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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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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.
F2Word in Annex 2d heading substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(a)(i) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F3Word in Annex 2d heading substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(a)(ii) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
This general export authorisation covers all dual-use items specified in any entry in Annex I to this Regulation except:
all items listed in Annex IIg;
all items in Section D set out in Annex I to this Regulation (this does not include software necessary to the proper functioning of the equipment for the purpose of the demonstration);
all items in Section E set out in Annex I to this Regulation;
the following items specified in Annex I to this Regulation:
1A002.a.,
1C002.b.4.,
1C010,
1C012.a.,
1C227,
1C228,
1C229,
1C230,
1C231,
1C236,
1C237,
1C240,
1C350,
1C450,
5A001.b.5.,
5A002.c.,
5A002.d.,
5A002.e.,
5A003.a.,
5A003.b.,
6A001,
6A002.a.,
8A001.b.,
8A001.c.1.,
9A011.
This authorisation is valid F5... for exports to the following destinations:
Textual Amendments
F5Words in Annex 2d Pt. 2 omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(c) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
Argentine Republic,
Bosnia and Herzegovina,
Federative Republic of Brazil,
French Overseas Territories,
Iceland,
Kingdom of Morocco,
Montenegro,
People’s Republic of China (including Hong Kong Special Administrative Region and Macao Special Administrative Region),
Republic of Albania,
Republic of Chile,
Republic of Croatia,
Republic of India,
Republic of Kazakhstan,
Republic of Korea,
Republic of North Macedonia, the,
Republic of Serbia,
Republic of Singapore,
Republic of South Africa,
Republic of Tunisia,
Republic of Turkey,
F6...
Ukraine,
United Arab Emirates,
United Mexican States.
Textual Amendments
F6Words in Annex 2d Pt. 2 omitted (7.12.2022) by virtue of The Export Control (Amendment) (EU Exit) Regulations 2022 (S.I. 2022/1300), regs. 1(1), 21
Textual Amendments
F7Words in Annex 2d Pt. 3 para. 1 substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(i) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
Textual Amendments
F8Words in Annex 2d Pt. 3 para. 2 substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(ii)(aa) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F9Word in Annex 2d Pt. 3 para. 2 substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(ii)(bb) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
the exporter has been informed by [F10the Secretary of State] that the items in question are or may be intended, in their entirety or in part:
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;
for a military end-use as defined in Article 4(2) of this Regulation where the purchasing country or country of destination is subject to an arms embargo imposed by F11... a decision of the Organization for Security and Co-operation in Europe or an arms embargo imposed by a binding resolution of the Security Council of the United Nations; or
the exporter is aware that the items in question are intended, in their entirety or in part, for any of the uses referred to in subparagraph (1);
the relevant items are exported to a customs-free zone or a free warehouse which is located in a destination covered by this authorisation;
the exporter has been informed by [F14the Secretary of State], or is otherwise aware (e.g., from information received from the manufacturer), that the items in question have been classified by [F15the Secretary of State] as having a protective national security classification marking F16...;
their return, in their original state, without the removal, copying or dissemination of any component or software, cannot be guaranteed by the exporter, or where a transfer of technology is connected with a presentation;
the relevant items are to be exported for a private presentation or demonstration (e.g., in in-house showrooms);
the relevant items are to be merged into any production process;
the relevant items are to be used for their intended purpose, except to the minimum extent required for effective demonstration, but without making specific test outputs available to third parties;
the export is to take place as a result of a commercial transaction, in particular as regards the sale, rental or lease of the relevant items;
the relevant items are to be stored at an exhibition or fair only for the purpose of sale, rent or lease, without being presented or demonstrated;
the exporter makes any arrangement which would prevent him from keeping the relevant items under his control during the whole period of the temporary export.
Textual Amendments
F10Words in Annex 2d Pt. 3 para. 3(1) substituted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(iii) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F11Words in Annex 2d Pt. 3 para. 3(1)(b) omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(iv) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F12Words in Annex 2d Pt. 3 para. 3(1)(c) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(v)(aa) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F13Words in Annex 2d Pt. 3 para. 3(1)(c) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(v)(bb) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F14Words in Annex 2d Pt. 3 para. 3(4) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(vi)(aa) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F15Words in Annex 2d Pt. 3 para. 3(4) substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(vi)(bb) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F16Words in Annex 2d Pt. 3 para. 3(4) omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(vi)(cc) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
Textual Amendments
F17Word in Annex 2d Pt. 3 para. 4 omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(vii)(aa) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F18Word in Annex 2d Pt. 3 para. 4 substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(vii)(bb) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
Reporting requirements attached to the use of this authorisation and additional information that the [F22Secretary of State] might require on items exported under this authorisation are defined by [F23the Secretary of State].
Textual Amendments
F22Words in Annex 2d Pt. 3 para. 5 substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(ix)(aa) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F23Words in Annex 2d Pt. 3 para. 5 substituted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(ix)(bb) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
[F24The Secretary of State] may require exporters F25... to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the [F26Secretary of State] to the exporter without delay and in any case within 10 working days of receipt, subject to Article 9(1) of this Regulation.
Textual Amendments
F24Words in Annex 2d Pt. 3 para. 5 substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(x)(aa) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F25Words in Annex 2d Pt. 3 para. 5 omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(x)(bb) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F26Words in Annex 2d Pt. 3 para. 5 substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(x)(cc) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
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 [F27the Secretary of State] which provide for such authorisations.
Textual Amendments
F27Words in Annex 2d Pt. 3 para. 5 substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(xi) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
Textual Amendments
F19Words in Annex 2d Pt. 3 para. 5 substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(viii)(aa) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F20Words in Annex 2d Pt. 3 para. 5 substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(viii)(bb) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
F21Words in Annex 2d Pt. 3 para. 5 omitted (31.12.2020) by virtue of The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(d)(viii)(cc) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
Textual Amendments
F4Words in Annex 2d substituted (31.12.2020) by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/771), regs. 1, 3(26)(b) (with reg. 5) (as amended by S.I. 2020/1502, regs. 2(3), 10); 2020 c. 1, Sch. 5 para. 1(1)
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