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

1. Introductory Text

2. CHAPTER I SUBJECT AND DEFINITIONS

   1. Article 1. This Regulation sets up a Community regime for the control...

   2. Article 2. For the purposes of this Regulation: ‘dual-use items’ shall mean...

3. CHAPTER II SCOPE

   1. Article 3. (1) An authorisation shall be required for the export of...

   2. Article 4. (1) An authorisation shall be required for the export of...

   3. Article 5. (1) An authorisation shall be required for brokering services of...

   4. Article 6. (1) The transit of non-Community dual-use items listed in Annex...

   5. Article 7. This Regulation does not apply to the supply of services...

   6. Article 8. (1) A Member State may prohibit or impose an authorisation...

4. CHAPTER III EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES

   1. Article 9. (1) Union General Export Authorisations for certain exports as set...

   2. Article 10. (1) Authorisations for brokering services under this Regulation shall be...

   3. Article 11. (1) If the dual-use items in respect of which an...

   4. Article 12. (1) In deciding whether or not to grant an individual...

   5. Article 13. (1) The competent authorities of the Member States, acting in...

   6. Article 14. (1) All individual and global export authorisations and authorisations for...

5. CHAPTER IV UPDATING OF LIST OF DUAL-USE ITEMS

   1. Article 15. (1) The list of dual-use items set out in Annex...

6. CHAPTER V CUSTOMS PROCEDURES

   1. Article 16. (1) When completing the formalities for the export of dual-use...

   2. Article 17. (1) Member States may provide that customs formalities for the...

   3. Article 18. The provisions of Articles 843 and 912a to 912g of...

7. CHAPTER VI ADMINISTRATIVE COOPERATION

   1. Article 19. (1) Member States, in cooperation with the Commission, shall take...

8. CHAPTER VII CONTROL MEASURES

   1. Article 20. (1) Exporters of dual-use items shall keep detailed registers or...

   2. Article 21. In order to ensure that this Regulation is properly applied,...

9. CHAPTER VIII OTHER PROVISIONS

   1. Article 22. (1) An authorisation shall be required for intra-Community transfers of...

   2. Article 23. (1) A Dual-Use Coordination Group chaired by a representative of...

   3. Article 23a. (1) The power to adopt delegated acts is conferred on...

   4. Article 23b. (1) Delegated acts adopted under this Article shall enter into...

   5. Article 24. Each Member State shall take appropriate measures to ensure proper...

   6. Article 25. (1) Each Member State shall inform the Commission of the...

   7. Article 25a. Without prejudice to the provisions on mutual administrative assistance agreements...

   8. Article 26. This Regulation does not affect: the application of Article 296...

   9. Article 27. Regulation (EC) No 1334/2000 is repealed with effect from 27...

   10. Article 28. This Regulation shall enter into force 90 days after the...

10. Signature

11. 1. ANNEX I

       1. LIST OF DUAL-USE ITEMS (referred to in Article 3 of this Regulation)

          1. GENERAL NOTES TO ANNEX I

             1. 1. 1.For control of goods which are designed or modified for military use, see the relevant

             2. 2. The object of the controls contained in this Annex should not be defeated by the export of any non-controlled goods (including plant) containing one or more controlled components when the controlled component or components are the principal element of the goods and can feasibly be removed or used for other purposes.

                1. N.B. In judging whether the controlled component or components are to be considered the principal

             3. 3. 3.Goods specified in this Annex include both new and used goods.

             4. 4. 4.In some instances chemicals are listed by name and CAS number. The list applies to

          2. NUCLEAR TECHNOLOGY NOTE (NTN)

          3. GENERAL TECHNOLOGY NOTE (GTN)

             1. Note: This does not release such technology specified in 1E002.e., 1E002.f., 8E002.a. and 8E002.b.

          4. NUCLEAR SOFTWARE NOTE (NSN)

             1. Note: The Nuclear Software Note does not release software specified in Category 5 - Part

          5. GENERAL SOFTWARE NOTE (GSN)

          6. GENERAL ‘INFORMATION SECURITY’ NOTE (GISN)

          7. EDITORIAL PRACTICES IN THE OFFICIAL JOURNAL OF THE EUROPEAN UNION

          8. ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX

          9. DEFINITIONS OF TERMS USED IN THIS ANNEX

             1. N.B. Category references are given in brackets after the defined term.

             2. N.B. See Category 4, Technical Note.

             3. N.B. See also civil aircraft.

             4. N.B. Additional and alternative allocations are not included.

             5. N.B. A common use of asymmetric algorithms is key management.

             6. N.B.1.Basic gate propagation delay time is not to be confused with the input/output delay time

             7. N.B.2.Family consists of all integrated circuits to which all of the following are applied as

             8. N.B. See also aircraft.

             9. Technical Notes:

                1. 1. 1.Cryptographic activation techniques and mechanisms may be implemented as hardware, software or technology.

                2. 2. 2.Mechanisms for cryptographic activation can, for example, be serial number-based licence keys or authentication instruments

             10. Notes:

                 1. 1. 1.Cryptography does not include fixed data compression or coding techniques.

                 2. 2. 2.Cryptography includes decryption.

             11. Technical Notes:

                 1. 1. 1.Secret parameter: a constant or key kept from the knowledge of others or shared only

                 2. 2. 2.Fixed: the coding or compression algorithm cannot accept externally supplied parameters (e.g., cryptographic or key

             12. N.B. Modifications of a stored sequence of instructions include replacement of fixed storage devices, but

             13. N.B. See also total digital transfer rate.

             14. N.B.1.Circuit element: a single active or passive functional part of an electronic circuit, such as

             15. N.B.2.Discrete component: a separately packaged circuit element with its own external connections.

             16. N.B.Active tooling unit means a device for applying motive power, process energy or sensing to

             17. N.B.Circuit element is a single active or passive functional part of an electronic circuit, such

             18. N.B. This is not intended to include a stack of single detector elements or any

             19. N.B.1.Circuit element: a single active or passive functional part of an electronic circuit, such as

             20. N.B.2.Discrete component: a separately packaged circuit element with its own external connections.

             21. Technical Note:

             22. N.B. See also magnetic gradiometer.

             23. Notes:

                 1. 1. ‘ Intrusion software ’ does not include any of the following:

                 2. 2. 2.Network-capable devices include mobile devices and smart meters.

             24. Technical Notes:

                 1. 1. 1.Monitoring toolssoftware or hardware devices, that monitor system behaviours or processes running on a device.

                 2. 2. 2.Protective countermeasures: techniques designed to ensure the safe execution of code, such as Data Execution

             25. N.B. See alsoChemical laserCW laserPulsed laserSuper High Power Laser.

             26. N.B.Data device means equipment capable of transmitting or receiving sequences of digital information.

             27. N.B. See also intrinsic magnetic gradiometer.

             28. N.B. The internal storage may be augmented by an external storage.

             29. N.B.1. The microprocessor microcircuit normally does not contain integral user-accessible storage, although storage present on-the-chip

             30. N.B.2. This includes chip sets which are designed to operate together to provide the function

             31. N.B.Circuit element is a single active or passive functional part of an electronic circuit, such

             32. Note:OAM does not include any of the following tasks or their associated key management functions:Provisioning

             33. Technical Note:

             34. Technical Note:

             35. Technical Note:

             36. N.B. The above definition does not include the following devices:Manipulation mechanisms which are only manually/teleoperator

             37. N.B.Strand is a bundle of monofilaments (typically over 200) arranged approximately parallel.

             38. N.B.Microprogram means a sequence of elementary instructions, maintained in a special storage, the execution of

             39. N.B. A determination that a specific item is Space-qualified by virtue of testing does not

             40. N.B.1.Discrete component: a separately packaged circuit element with its own external connections.

             41. N.B.2.Circuit element: a single active or passive functional part of an electronic circuit, such as

             42. N.B. The superconductive state of a material is individually characterised by a critical temperature, a

             43. N.B. A common use of symmetric algorithms is confidentiality of data.

             44. N.B.Strand is a bundle of monofilaments (typically over 200) arranged approximately parallel.

             45. N.B.1.Technical assistance may take forms such as instructions, skills, training, working knowledge and consulting services

             46. N.B.2.Technical data may take forms such as blueprints, plans, diagrams, models, formulae, tables, engineering designs

             47. N.B. See also digital transfer rate.

             48. N.B.Strand is a bundle of monofilaments (typically over 200) arranged approximately parallel.

       2. CATEGORY 0 - NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT

          1. 0A Systems, Equipment and Components

          2. 0B Test, Inspection and Production Equipment

          3. 0C Materials

          4. 0D Software

          5. 0E Technology

       3. CATEGORY 1 – SPECIAL MATERIALS AND RELATED EQUIPMENT

          1. 1A Systems, Equipment and Components

          2. 1B Test, Inspection and Production Equipment

          3. 1C Materials

             1. Technical Note:

          4. 1D Software

          5. 1E Technology

       4. CATEGORY 2 - MATERIALS PROCESSING

          1. 2A Systems, Equipment and Components

             1. N.B. For quiet running bearings, see the Military Goods Controls.

          2. 2B Test, Inspection and Production Equipment

             1. Technical Notes:

                1. 1. 1.Secondary parallel contouring axes, (e.g., the w-axis on horizontal boring mills or a secondary rotary

                2. 2. For the purposes of 2B, the number of axes which can be co-ordinated simultaneously for ‘ contouring control ’ is the number of axes along or around which, during processing of the workpiece, simultaneous and interrelated motions are performed between the workpiece and a tool. This does not include any additional axes along or around which other relative movement within the machine are performed such as:

                3. 3. 3.Axis nomenclature shall be in accordance with International Standard ISO 841:2001, Industrial automation systems and

                4. 4. 4.For the purposes of 2B001 to 2B009 a tilting spindle is counted as a rotary

                5. 5. ‘ Stated “ unidirectional positioning repeatability ” ’ may be used for each machine tool model as an alternative to individual machine tests and is determined as follows:

                6. 6. 6.For the purposes of 2B001.a. to 2B001.c., measurement uncertainty for the unidirectional positioning repeatability of

                7. 7. 7.For the purpose of 2B001.a. to 2B001.c., the measurement of axes shall be made according

          3. 2C Materials

          4. 2D Software

          5. 2E Technology

             1. TABLE - DEPOSITION TECHNIQUES - NOTES

                1. 1. 1.The term coating process includes coating repair and refurbishing as well as original coating.

                2. 2. 2.The term alloyed aluminide coating includes single or multiple-step coatings in which an element or

                3. 3. 3.The term noble metal modified aluminide coating includes multiple-step coatings in which the noble metal

                4. 4. 4.The term mixtures thereof includes infiltrated material, graded compositions, co-deposits and multilayer deposits and are

                5. 5. ‘MCrAlX’ refers to a coating alloy where M equals cobalt, iron, nickel or combinations thereof and X equals hafnium, yttrium, silicon, tantalum in any amount or other intentional additions over 0,01 % by weight in various proportions and combinations, except:

                6. 6. 6.The term aluminium alloys refers to alloys having an ultimate tensile strength of 190 MPa

                7. 7. 7.The term corrosion resistant steel refers to AISI (American Iron and Steel Institute) 300 series

                8. 8. 8.Refractory metals and alloys include the following metals and their alloys: niobium (columbium), molybdenum, tungsten

                9. 9. 9.Sensor window materials, as follows: alumina, silicon, germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond,

                10. 10. 10.Category 2 does not include technology for single-step pack cementation of solid airfoils.

                11. 11. 11.Polymers, as follows: polyimide, polyester, polysulphide, polycarbonates and polyurethanes.

                12. 12. 12.Modified zirconia refers to additions of other metal oxides (e.g., calcia, magnesia, yttria, hafnia, rare

                13. 13. 13.Titanium alloys refers only to aerospace alloys having an ultimate tensile strength of 900 MPa

                14. 14. 14.Low-expansion glasses refers to glasses which have a coefficient of thermal expansion of 1 x

                15. 15. 15.Dielectric layers are coatings constructed of multi-layers of insulator materials in which the interference properties

                16. 16. 16.Cemented tungsten carbide does not include cutting and forming tool materials consisting of tungsten carbide/(cobalt,

                17. 17. ‘Technology’ for depositing diamond-like carbon on any of the following is not controlled:

                18. 18. 18.Silicon carbide does not include cutting and forming tool materials.

                19. 19. 19.Ceramic substrates, as used in this entry, does not include ceramic materials containing 5 %

             2. TABLE - DEPOSITION TECHNIQUES - TECHNICAL NOTE

       5. CATEGORY 3 - ELECTRONICS

          1. 3A Systems, Equipment and Components

             1. Note 1: The control status of equipment and components described in 3A001 or 3A002, other

             2. Note 2: The control status of integrated circuits described in 3A001.a.3. to 3A001.a.9., or 3A001.a.12.

                1. N.B. When the manufacturer or applicant cannot determine the control status of the other equipment,

             3. Note 3: The status of wafers (finished or unfinished), in which the function has been

          2. 3B Test, Inspection and Production Equipment

          3. 3C Materials

          4. 3D Software

          5. 3E Technology

       6. CATEGORY 4 - COMPUTERS

          1. Note 1: Computers, related equipment and software performing telecommunications or local area network functions must

          2. Note 2: Control units which directly interconnect the buses or channels of central processing units,

             1. N.B. For the control status of software specially designed for packet switching, see 5D001.

             2. Technical Note:

          3. 4A Systems, Equipment and Components

          4. 4B Test, Inspection and Production Equipment

          5. 4C Materials

          6. 4D Software

             1. Note: The control status of software for equipment described in other Categories is dealt with

          7. 4E Technology

             1. TECHNICAL NOTE ON ‘ADJUSTED PEAK PERFORMANCE’ (‘APP’)

                1. Abbreviations used in this Technical Note

                2. Outline of ‘ APP ’ calculation method

                   1. 1. For each processor i, determine the peak number of 64-bit or larger floating point operations, FPO i , performed per cycle for each processor in the ‘digital computer’.

                      1. Note In determining FPO, include only 64-bit or larger floating point additions or multiplications. All

                   2. 2. 2.Calculate the floating point rate R for each processor Ri = FPOi/ti.

                   3. 3. 3.Calculate APP as APP = W1 x R1 + W2 x R2 + … +

                   4. 4. For ‘vector processors’, W i = 0,9 . For non-‘vector processors’, W i = 0,3 .

                      1. Note 1 For processors that perform compound operations in a cycle, such as addition and

                      2. Note 2 For a pipelined processor the effective calculating rate R is the faster of

                      3. Note 3 The calculating rate R of each contributing processor is to be calculated at

                      4. Note 4 Do not include processors that are limited to input/output and peripheral functions (e.g.,

                      5. Note 5APP values are not to be calculated for processor combinations (inter)connected by Local Area

                      6. Note 6APP values must be calculated for processor combinations containing processors specially designed to enhance

                         1. Technical Note:

                            1. 1. 1.Aggregate all processors and accelerators operating simultaneously and located on the same die.

                            2. 2. 2.Processor combinations share memory when any processor is capable of accessing any memory location in

                      7. Note 7 A vector processor is defined as a processor with built-in instructions that perform

       7. CATEGORY 5 - TELECOMMUNICATIONS AND ‘ INFORMATION SECURITY ’

          1. Part 1 - TELECOMMUNICATIONS Part 1 - TELECOMMUNICATIONSNote 1: The control status of components, test and production equipment and

             1. Note 1: The control status of components, test and production equipment and software therefor which

                1. N.B. For lasers specially designed for telecommunications equipment or systems, see 6A005.

             2. Note 2:Digital computers, related equipment or software, when essential for the operation and support of

             3. 5A1 Systems, Equipment and Components

             4. 5B1 Test, Inspection and Production Equipment

             5. 5C1 Materials

             6. 5D1 Software

             7. 5E1 Technology

          2. Part 2 - ‘ INFORMATION SECURITY ’ Part 2 - INFORMATION SECURITYNote 1: Not used.Note 2: Category 5 – Part 2 does

             1. Note 1: Not used.

             2. Note 2: Category 5 – Part 2 does not control products when accompanying their user

             3. Note 3: Cryptography Note5A002, 5D002.a.1., 5D002.b. and 5D002.c.1. do not control items as follows:Items that

                1. Note to the Cryptography Note:

                   1. 1. To meet paragraph a. of Note 3, all of the following must apply:

                   2. 2. 2.In determining eligibility of paragraph a. of Note 3, competent authorities may take into account

             4. 5A2 Systems, Equipment and Components

             5. 5B2 Test, Inspection and Production Equipment

             6. 5C2 Materials

             7. 5D2 Software

             8. 5E2 Technology

       8. CATEGORY 6 - SENSORS AND LASERS

          1. 6A Systems, Equipment and Components

          2. 6B Test, Inspection and Production Equipment

          3. 6C Materials

          4. 6D Software

          5. 6E Technology

       9. CATEGORY 7 - NAVIGATION AND AVIONICS

          1. 7A Systems, Equipment and Components

             1. N.B. For automatic pilots for underwater vehicles, see Category 8.For radar, see Category 6.

          2. 7B Test, Inspection and Production Equipment

          3. 7C Materials

          4. 7D Software

          5. 7E Technology

       10. CATEGORY 8 - MARINE

           1. 8A Systems, Equipment and Components

           2. 8B Test, Inspection and Production Equipment

           3. 8C Materials

           4. 8D Software

           5. 8E Technology

       11. CATEGORY 9 – AEROSPACE AND PROPULSION

           1. 9A Systems, Equipment and Components

              1. N.B. For propulsion systems designed or rated against neutron or transient ionizing radiation, see the

           2. 9B Test, Inspection and Production Equipment

           3. 9C Materials

           4. 9D Software

           5. 9E Technology

              1. Note:Development or productiontechnology specified in 9E001 to 9E003 for gas turbine engines remains controlled when

    2. ANNEX IIa

       UNION GENERAL EXPORT AUTHORISATION No EU001

       1. Exports to Australia, Canada, Japan, New Zealand, Norway, Switzerland, including...

          1. Issuing authority: European Commission

             1. Part 1 This general export authorisation covers all dual-use items specified in...

             2. Part 2 This export authorisation is valid throughout the Union for exports...

                1. Conditions and requirements for use of this authorisation

                   1. 1. Exporters that use this authorisation shall notify the competent authorities...

                   2. 2. This authorisation may not be used if:

                   3. 3. Reporting requirements attached to the use of this authorisation and...

    3. ANNEX IIb

       UNION GENERAL EXPORT AUTHORISATION No EU002

       1. Exports of certain dual-use items to certain destinations

          1. Issuing authority: European Union

             1. Part 1 –Items This general export authorisation covers the following dual-use items specified...

             2. Part 2 –Destinations This authorisation is valid throughout the Union for exports to...

             3. Part 3 –Conditions and requirements for use 1. This authorisation does not authorise the export of items...

                1. 1. This authorisation does not authorise the export of items where:...

                2. 2. Exporters must mention the EU reference number X002 and specify...

                3. 3. Any exporter who uses this authorisation must notify the competent...

    4. ANNEX IIc

       UNION GENERAL EXPORT AUTHORISATION No EU003

       1. Export after repair/replacement

          1. Issuing authority: European Union

             1. Part 1 —Items 1. This general export authorisation covers all dual-use items specified...

                1. 1. This general export authorisation covers all dual-use items specified in...

                2. 2. Items excluded:

             2. Part 2 —Destinations This authorisation is valid throughout the Union for exports to...

             3. Part 3 —Conditions and requirements for use 1. This authorisation can only be used when the initial...

                1. 1. This authorisation can only be used when the initial export...

                2. 2. This authorisation does not authorise the export of items where:...

                3. 3. On exportation of any of the items pursuant to this...

                4. 4. Any exporter who uses this authorisation must notify the competent...

                5. 5. This authorisation covers items for ‘ repair ’ , ‘...

    5. ANNEX IId

       UNION GENERAL EXPORT AUTHORISATION No EU004

       1. Temporary export for exhibition or fair

          1. Issuing authority: European Union

             1. Part 1 –Items This general export authorisation covers all dual-use items specified in...

             2. Part 2 –Destinations This authorisation is valid throughout the Union for exports to...

             3. Part 3 –Conditions and requirements for use 1. This authorisation authorises the export of items listed in...

                1. 1. This authorisation authorises the export of items listed in Part...

                2. 2. The competent authority of the Member State where the exporter...

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

                4. 4. Exporters must mention the EU reference number X002 and specify...

                5. 5. Any exporter who uses this authorisation must notify the competent...

                6. 6. For the purpose of this authorisation, ‘ exhibition or fair...

    6. ANNEX IIe

       UNION GENERAL EXPORT AUTHORISATION No EU005

       1. Telecommunications

          1. Issuing authority: European Union

             1. Part 1 –Items This general export authorisation covers the following dual-use items specified...

             2. Part 2 –Destinations This authorisation is valid throughout the Union for exports to...

             3. Part 3 –Conditions and requirements for use 1. This authorisation does not authorise the export of items...

                1. 1. This authorisation does not authorise the export of items where:...

                2. 2. Exporters must mention the EU reference number X002 and specify...

                3. 3. Any exporter who uses this authorisation must notify the competent...

    7. ANNEX IIf

       UNION GENERAL EXPORT AUTHORISATION No EU006

       1. Chemicals

          1. Part 1 –Items This general export authorisation covers the following dual-use items specified...

             1. 1C350:

             2. 1C450.a:

             3. 1C450.b:

          2. Part 2 –Destinations This authorisation is valid throughout the Union for exports to...

          3. Part 3 –Conditions and requirements for use 1. This authorisation does not authorise the export of items...

             1. 1. This authorisation does not authorise the export of items where:...

             2. 2. Exporters must mention the EU reference number X002 and specify...

             3. 3. Any exporter who uses this authorisation must notify the competent...

    8. ANNEX IIg

       (List referred to in Article 9(4)(a) of this Regulation and Annexes IIa, IIc and IId to this Regulation)

       1. The entries do not always provide a complete description of...

       2. The mention of an item in this Annex does not...

       3. all items specified in Annex IV, 0C001 ‘ Natural uranium...

    9. ANNEX IIIa

       (model for individual or global export authorisation forms)

       1. When granting the export authorisations, Member States will strive to...

       2. This is an export authorisation valid in all Member States...

    10. ANNEX IIIb

        (model for brokering services authorisation forms)

    11. ANNEX IIIc

        COMMON ELEMENTS FOR PUBLICATION OF NATIONAL GENERAL EXPORT AUTHORISATIONS IN NATIONAL OFFICIAL JOURNALS

        1. Title of general export authorisation Authority issuing the authorisation EC...

    12. ANNEX IV

        (List referred to in Article 22(1) of this Regulation)

        1. The entries do not always cover the complete description of...

        2. The mention of an item in this Annex does not...

        3. The terms appearing in straight double quotes are defined terms...

        4. PART I (possibility of National General Authorisation for intra-Community trade)

           1. Items of stealth technology

           2. Items of the Community strategic control

           3. Items of the Community strategic control — Cryptanalysis — Category...

           4. Items of the MTCR technology

           5. Exemptions:

        5. PART II (no National General Authorisation for intra-Community trade)

           1. Items of the CWC (Chemical Weapons Convention)

           2. Items of the NSG technology

              1. All Category 0 of Annex I is included in Annex...

    13. ANNEX V

        Repealed Regulation with its successive amendments

    14. ANNEX VI

        Correlation Table