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

[F1 PART I U.K. F2 ...

Items of stealth technology U.K.

1C001	Materials specially designed for absorbing electromagnetic radiations, or intrinsically conductive polymers. N.B. SEE ALSO 1C101
1C101	Materials and devices for reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures, other than those specified in 1C001, usable in ‘missiles’, ‘missile’ subsystems or unmanned aerial vehicles specified in 9A012. Note: 1C101 does not control materials if such goods are formulated solely for civil applications. Technical Note: In 1C101 ‘ missiles ’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.
1D103	‘ Software ’ specially designed for analysis of reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures.
1E101	‘ Technology ’ according to the GTN for the ‘ use ’ of goods specified in 1C101 or 1D103.
1E102	‘ Technology ’ according to the GTN for the ‘ development ’ of ‘ software ’ specified in 1D103.
6B008	Pulse radar cross-section measurement systems having transmit pulse widths of 100 ns or less and specially designed components therefor. N.B. SEE ALSO 6B108
6B108	Systems specially designed for radar cross section measurement usable for ‘missiles’ and their subsystems. Technical Note: In 6B108 ‘ missile ’ means complete rocket systems and unmanned aerial vehicle systems capable of a range exceeding 300 km.

Items of F3 ... strategic control U.K.

1A007	Equipment and devices, specially designed to initiate charges and devices containing ‘energetic materials’, by electrical means, as follows: N.B. SEE ALSO MILITARY GOODS CONTROLS, 3A229 AND 3A232. a. Explosive detonator firing sets designed to drive multiple controlled detonators specified in 1A007.b. below ; b. Electrically driven explosive detonators as follows: 1. Exploding bridge (EB); 2. Exploding bridge wire (EBW); 3. Slapper; 4. Exploding foil initiators (EFI). Note: 1A007.b. does not control detonators using only primary explosives, such as lead azide.
1C239	High explosives, other than those specified in the Military Goods Controls, or substances or mixtures containing more than 2 % by weight thereof, with a crystal density greater than 1,8 g/cm 3 and having a detonation velocity greater than 8 000  m/s.
1E201	‘ Technology ’ according to the General Technology Note for the ‘ use ’ of goods specified in 1C239.
3A229	High-current pulse generators, as follows … N.B. SEE ALSO MILITARY GOODS CONTROLS
3A232	Multipoint initiation systems, other than those specified in 1A007 above , as follows… N.B. SEE ALSO MILITARY GOODS CONTROLS
3E201	‘ Technology ’ according to the General Technology Note for the ‘ use ’ of equipment specified in 3A229 or 3A232.
6A001	Acoustics, limited to the following:
6A001.a.1.b.	Object detection or location systems, having any of the following: 1. A transmitting frequency below 5 kHz ; 6. Designed to withstand …;
6A001.a.2.a.2.	Hydrophones … Incorporating …
6A001.a.2.a.3.	Hydrophones … Having any …
6A001.a.2.a.6.	Hydrophones … Designed for …
6A001.a.2.b.	Towed acoustic hydrophone arrays …
6A001.a.2.c.	Processing equipment, specially designed for real time application with towed acoustic hydrophone arrays, having ‘user-accessible programmability’ and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes;
6A001.a.2.e.	Bottom or bay-cable hydrophone arrays, having any of the following: 1. Incorporating hydrophones …, or 2. Incorporating multiplexed hydrophone group signal modules …;
6A001.a.2.f.	Processing equipment, specially designed for real time application with bottom or bay cable systems, having ‘user-accessible programmability’ and time or frequency domain processing and correlation, including spectral analysis, digital filtering and beamforming using Fast Fourier or other transforms or processes;
6D003.a.	‘ Software ’ for the ‘ real-time processing ’ of acoustic data;
8A002.o.3.	Noise reduction systems designed for use on vessels of 1 000 tonnes displacement or more, as follows: b. ‘Active noise reduction or cancellation systems’, or magnetic bearings, specially designed for power transmission systems, and incorporating electronic control systems capable of actively reducing equipment vibration by the generation of anti-noise or anti-vibration signals directly to the source; Technical Note: ‘ Active noise reduction or cancellation systems ’ incorporate electronic control systems capable of actively reducing equipment vibration by the generation of anti-noise or anti-vibration signals directly to the source.
8E002.a.	‘ Technology ’ for the ‘ development ’ , ‘ production ’ , repair, overhaul or refurbishing (re-machining) of propellers specially designed for underwater noise reduction.

Textual Amendments

F3 Words in Annex 4 Pt. 1 table heading omitted (31.12.2020) by virtue of S.I. 2019/771, reg. 3(32)(c) (as substituted by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) (No. 2) Regulations 2019 (S.I. 2019/806), regs. 1, 2(6)); 2020 c. 1, Sch. 5 para. 1(1)

Items of F4 ... strategic control — Cryptanalysis — Category 5 Part 2 U.K.

5A004.a.	Equipment designed or modified to perform ‘cryptanalytic functions’. Note: 5A004.a. includes systems or equipment, designed or modified to perform ‘ cryptanalytic functions ’ by means of reverse engineering. Technical Note: ‘ Cryptanalytic functions ’ are functions designed to defeat cryptographic mechanisms in order to derive confidential variables or sensitive data, including clear text, passwords or cryptographic keys.
5D002.a.	‘Software’ specially designed or modified for the ‘development’, ‘production’ or ‘use’ of any of the following: 3. Equipment as follows: a. Equipment specified in 5A004.a.; b. Equipment specified in 5A004.b.;
5D002.c.	‘Software’ having the characteristics of, or performing or simulating the functions of, any of the following: 3. Equipment as follows: a. Equipment specified in 5A004.a.; b. Equipment specified in 5A004.b.;
5E002.a.	Only ‘technology’ for the ‘development’, ‘production’ or ‘use’ of the goods specified in 5A004.a, 5D002.a.3. or 5D002.c.3. above .

Textual Amendments

F4 Words in Annex 4 Pt. 1 table heading omitted (31.12.2020) by virtue of S.I. 2019/771, reg. 3(32)(d) (as substituted by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) (No. 2) Regulations 2019 (S.I. 2019/806), regs. 1, 2(6)); 2020 c. 1, Sch. 5 para. 1(1)

Items of the MTCR technology U.K.

7A117	‘Guidance sets’, usable in ‘missiles’ capable of achieving system accuracy of 3,33 % or less of the range (e.g., a ‘CEP’ of 10 km or less at a range of 300 km), except ‘ guidance sets ’ designed for missiles with a range under 300 km or manned aircraft . Technical Note: In 7A117 ‘ CEP ’ (Circular Error Probable or Circle of Equal Probability) is a measure of accuracy, defined as the radius of the circle centred at the target, at a specific range, in which 50 % of the payloads impact.
7B001	Test, calibration or alignment equipment specially designed for equipment specified in 7A117 above . Note: 7B001 does not control test, calibration or alignment equipment for ‘ Maintenance Level I ’ or ‘ Maintenance Level II ’ .
7B003	Equipment specially designed for the ‘production’ of equipment specified in 7A117 above.
7B103	‘Production facilities’ specially designed for equipment specified in 7A117 above .
7D101	‘Software’ specially designed for the ‘use’ of equipment specified in 7B003 or 7B103 above .
7E001	‘Technology’ according to the General Technology Note for the ‘development’ of equipment or ‘software’ specified in 7A117, 7B003, 7B103 or 7D101 above .
7E002	‘Technology’ according to the General Technology Note for the ‘production’ of equipment specified in 7A117, 7B003 and 7B103 above .
7E101	‘Technology’ according to the General Technology Note for the ‘use’ of equipment specified in 7A117, 7B003, 7B103 and 7D101 above .
9A004	Space launch vehicles capable of delivering at least a 500 kg payload to a range of at least 300 km . N.B. SEE ALSO 9A104. Note 1: 9A004 does not control payloads.
9A005	Liquid rocket propulsion systems containing any of the systems or components specified in 9A006 usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below . N.B. SEE ALSO 9A105 and 9A119.
9A007.a.	Solid rocket propulsion systems, usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below , with any of the following: N.B. SEE ALSO 9A119. a. Total impulse capacity exceeding 1,1 MNs;
9A008.d.	Components, as follows, specially designed for solid rocket propulsion systems: N.B. SEE ALSO 9A108.c. d. Movable nozzle or secondary fluid injection thrust vector control systems, usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below , capable of any of the following: 1. Omni-axial movement exceeding ± 5 o ; 2. Angular vector rotations of 20 o /s or more; or 3. Angular vector accelerations of 40 o /s 2 or more.
9A104	Sounding rockets, capable of delivering at least a 500 kg payload to a range of at least 300 km. N.B. SEE ALSO 9A004.
9A105.a.	Liquid propellant rocket engines, as follows: N.B. SEE ALSO 9A119. a. Liquid propellant rocket engines usable in ‘missiles’, other than those specified in 9A005, integrated, or designed or modified to be integrated, into a liquid propellant propulsion system which has a total impulse capacity equal to or greater than 1,1 MNs having a total impulse capacity equal to or greater than 1,1 MNs; except liquid propellant apogee engines designed or modified for satellite applications and having all of the following : 1. nozzle throat diameter of 20 mm or less; and 2. 2. combustion chamber pressure of 15 bar or less.
9A106.c.	Systems or components, other than those specified in 9A006, usable in ‘ missiles ’ , as follows, specially designed for liquid rocket propulsion systems: c. Thrust vector control sub-systems, except those designed for rocket systems that are not capable of delivering at least a 500 kg payload to a range of at least 300 km . Technical Note: Examples of methods of achieving thrust vector control specified in 9A106.c. are: 1. Flexible nozzle; 2. Fluid or secondary gas injection; 3. Movable engine or nozzle; 4. Deflection of exhaust gas stream (jet vanes or probes); or 5. Thrust tabs.
9A108.c.	Components, other than those specified in 9A008, usable in ‘ missiles ’ as follows , specially designed for solid rocket propulsion systems: c. Thrust vector control sub-systems, except those designed for rocket systems that are not capable of delivering at least a 500 kg payload to a range of at least 300 km . Technical Note: Examples of methods of achieving thrust vector control specified in 9A108.c. are: 1. Flexible nozzle; 2. Fluid or secondary gas injection; 3. Movable engine or nozzle; 4. Deflection of exhaust gas stream (jet vanes or probes); or 5. Thrust tabs.
9A116	Reentry vehicles, usable in ‘missiles’, and equipment designed or modified therefor, as follows, except for reentry vehicles designed for non-weapon payloads : a. Reentry vehicles; b. Heat shields and components therefor fabricated of ceramic or ablative materials; c. Heat sinks and components therefor fabricated of light-weight, high heat capacity materials; d. Electronic equipment specially designed for reentry vehicles.
9A119	Individual rocket stages, usable in complete rocket systems or unmanned aerial vehicles, capable of delivering at least a 500 kg payload to a range of 300 km, other than those specified in 9A005 or 9A007.a. above
9B115	Specially designed ‘production equipment’ for the systems, sub-systems and components specified in 9A005, 9A007.a., 9A008.d., 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above .
9B116	Specially designed ‘production facilities’ for the space launch vehicles specified in 9A004, or systems, sub-systems, and components specified in 9A005, 9A007.a., 9A008.d., 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above .
9D101	‘Software’ specially designed for the ‘use’ of goods specified in 9B116 above .
9E001	‘Technology’ according to the General Technology Note for the ‘development’ of equipment or ‘software’ specified in 9A004, 9A005, 9A007.a., 9A008.d., 9B115, 9B116 or 9D101 above .
9E002	‘Technology’ according to the General Technology Note for the ‘production’ of equipment specified in 9A004, 9A005, 9A007.a., 9A008.d., 9B115 or 9B116 above . Note: For ‘ technology ’ for the repair of controlled structures, laminates or materials, see 1E002.f.
9E101	‘Technology’ according to the General Technology Note for the ‘development’ or ‘production’ of goods specified in 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116 or 9A119 above .
9E102	‘Technology’ according to the General Technology Note for the ‘use’ of space launch vehicles specified in 9A004, 9A005, 9A007.a., 9A008.d., 9A104, 9A105.a., 9A106.c., 9A108.c., 9A116, 9A119, 9B115, 9B116 or 9D101 above .

Exemptions: U.K.

Annex IV does not [F5 apply to] the following items of the MTCR technology:

Textual Amendments

F5 Words in Annex 4 Pt. 1 substituted (31.12.2020) by S.I. 2019/771, reg. 3(32)(e)(i) (as substituted by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) (No. 2) Regulations 2019 (S.I. 2019/806), regs. 1, 2(6)); 2020 c. 1, Sch. 5 para. 1(1)

1.

that are transferred on the basis of orders pursuant to a contractual relationship placed by the European Space Agency (ESA) or that are transferred by ESA to accomplish its official tasks;

2.

that are transferred on the basis of orders pursuant to a contractual relationship placed by [F6 the United Kingdom’s] national space organisation or that are transferred by it to accomplish its official tasks;

3.

that are transferred on the basis of orders pursuant to a contractual relationship placed in connection with a [F7 United Kingdom] space launch development and production programme signed by [F7 the United Kingdom and one] or more European governments;

4.

F8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

Textual Amendments

F6 Words in Annex 4 Pt. 1 substituted (31.12.2020) by S.I. 2019/771, reg. 3(32)(e)(ii) (as substituted by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) (No. 2) Regulations 2019 (S.I. 2019/806), regs. 1, 2(6)); 2020 c. 1, Sch. 5 para. 1(1)

F7 Words in Annex 4 Pt. 1 substituted (31.12.2020) by S.I. 2019/771, reg. 3(32)(e)(iii) (as substituted by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) (No. 2) Regulations 2019 (S.I. 2019/806), regs. 1, 2(6)); 2020 c. 1, Sch. 5 para. 1(1)

F8 Words in Annex 4 Pt. 1 omitted (31.12.2020) by virtue of S.I. 2019/771, reg. 3(32)(e)(iv) (as substituted by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) (No. 2) Regulations 2019 (S.I. 2019/806), regs. 1, 2(6)); 2020 c. 1, Sch. 5 para. 1(1)

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 Annex 4 Pt. 1 heading omitted (31.12.2020) by virtue of S.I. 2019/771, reg. 3(32)(b) (as substituted by The Trade etc. in Dual-Use Items and Firearms etc. (Amendment) (EU Exit) (No. 2) Regulations 2019 (S.I. 2019/806), regs. 1, 2(6)); 2020 c. 1, Sch. 5 para. 1(1)