Council Regulation (EC) No 428/2009Show full title

[F1 Issuing authority: [F2 the Secretary of State] U.K.

Part 1 –Items U.K.

This general export authorisation covers all dual-use items specified in any entry in Annex I to this Regulation except:

(a)

all items listed in Annex IIg;

(b)

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);

(c)

all items in Section E set out in Annex I to this Regulation;

(d)

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.

Part 2 –Destinations U.K.

This authorisation is valid F3 ... for exports to the following destinations:

Textual Amendments

F3 Words 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,

• F4 ...

• Ukraine,

• United Arab Emirates,

• United Mexican States.

Textual Amendments

F4 Words 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

Part 3 –Conditions and requirements for use U.K.

1. This authorisation authorises the export of items listed in Part 1 on condition that the export concerns temporary export for exhibition or fair as defined in point 6 and that the items are [F5 imported] within a period of 120 days after the initial export, complete and without modification, into the customs territory of the [F5 United Kingdom]. U.K.

Textual Amendments

F5 Words 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)

2. The [F6 Secretary of State may], at the exporter’s request, waive the requirement that the items are to be [F7 imported] as stated in paragraph 1. To waive the requirement, the procedure for individual authorisations laid down in Articles 9(2) and 14(1) of this Regulation shall apply accordingly. U.K.

Textual Amendments

F6 Words 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)

F7 Word 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)

3. This authorisation does not authorise the export of items where: U.K.

(1)

the exporter has been informed by [F8 the Secretary of State] that the items in question are or may be intended, in their entirety or in part:

(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;

(b)

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 F9 ... 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

(c)

for use as parts or components of military items listed in the national military list that have been exported from the [F10 United Kingdom] without authorisation or in breach of an authorisation prescribed by [F11 national legislation];

(2)

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);

(3)

the relevant items are exported to a customs-free zone or a free warehouse which is located in a destination covered by this authorisation;

(4)

the exporter has been informed by [F12 the Secretary of State], or is otherwise aware (e.g., from information received from the manufacturer), that the items in question have been classified by [F13 the Secretary of State] as having a protective national security classification marking F14 ...;

(5)

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;

(6)

the relevant items are to be exported for a private presentation or demonstration (e.g., in in-house showrooms);

(7)

the relevant items are to be merged into any production process;

(8)

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;

(9)

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;

(10)

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;

(11)

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

F8 Words 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)

F9 Words 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)

F10 Words 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)

F11 Words 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)

F12 Words 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)

F13 Words 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)

F14 Words 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)

4. Exporters must mention the F15 ... reference number X002 and specify that the items are being exported under F15 ... General Export Authorisation [F16 004] in box 44 of the Single Administrative Document. U.K.

Textual Amendments

F15 Word 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)

F16 Word 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)

5. Any exporter who uses this authorisation must notify the [F17 Secretary of State] of the first use of this authorisation no later than 30 days after the date when the first export took place or, alternatively, and in accordance with a requirement by the [F18 Secretary of State], prior to the first use of this authorisation. F19 ... U.K.

Reporting requirements attached to the use of this authorisation and additional information that the [F20 Secretary of State] might require on items exported under this authorisation are defined by [F21 the Secretary of State].

Textual Amendments

F20 Words 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)

F21 Words 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)

[F22 The Secretary of State] may require exporters F23 ... to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the [F24 Secretary 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

F22 Words 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)

F23 Words 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)

F24 Words 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 [F25 the Secretary of State] which provide for such authorisations.

Textual Amendments

F25 Words 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

F17 Words 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)

F18 Words 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)

F19 Words 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)

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.] U.K.

Textual Amendments

F1 Substituted 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.

F2 Words 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)