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

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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  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 I...

    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) A Community General Export Authorisation for certain exports as...

    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 I...

  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 Regulation (EEC) No 2454/93...

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

    4. Article 25.Each Member State shall inform the Commission of the laws,...

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

    6. Article 27.Regulation (EC) No 1334/2000 is repealed with effect from 27 August 2009....

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

  10. Signature

    1. Expand +/Collapse -

      ANNEX I

      List referred to in Article 3 of this Regulation

      1. LIST OF DUAL-USE ITEMS

        2. CONTENTS

        3. GENERAL NOTES TO ANNEX I

        4. NUCLEAR TECHNOLOGY NOTE (NTN) (To be read in conjunction with section E of Category 0.)...

        5. GENERAL TECHNOLOGY NOTE (GTN) (To be read in conjunction with section E of Categories 1...

        6. GENERAL SOFTWARE NOTE (GSN) (This note overrides any control within section D of Categories 0...

        7. EDITORIAL PRACTICES IN THE OFFICIAL JOURNAL OF THE EC

        8. DEFINITIONS OF TERMS USED IN THIS ANNEX

        9. ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX

        10. CATEGORY 0 NUCLEAR MATERIALS, FACILITIES, AND EQUIPMENT

          1. Systems, Equipment and Components

          2. Test, Inspection and Production Equipment

          3. Materials

          4. Software

          5. Technology

        11. CATEGORY 1 SPECIAL MATERIALS AND RELATED EQUIPMENT

          1. Systems, Equipment and Components

            12. Technical Notes:

            18. Technical Note:

            21. Technical Notes:

            22. Technical Note:

            24. Technical Note:

          2. Test, Inspection and Production Equipment

          3. Materials

            1. Technical Note:

            5. Technical Notes:

            6. Technical Note:

            8. Technical Note:

            11. Technical Note:

            14. Technical Note:

            17. Technical Note:

            18. Technical Note:

            21. Technical Note:

            23. Technical Note:

            28. Technical Note:

            34. Technical Note:

            42. Technical Notes:

          4. Software

          5. Technology

        12. CATEGORY 2 MATERIALS PROCESSING

          1. Systems, Equipment and Components

            3. Technical Note:

          2. Test, Inspection and Production Equipment

            1. Technical Notes:

            7. Technical Notes:

            9. Technical Note:

            15. Technical Note:

            19. Technical Note:

            20. Technical Note:

            24. Technical Note:

            27. Technical Notes:

            29. Technical Note:

            32. Technical Note:

            33. Technical Notes:

            34. Technical Note:

          3. Materials

          4. Software

          5. Technology

            1. Table — Deposition techniques — Notes

            2. Table — Deposition techniques — Technical note

        13. CATEGORY 3 ELECTRONICS

          1. Systems, Equipment and Components

            3. Technical Notes:

            4. Technical Note:

            7. Technical Note:

          2. Test, Inspection and Production Equipment

          3. Materials

          4. Software

            1. Technical Note:

          5. Technology

        14. CATEGORY 4 COMPUTERS

          4. Systems, Equipment and Components

          5. Test, Inspection and Production Equipment

          6. Materials

          7. Software

          8. Technology

          9. TECHNICAL NOTE ON "ADJUSTED PEAK PERFORMANCE" ("APP")

        15. CATEGORY 5 TELECOMMUNICATIONS AND "INFORMATION SECURITY"

          1. Expand +/Collapse -

            PART 1 TELECOMMUNICATIONS

            3. Systems, Equipment and Components

              1. Technical Note:

            4. Test, Inspection and Production Equipment

            5. Materials

            6. Software

            7. Technology

          2. Expand +/Collapse -

            PART 2 "INFORMATION SECURITY"

            4. Technical Note:

            5. Systems, Equipment and Components

            6. Test, Inspection and Production Equipment

            7. Materials

            8. Software

            9. Technology

        16. CATEGORY 6 SENSORS AND LASERS

          1. Systems, Equipment and Components

            10. Technical Note:

            12. Technical Note:

            16. Technical Note:

          2. Test, Inspection and Production Equipment

            3. Technical Note:

          3. Materials

          4. Software

            1. Technical Note:

          5. Technology

        17. CATEGORY 7 NAVIGATION AND AVIONICS

          1. Systems, Equipment and Components

            10. Technical Notes:

            17. Technical Notes:

            18. Technical Notes:

            19. Technical Note:

          2. Test, Inspection and Production Equipment

            2. Technical Notes:

          3. Materials

          4. Software

            2. Technical Note:

          5. Technology

        18. CATEGORY 8 MARINE

          1. Systems, Equipment and Components

          2. Test, Inspection and Production Equipment

          3. Materials

            2. Technical Note:

          4. Software

          5. Technology

        19. CATEGORY 9 AEROSPACE AND PROPULSION

          1. Systems, Equipment and Components

            14. Technical Notes:

            19. Technical Note:

            21. Technical Note:

            26. Technical Notes:

          2. Test, Inspection and Production Equipment

            4. Technical Note:

          3. Materials

            1. Technical Note:

          4. Software

          5. Technology

            3. Technical Note:

            4. Technical Note:

    2. Expand +/Collapse -

      ANNEX II

      1. COMMUNITY GENERAL EXPORT AUTHORISATION No EU001 (referred to in Article 9 of this Regulation)

        2. Part 1 This export authorisation covers the following items:

        3. Part 2 — All items specified in Annex IV. — 0C001 "Natural uranium"...

        4. Part 3 This export authorisation is valid throughout the Community for exports...

        5. Conditions and requirements for use of this authorisation

    3. Expand +/Collapse -

      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...

    4. Expand +/Collapse -

      ANNEX IIIb

      (model for brokering services authorisation forms)

    5. Expand +/Collapse -

      ANNEX IIIc

      1. COMMON ELEMENTS FOR PUBLICATION OF NATIONAL GENERAL EXPORT AUTHORISATIONS IN NATIONAL OFFICIAL JOURNALS (referred to in Article 9(4)(b) of this Regulation)

    6. Expand +/Collapse -

      ANNEX IV

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

      2. Expand +/Collapse -

        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 — Cryptography — Category 5...

        4. Items of the MTCR technology

          1. Exemptions:

      3. Expand +/Collapse -

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

        1. Items of the CWC (Chemical Weapons Convention)

        2. Items of the NSG technology

    7. Expand +/Collapse -

      ANNEX V

      Repealed Regulation with its successive amendments

    8. Expand +/Collapse -

      ANNEX VI

      Correlation Table

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