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- Original (As adopted by EU)
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
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This general export authorisation covers all dual-use items specified in any entry in Annex I to this Regulation, except those listed in Annex IIg.
This export authorisation is valid throughout the Union for exports to the following destinations:
Canada,
Commonwealth of Australia,
Japan,
Kingdom of Norway,
New Zealand,
Swiss Confederation, including Principality of Liechtenstein,
United States of America.
Exporters shall also report in the Single Administrative Document the fact that they are using this authorisation EU 001 by indicating in box 44 the reference X002.
the exporter has been informed by the competent authorities of the Member State in which he is established 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, or if the exporter is aware that the items in question are intended for such use;
the exporter has been informed by the competent authorities of the Member State in which he is established that the items in question are or may be intended for a military end use as defined in Article 4(2) of this Regulation in a country subject to an arms embargo imposed by a decision or a common position adopted by the Council or a decision of the OSCE or an arms embargo imposed by a binding resolution of the Security Council of the United Nations, or if the exporter is aware that the items in question are intended for the above mentioned uses;
the relevant items are exported to a customs free zone or free warehouse which is located in a destination covered by this authorisation.
A Member State may require the exporters established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without delay and in any case within ten working days of receipt.
Where applicable the requirements set out in the first two paragraphs of this point shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations.
This general export authorisation covers the following dual-use items specified in Annex I to this Regulation:
1A001,
1A003,
1A004,
1C003.b.,
1C003.c.,
1C004,
1C005,
1C006,
1C008,
1C009,
2B008,
3A001.a.3.,
3A001.a.6.,
3A001.a.7.,
3A001.a.9.,
3A001.a.10.,
3A001.a.11.,
3A001.a.12,
3A002.c.,
3A002.d.,
3A002.e.,
3A002.f.,
3C001,
3C002,
3C003,
3C004,
3C005,
3C006.
This authorisation is valid throughout the Union for exports to the following destinations:
Argentine Republic,
Iceland,
Republic of Croatia,
Republic of Korea,
Republic of South Africa,
Republic of Turkey.
the exporter has been informed by the competent authorities of the Member State in which he is established as defined in Article 9(6) of this Regulation 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 in a country subject to an arms embargo imposed by a decision or a common position adopted by the Council or a decision of the Organisation for Security and Cooperation in Europe or an arms embargo imposed by a binding resolution of the Security Council of the United Nations; or
for use as parts or components of military items listed in national military lists that have been exported from the territory of the Member State concerned without authorisation or in breach of an authorisation prescribed by the national legislation of that Member State;
the exporter, under his obligation to exercise due diligence, 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.
Reporting requirements attached to the use of this authorisation and additional information that the Member State from which the export is made might require on items exported under this authorisation are defined by Member States.
A Member State may require the exporters established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without delay and in any case within 10 working days of receipt, subject to Article 9(1) of this Regulation.
Where applicable the requirements set out in the second and third paragraphs shall be based on those defined for the use of national general export authorisations granted by those Member States which provide for such authorisations.
the items were reimported into the customs territory of the European Union for the purpose of maintenance, repair or replacement, and are exported or re-exported to the country of consignment without any changes to their original characteristics within a period of 5 years after the date when the original export authorisation has been granted; or
the items are exported to the country of consignment in exchange for items of the same quality and number which were reimported into the customs territory of the European Union for maintenance, repair or replacement within a period of 5 years after the date when the original export authorisation has been granted.
all items listed in Annex IIg;
all items in Sections D and E set out in Annex I to this Regulation;
the following items specified in Annex I to this Regulation:
1A002.a.,
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.a.2.a.1.,
6A001.a.2.a.5.,
6A002.a.1.c.,
8A001.b.,
8A001.c.1.,
9A011.
This authorisation is valid throughout the Union for exports to the following destinations:
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,
Russian Federation,
Ukraine,
United Arab Emirates,
United Mexican States.
the exporter has been informed by the competent authorities of the Member State in which he is established as defined in Article 9(6) of this Regulation 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 a decision or a common position adopted by the Council or 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
for use as parts or components of military items listed in the national military list that have been exported from the territory of the Member State concerned without authorisation or in breach of an authorisation prescribed by the national legislation of that Member State;
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 initial authorisation has been annulled, suspended, modified or revoked;
the exporter, under his obligation to exercise due diligence, is aware that the end-use of the items in question is different from that specified in the original export authorisation.
mention the reference number of the initial export authorisation in the export declaration to customs together with the name of the Member State that granted the authorisation, the EU reference number X002 and specify that the items are being exported under Union General Export Authorisation EU003 in box 44 of the Single Administrative Document;
provide customs officers, if so requested, with documentary evidence of the date of importation of the items into the Union, of any maintenance, repair or replacement of the items carried out in the Union and of the fact that the items are being returned to the end-user and the country from which they were imported into the Union.
Reporting requirements attached to the use of this authorisation and additional information that the Member State from which the export is made might require on items exported under this authorisation are defined by Member States.
A Member State may require the exporter established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without delay and in any case within 10 working days of receipt, subject to Article 9(1) of this Regulation.
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 those Member States which provide for such authorisations.
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 throughout the Union for exports to the following destinations:
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,
Russian Federation,
Ukraine,
United Arab Emirates,
United Mexican States.
the exporter has been informed by the competent authorities of the Member State in which he is established 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 a decision or a common position adopted by the Council or 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
for use as parts or components of military items listed in the national military list that have been exported from the territory of the Member State concerned without authorisation or in breach of an authorisation prescribed by the national legislation of that Member State;
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 a competent authority of the Member State in which he is established, or is otherwise aware (e.g., from information received from the manufacturer), that the items in question have been classified by the competent authority as having a protective national security classification marking, equivalent to or above CONFIDENTIEL UE/EU CONFIDENTIAL;
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.
Reporting requirements attached to the use of this authorisation and additional information that the Member State from which the export is made might require on items exported under this authorisation are defined by Member States.
A Member State may require exporters established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without delay and in any case within 10 working days of receipt, subject to Article 9(1) of this Regulation.
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 those Member States which provide for such authorisations.
This general export authorisation covers the following dual-use items specified in Annex I to this Regulation:
the following items of Category 5, Part l:
items, including specially designed or developed components and accessories therefor specified in 5A001.b.2. and 5A001.c. and 5A001.d.;
items specified in 5B001 and 5D001, where test, inspection and production equipment is concerned and software for items mentioned under (i);
technology controlled by 5E001.a., where required for the installation, operation, maintenance or repair of items specified under (a) and intended for the same end-user.
This authorisation is valid throughout the Union for exports to the following destinations:
Argentine Republic,
People’s Republic of China (including Hong Kong Special Administrative Region and Macao Special Administrative Region),
Republic of Croatia,
Republic of India,
Republic of South Africa,
Republic of Korea,
Republic of Turkey,
Russian Federation,
Ukraine.
the exporter has been informed by the competent authorities of the Member State in which he is established as defined in Article 9(6) of this Regulation 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 a decision or a common position adopted by the Council or 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;
for use as parts or components of military items listed in the national military list that have been exported from the territory of the Member State concerned without authorisation or in breach of an authorisation prescribed by the national legislation of that Member State; or
for use in connection with a violation of human rights, democratic principles or freedom of speech as defined by the Charter of Fundamental Rights of the European Union, by using interception technologies and digital data transfer devices for monitoring mobile phones and text messages and targeted surveillance of Internet use (e.g., via Monitoring Centres and Lawful Interception Gateways);
the exporter, under his obligation to exercise due diligence, 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 exporter, under his obligation to exercise due diligence, is aware that the items in question will be re-exported to any destination other than those listed in Part 2 of this Annex or in Part 2 of Annex IIa or to Member States;
the relevant items are exported to a customs-free zone or a free warehouse which is located in a destination covered by this authorisation.
Reporting requirements attached to the use of this authorisation and additional information that the Member State from which the export is made might require on items exported under this authorisation are defined by Member States.
A Member State may require exporters established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without delay and in any case within 10 working days of receipt, subject to Article 9(1) of this Regulation.
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 those Member States which provide for such authorisations.
This general export authorisation covers the following dual-use items specified in Annex I to this Regulation:
1C350:
Thiodiglycol (CAS 111-48-8);
Phosphorus oxychloride (CAS 10025-87-3);
Dimethyl methylphosphonate (CAS 756-79-6);
Methylphosphonyl dichloride (CAS 676-97-1);
Dimethyl phosphite (DMP) (CAS 868-85-9);
Phosphorus trichloride (CAS 7719-12-2);
Trimethyl phosphite (TMP) (CAS 121-45-9);
Thionyl chloride (CAS 7719-09-7);
3-Hydroxy-1-methylpiperidine (CAS 3554-74-3);
N,N-Diisopropyl-(beta)-aminoethyl chloride (CAS 96-79-7);
N,N-Diisopropyl-(beta)-aminoethane thiol (CAS 5842-07-9);
3-Quinuclidinol (CAS 1619-34-7);
Potassium fluoride (CAS 7789-23-3);
2-Chloroethanol (CAS 107-07-3);
Dimethylamine (CAS 124-40-3);
Diethyl ethylphosphonate (CAS 78-38-6);
Diethyl-N,N-dimethylphosphoramidate (CAS 2404-03-7);
Diethyl phosphite (CAS 762-04-9);
Dimethylamine hydrochloride (CAS 506-59-2);
Ethyl phosphinyl dichloride (CAS 1498-40-4);
Ethyl phosphonyl dichloride (CAS 1066-50-8);
Hydrogen fluoride (CAS 7664-39-3);
Methyl benzilate (CAS 76-89-1);
Methyl phosphinyl dichloride (CAS 676-83-5);
N,N-Diisopropyl-(beta)-amino ethanol (CAS 96-80-0);
Pinacolyl alcohol (CAS 464-07-3);
Triethyl phosphite (CAS 122-52-1);
Arsenic trichloride (CAS 7784-34-1);
Benzilic acid (CAS 76-93-7);
Diethyl methylphosphonite (CAS 15715-41-0);
Dimethyl ethylphosphonate (CAS 6163-75-3);
Ethyl phosphinyl difluoride (CAS 430-78-4);
Methyl phosphinyl difluoride (CAS 753-59-3);
3-Quinuclidone (CAS 3731-38-2);
Phosphorus pentachloride (CAS 10026-13-8);
Pinacolone (CAS 75-97-8);
Potassium cyanide (CAS 151-50-8);
Potassium bifluoride (CAS 7789-29-9);
Ammonium hydrogen fluoride or ammonium bifluoride (CAS 1341-49-7);
Sodium fluoride (CAS 7681-49-4);
Sodium bifluoride (CAS 1333-83-1);
Sodium cyanide (CAS 143-33-9);
Triethanolamine (CAS 102-71-6);
Phosphorus pentasulphide (CAS 1314-80-3);
Di-isopropylamine (CAS 108-18-9);
Diethylaminoethanol (CAS 100-37-8);
Sodium sulphide (CAS 1313-82-2);
Sulphur monochloride (CAS 10025-67-9);
Sulphur dichloride (CAS 10545-99-0);
Triethanolamine hydrochloride (CAS 637-39-8);
N,N-Diisopropyl-(beta)-aminoethyl chloride hydrochloride (CAS 4261-68-1);
Methylphosphonic acid (CAS 993-13-5);
Diethyl methylphosphonate (CAS 683-08-9);
N,N-Dimethylaminophosphoryl dichloride (CAS 677-43-0);
Triisopropyl phosphite (CAS 116-17-6);
Ethyldiethanolamine (CAS 139-87-7);
O,O-Diethyl phosphorothioate (CAS 2465-65-8);
O,O-Diethyl phosphorodithioate (CAS 298-06-6);
Sodium hexafluorosilicate (CAS 16893-85-9);
Methylphosphonothioic dichloride (CAS 676-98-2);
Diethylamine (CAS 109-89-7).
N,N-Diisopropylaminoethanethiol hydrochloride (CAS 41480-75-5)
1C450.a.:
Phosgene: Carbonyl dichloride (CAS 75-44-5);
Cyanogen chloride (CAS 506-77-4);
Hydrogen cyanide (CAS 74-90-8);
Chloropicrin: Trichloronitromethane (CAS 76-06-2);
1C450.b.:
Chemicals, other than those specified in the MILITARY GOODS CONTROLS or in 1C350, containing a phosphorus atom to which is bonded one methyl, ethyl or propyl (normal or iso) group but not further carbon atoms;
N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] phosphoramidic dihalides, other than N,N-Dimethylaminophosphoryl dichloride which is specified in 1C350.57;
Dialkyl [methyl, ethyl or propyl (normal or iso)] N,N-dialkyl [methyl, ethyl or propyl (normal or iso)]-phosphoramidates, other than Diethyl-N,N-dimethylphosphoramidate which is specified in 1C350;
N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethyl-2-chlorides and corresponding protonated salts, other than N,N-Diisopropyl-(beta)-aminoethyl chloride or N,N-Diisopropyl-(beta)-aminoethyl chloride hydrochloride which are specified in 1C350;
N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethane-2-ols and corresponding protonated salts, other than N,N-Diisopropyl-(beta)-aminoethanol (CAS 96-80-0) and N,N-Diethylaminoethanol (CAS 100-37-8) which are specified in 1C350;
N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] aminoethane-2-thiols and corresponding protonated salts, other than N,N-Diisopropyl-(beta)-aminoethane thiol (CAS 5842-07-9) and N,N-Diisopropylaminoethanethiol hydrochloride (CAS 41480-75-5) which are specified in 1C350;
Methyldiethanolamine (CAS 105-59-9).
This authorisation is valid throughout the Union for exports to the following destinations:
Argentine Republic,
Iceland,
Republic of Croatia,
Republic of Korea,
Republic of Turkey,
Ukraine.
the exporter has been informed by the competent authorities of the Member State in which he is established as defined in Article 9(6) of this Regulation 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 a decision or a common position adopted by the Council or 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
for use as parts or components of military items listed in the national military list that have been exported from the territory of the Member State concerned without authorisation or in breach of an authorisation prescribed by the national legislation of that Member State;
the exporter, under his obligation to exercise due diligence, 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 exporter, under his obligation to exercise due diligence, is aware that the items in question will be re-exported to any destination other than those listed in Part 2 of this Annex or in Part 2 of Annex IIa or to Member States; or
the relevant items are exported to a customs-free zone or a free warehouse which is located in a destination covered by this authorisation.
Reporting requirements attached to the use of this authorisation and additional information that the Member State from which the export is made might require on items exported under this authorisation are defined by Member States.
A Member State may require exporters established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authorities to the exporter without delay and in any case within 10 working days of receipt, subject to Article 9(1) of this Regulation.
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 those Member States which provide for such authorisations.
The entries do not always provide a complete description of the items and the related notes in Annex I. Only Annex I provides a complete description of the items. The terms appearing in straight double quotes are defined terms in the global definitions list of Annex I.
The mention of an item in this Annex does not affect the application of the General Software Note (GSN) in Annex I.
all items specified in Annex IV,
0C001 “Natural uranium” or “depleted uranium” or thorium in the form of metal, alloy, chemical compound or concentrate and any other material containing one or more of the foregoing,
0C002 “Special fissile materials” other than those specified in Annex IV,
0D001 “Software” specially designed or modified for the “development”, “production” or “…” of goods specified in Category 0, in so far as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV,
0E001 “Technology” in accordance with the Nuclear Technology Note for the “development”, “production” or “ …” of goods specified in Category 0, in so far as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV,
1A102 Resaturated pyrolized carbon-carbon components designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104,
1C351 Human and animal pathogens and “toxins”,
1C353 Genetic elements and genetically modified organisms,
1C354 Plant pathogens,
1C450.a.1. Amiton: O,O-Diethyl S-[2-(diethylamino)ethyl] phosphorothiolate (CAS 78-53-5) and corresponding alkylated or protonated salts,
1C450.a.2. PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene (CAS 382-21-8),
7E104 “Technology” for the integration of flight control, guidance and propulsion data into a flight management system for optimisation of rocket system trajectory,
9A009.a. Hybrid rocket propulsion systems having total impulse capacity exceeding 1,1 MNs,
9A117 Staging mechanisms, separation mechanisms and interstages usable in “missiles” .”
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