituted by Commission Delegated Regulation (EU) 2020/1749 of 7 October 2020 amending Council Regulation (EC) No 428/2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items.
The Whole Regulation you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.
Would you like to continue?
The Schedules you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.
Would you like to continue?
Latest Available (revised):The latest available updated version of the legislation incorporating changes made by subsequent legislation and applied by our editorial team. Changes we have not yet applied to the text, can be found in the ‘Changes to Legislation’ area.
Original (As adopted by EU): The original version of the legislation as it stood when it was first adopted in the EU. No changes have been applied to the text.
Point in Time: This becomes available after navigating to view revised legislation as it stood at a certain point in time via Advanced Features > Show Timeline of Changes or via a point in time advanced search.
Geographical Extent: Indicates the geographical area that this provision applies to. For further information see ‘Frequently Asked Questions’.
Show Timeline of Changes: See how this legislation has or could change over time. Turning this feature on will show extra navigation options to go to these specific points in time. Return to the latest available version by using the controls above in the What Version box.
Access essential accompanying documents and information for this legislation item from this tab. Dependent on the legislation item being viewed this may include:
This timeline shows the different versions taken from EUR-Lex before exit day and during the implementation period as well as any subsequent versions created after the implementation period as a result of changes made by UK legislation.
The dates for the EU versions are taken from the document dates on EUR-Lex and may not always coincide with when the changes came into force for the document.
For any versions created after the implementation period as a result of changes made by UK legislation the date will coincide with the earliest date on which the change (e.g an insertion, a repeal or a substitution) that was applied came into force. For further information see our guide to revised legislation on Understanding Legislation.
Use this menu to access essential accompanying documents and information for this legislation item. Dependent on the legislation item being viewed this may include:
Click 'View More' or select 'More Resources' tab for additional information including: