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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)

Type Regulation
Publication 2009-05-29
Last updated 2021-10-07
State In force
Department Council of the European Union
Source EUR-Lex
articles 31
Reform history JSON API

‘required’ for manufacturing cooling holes. - 3. Components that are any of the following: - a. Manufactured from organic ‘composite’ materials designed to operate above 588 K (315 °C); - b. Manufactured from any of the following: - 1. Metal ‘matrix’‘composites’ reinforced by any of the following: - a. Materials specified in 1C007; - b. ‘Fibrous or filamentary materials’ specified in 1C010; or - c. Aluminides specified in 1C002.a.; or - 2. Ceramic ‘matrix’‘composites’ specified in 1C007.; or - c. Stators, vanes, blades, tip seals (shrouds), rotating blings, rotating blisks, or ‘splitter ducts’, that are all of the following: - 1. Not specified in 9E003.a.3.a.; - 2. Designed for compressors or fans; and - 3. Manufactured from material specified in 1C010.e. with resins specified in 1C008; Technical Note: A ‘splitter duct’ performs the initial separation of the air-mass flow between the bypass and core sections of the engine. - 4. Uncooled turbine blades, vanes or ‘tip-shrouds’, designed to operate at a ‘gas path temperature’ of 1 373 K (1 100  °C) or more; - 5. Cooled turbine blades, vanes, ‘tip-shrouds’ other than those described in 9E003.a.1., designed to operate at a ‘gas path temperature’ of 1 693 K (1 420  °C) or more; Technical Note: ‘Gas path temperature’ is the bulk average gas path total (stagnation) temperature at the leading edge plane of the turbine component when the engine is running in a ‘steady state mode’ of operation at the certificated or specified maximum continuous operating temperature. - 6. Airfoil-to-disk blade combinations using solid state joining; - 7. Not used; - 8. ‘Damage tolerant’ gas turbine engine rotor components using powder metallurgy materials specified in 1C002.b.; or Technical Note: ‘Damage tolerant’ components are designed using methodology and substantiation to predict and limit crack growth. - 9. Not used; - 10. Not used; - 11. ‘Fan blades’ having all of the following: - a. 20 % or more of the total volume being one or more closed cavities containing vacuum or gas only; and - b. One or more closed cavities having a volume of 5 cm3 or larger; Technical Note: For the purposes of 9E003.a.11., a ‘fan blade’ is the aerofoil portion of the rotating stage or stages, which provide both compressor and bypass flow in a gas turbine engine.*

- b. ‘Technology’‘required’ for the ‘development’ or ‘production’ of any of the following:

    1. Wind tunnel aero-models equipped with non-intrusive sensors capable of transmitting data from the sensors to the data acquisition system; or
    1. ‘Composite’ propeller blades or propfans, capable of absorbing more than 2 000  kW at flight speeds exceeding Mach 0,55;
- c. ‘Technology’‘required’ for manufacturing cooling holes, in gas turbine engine components incorporating any of the ‘technologies’ specified in 9E003.a.1., 9E003.a.2. or 9E003.a.5., and having any of the following:
    1. Having all of the following:
  • a. Minimum ‘cross-sectional area’ less than 0,45 mm2;
  • b. ‘Hole shape ratio’ greater than 4,52; and
  • c. ‘Incidence angle’ equal to or less than 25o; or
    1. Having all of the following:
  • a. Minimum ‘cross-sectional area’ less than 0,12 mm2;
  • b. ‘Hole shape ratio’ greater than 5,65; and
  • c. ‘Incidence angle’ more than 25o; Note:

9E003.c. does not control ‘technology’ for manufacturing constant radius cylindrical holes that are straight through and enter and exit on the external surfaces of the component. Technical Notes: 1.

For the purposes of 9E003.c., the ‘cross-sectional area’ is the area of the hole in the plane perpendicular to the hole axis.

2.

For the purposes of 9E003.c., ‘hole shape ratio’ is the nominal length of the axis of the hole divided by the square root of its minimum ‘cross-sectional area’. 3.

For the purposes of 9E003.c., ‘incidence angle’ is the acute angle measured between the plane tangential to the aerofoil surface and the hole axis at the point where the hole axis enters the aerofoil surface. 4.

Methods for manufacturing holes in 9E003.c. include ‘laser’ beam machining, water jet machining, Electro-Chemical Machining (ECM) or Electrical Discharge Machining (EDM).

  • d. ‘Technology’‘required’ for the ‘development’ or ‘production’ of helicopter power transfer systems or tilt rotor or tilt wing ‘aircraft’ power transfer systems;
  • e. ‘Technology’ for the ‘development’ or ‘production’ of reciprocating diesel engine ground vehicle propulsion systems having all of the following:
    1. ‘Box volume’ of 1,2 m3 or less;
    1. An overall power output of more than 750 kW based on 80/1269/EEC, ISO 2534 or national equivalents; and
    1. Power density of more than 700 kW/m3 of ‘box volume’; Technical Note: ‘Box volume’ in 9E003.e. is the product of three perpendicular dimensions measured in the following way: Length : The length of the crankshaft from front flange to flywheel face; Width : The widest of any of the following: a. The outside dimension from valve cover to valve cover; b. The dimensions of the outside edges of the cylinder heads; or c. The diameter of the flywheel housing; Height : The largest of any of the following: a. The dimension of the crankshaft centre-line to the top plane of the valve cover (or cylinder head) plus twice the stroke; or b. The diameter of the flywheel housing.
  • f. ‘Technology’‘required’ for the ‘production’ of specially designed components for high output diesel engines, as follows:
    1. ‘Technology’‘required’ for the ‘production’ of engine systems having all of the following components employing ceramics materials specified in 1C007:
  • a. Cylinder liners;
  • b. Pistons;
  • c. Cylinder heads; and
  • d. One or more other components (including exhaust ports, turbochargers, valve guides, valve assemblies or insulated fuel injectors);
    1. ‘Technology’‘required’ for the ‘production’ of turbocharger systems with single-stage compressors and having all of the following:
  • a. Operating at pressure ratios of 4:1 or higher;
  • b. Mass flow in the range from 30 to 130 kg per minute; and
  • c. Variable flow area capability within the compressor or turbine sections;
    1. ‘Technology’‘required’ for the ‘production’ of fuel injection systems with a specially designed multifuel (e.g., diesel or jet fuel) capability covering a viscosity range from diesel fuel (2,5 cSt at 310,8 K (37,8 °C)) down to gasoline fuel (0,5 cSt at 310,8 K (37,8 °C)) and having all of the following:
  • a. Injection amount in excess of 230 mm3 per injection per cylinder; and
  • b. Electronic control features specially designed for switching governor characteristics automatically depending on fuel property to provide the same torque characteristics by using the appropriate sensors;
  • g. ‘Technology’‘required’ for the ‘development’ or ‘production’ of ‘high output diesel engines’ for solid, gas phase or liquid film (or combinations thereof) cylinder wall lubrication and permitting operation to temperatures exceeding 723 K (450 °C), measured on the cylinder wall at the top limit of travel of the top ring of the piston; Technical Note: ‘High output diesel engines’ are diesel engines with a specified brake mean effective pressure of 1,8 MPa or more at a speed of 2 300 r.p.m., provided the rated speed is 2 300 r.p.m. or more.

- h. ‘Technology’ for gas turbine engine ‘FADEC systems’ as follows:

    1. ‘Development’‘technology’ for deriving the functional requirements for the components necessary for the ‘FADEC system’ to regulate engine thrust or shaft power (e.g., feedback sensor time constants and accuracies, fuel valve slew rate);
    1. ‘Development’ or ‘production’‘technology’ for control and diagnostic components unique to the ‘FADEC system’ and used to regulate engine thrust or shaft power;
    1. ‘Development’‘technology’ for the control law algorithms, including ‘source code’, unique to the ‘FADEC system’ and used to regulate engine thrust or shaft power; Note:

9E003.h. does not control technical data related to engine-‘aircraft’ integration required by the civil aviation authorities of one or more EU Member States or Wassenaar Arrangement Participating States to be published for general airline use (e.g., installation manuals, operating instructions, instructions for continued airworthiness) or interface functions (e.g., input/output processing, airframe thrust or shaft power demand).

  • i. ‘Technology’ for adjustable flow path systems designed to maintain engine stability for gas generator turbines, fan or power turbines, or propelling nozzles, as follows:
    1. ‘Development’‘technology’ for deriving the functional requirements for the components that maintain engine stability;
    1. ‘Development’ or ‘production’‘technology’ for components unique to the adjustable flow path system and that maintain engine stability;
    1. ‘Development’‘technology’ for the control law algorithms, including ‘source code’, unique to the adjustable flow path system and that maintain engine stability. Note:

9E003.i. does not control ‘technology’ for any of the following:

  • a. Inlet guide vanes;
  • b. Variable pitch fans or prop-fans;
  • c. Variable compressor vanes;
  • d. Compressor bleed valves; or
  • e. Adjustable flow path geometry for reverse thrust.
  • j. ‘Technology’‘required’ for the ‘development’ of wing-folding systems designed for fixed-wing ‘aircraft’ powered by gas turbine engines. NB:

For ‘technology’ ‘required’ for the ‘development’ of wing-folding systems designed for fixed-wing ‘aircraft’ SEE ALSO MILITARY GOODS CONTROLS.

9E101

  • a. ‘Technology’ according to the General Technology Note for the ‘development’ of goods specified in 9A101, 9A102, 9A104 to 9A111, 9A112.a. or 9A115 to 9A121.
  • b. ‘Technology’ according to the General Technology Note for the ‘production’ of ‘UAV’s specified in 9A012 or goods specified in 9A101, 9A102, 9A104 to 9A111, 9A112.a. or 9A115 to 9A121. Technical Note: In 9E101.b. ‘UAV’ means unmanned aerial vehicle systems capable of a range exceeding 300 km.

9E102 ‘Technology’ according to the General Technology Note for the ‘use’ of space launch vehicles specified in 9A004, goods specified in 9A005 to 9A011, ‘UAV’s specified in 9A012 or goods specified in 9A101, 9A102, 9A104 to 9A111, 9A112.a., 9A115 to 9A121, 9B105, 9B106, 9B115, 9B116, 9B117, 9D101 or 9D103.

Technical Note:

In 9E102 ‘UAV’ means unmanned aerial vehicle systems capable of a range exceeding 300 km.

ANNEX IIa

UNION GENERAL EXPORT AUTHORISATION No EU001

(referred to in Article 9(1) of this Regulation)

Exports to Australia, Canada, Japan, New Zealand, Norway, Switzerland, including Liechtenstein, United Kingdom and United States of America

Issuing authority: European Commission

Part 1

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.

Part 2

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 Kingdom (without prejudice to the application of this Regulation to and in the United Kingdom in respect of Northern Ireland, in accordance with point 47 of Annex 2 to the Protocol on Ireland/Northern Ireland (the ‘Protocol’) annexed to the Agreement on the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union and the European Atomic Energy Community ([^E0013]), listing the provisions of Union law referred to in Article 5(4) of the Protocol),
  • — United States of America.

Conditions and requirements for use of this authorisation

  • 1.Exporters that use this authorisation shall notify the competent authorities of the Member State where they are established of their first use of this authorisation no later than 30 days after the date when the first export took place.
  • 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.
  • 2.This authorisation may not be used if:
  • — 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.
  • 3.Reporting requirements attached to the use of this authorisation and the 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 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.

ANNEX IIb

UNION GENERAL EXPORT AUTHORISATION No EU002

(referred to in Article 9(1) of this Regulation)

Exports of certain dual-use items to certain destinations

Issuing authority: European Union

Part 1 –Items

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.

Part 2 –Destinations

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.

Part 3 –Conditions and requirements for use

  • 1.This authorisation does not authorise the export of items where:
  • (1) 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:
  • (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 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
  • (c) 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;
  • (2) 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);
  • (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.
  • 2.Exporters must mention the EU reference number X002 and specify that the items are being exported under Union General Export Authorisation EU002 in box 44 of the Single Administrative Document.
  • 3.Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is established 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 competent authority of the Member State where the exporter is established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European 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 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.

ANNEX IIc

UNION GENERAL EXPORT AUTHORISATION No EU003

(referred to in Article 9(1) of this Regulation)

Export after repair/replacement

Issuing authority: European Union

Part 1 —Items

  • 1.This general export authorisation covers all dual-use items specified in any entry in Annex I to this Regulation except those listed in paragraph 2 where:
  • (a) 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
  • (b) 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.
  • 2.Items excluded:
  • (a) all items listed in Annex IIg;
  • (b) all items in Sections D and E set out in Annex I to this Regulation;
  • (c) 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.

Part 2 —Destinations

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.

Part 3 —Conditions and requirements for use

  • 1.This authorisation can only be used when the initial export has taken place under a Union General Export Authorisation or an initial export authorisation has been granted by the competent authorities of the Member State where the original exporter was established for the export of the items which have subsequently been reimported into the customs territory of the European Union for the purposes of maintenance, repair or replacement. This authorisation is valid only for exports to the original end-user.
  • 2.This authorisation does not authorise the export of items where:
  • (1) 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,
  • (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 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
  • (c) 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;
  • (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 initial authorisation has been annulled, suspended, modified or revoked;
  • (5) 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.
  • 3.On exportation of any of the items pursuant to this authorisation, exporters must:
  • (1) 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;
  • (2) 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.
  • 4.Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is established 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 competent authority of the Member State where the exporter is established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European 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.
  • 5.This authorisation covers items for ‘repair’, ‘replacement’ and ‘maintenance’. This may involve coincidental improvement on the original goods, e.g. resulting from the use of modern spare parts or from use of a later built standard for reliability or safety reasons, provided that this does not result in any enhancement to the functional capability of the items or provide the items with new or additional functions.

ANNEX IId

UNION GENERAL EXPORT AUTHORISATION No EU004

(referred to in Article 9(1) of this Regulation)

Temporary export for exhibition or fair

Issuing authority: European Union

Part 1 –Items

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

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.

Part 3 –Conditions and requirements for use

  • 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 reimported within a period of 120 days after the initial export, complete and without modification, into the customs territory of the European Union.
  • 2.The competent authority of the Member State where the exporter is established as defined in Article 9(6) of this Regulation may, at the exporter’s request, waive the requirement that the items are to be reimported 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.
  • 3.This authorisation does not authorise the export of items where:
  • (1) 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:
  • (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 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
  • (c) 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;
  • (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 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;
  • (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.
  • 4.Exporters must mention the EU reference number X002 and specify that the items are being exported under Union General Export Authorisation EU004 in box 44 of the Single Administrative Document.
  • 5.Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is established 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 competent authority of the Member State where the exporter is established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European 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 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.
  • 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.

ANNEX IIe

UNION GENERAL EXPORT AUTHORISATION No EU005

(referred to in Article 9(1) of this Regulation)

Telecommunications

Issuing authority: European Union

Part 1 –Items

This general export authorisation covers the following dual-use items specified in Annex I to this Regulation:

  • (a) the following items of Category 5, Part l:
  • (i) items, including specially designed or developed components and accessories therefor specified in 5A001.b.2. and 5A001.c. and 5A001.d.;
  • (ii) items specified in 5B001 and 5D001, where test, inspection and production equipment is concerned and software for items mentioned under (i);
  • (b) 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.

Part 2 –Destinations

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.

Part 3 –Conditions and requirements for use

  • 1.This authorisation does not authorise the export of items where:
  • (1) 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:
  • (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 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;
  • (c) 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
  • (d) 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);
  • (2) 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;
  • (3) 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;
  • (4) the relevant items are exported to a customs-free zone or a free warehouse which is located in a destination covered by this authorisation.
  • 2.Exporters must mention the EU reference number X002 and specify that the items are being exported under Union General Export Authorisation EU005 in box 44 of the Single Administrative Document.
  • 3.Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is established 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 competent authority of the Member State where the exporter is established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European 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 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.

ANNEX IIf

UNION GENERAL EXPORT AUTHORISATION No EU006

(referred to in Article 9(1) of this Regulation)

Chemicals

Part 1 –Items

This general export authorisation covers the following dual-use items specified in Annex I to this Regulation:

1C350:

    1. Thiodiglycol (CAS 111-48-8);
    1. Phosphorus oxychloride (CAS 10025-87-3);
    1. Dimethyl methylphosphonate (CAS 756-79-6);
    1. Methylphosphonyl dichloride (CAS 676-97-1);
    1. Dimethyl phosphite (DMP) (CAS 868-85-9);
    1. Phosphorus trichloride (CAS 7719-12-2);
    1. Trimethyl phosphite (TMP) (CAS 121-45-9);
    1. Thionyl chloride (CAS 7719-09-7);
    1. 3-Hydroxy-1-methylpiperidine (CAS 3554-74-3);
    1. N,N-Diisopropyl-(beta)-aminoethyl chloride (CAS 96-79-7);
    1. N,N-Diisopropyl-(beta)-aminoethane thiol (CAS 5842-07-9);
    1. 3-Quinuclidinol (CAS 1619-34-7);
    1. Potassium fluoride (CAS 7789-23-3);
    1. 2-Chloroethanol (CAS 107-07-3);
    1. Dimethylamine (CAS 124-40-3);
    1. Diethyl ethylphosphonate (CAS 78-38-6);
    1. Diethyl-N,N-dimethylphosphoramidate (CAS 2404-03-7);
    1. Diethyl phosphite (CAS 762-04-9);
    1. Dimethylamine hydrochloride (CAS 506-59-2);
    1. Ethyl phosphinyl dichloride (CAS 1498-40-4);
    1. Ethyl phosphonyl dichloride (CAS 1066-50-8);
    1. Hydrogen fluoride (CAS 7664-39-3);
    1. Methyl benzilate (CAS 76-89-1);
    1. Methyl phosphinyl dichloride (CAS 676-83-5);
    1. N,N-Diisopropyl-(beta)-amino ethanol (CAS 96-80-0);
    1. Pinacolyl alcohol (CAS 464-07-3);
    1. Triethyl phosphite (CAS 122-52-1);
    1. Arsenic trichloride (CAS 7784-34-1);
    1. Benzilic acid (CAS 76-93-7);
    1. Diethyl methylphosphonite (CAS 15715-41-0);
    1. Dimethyl ethylphosphonate (CAS 6163-75-3);
    1. Ethyl phosphinyl difluoride (CAS 430-78-4);
    1. Methyl phosphinyl difluoride (CAS 753-59-3);
    1. 3-Quinuclidone (CAS 3731-38-2);
    1. Phosphorus pentachloride (CAS 10026-13-8);
    1. Pinacolone (CAS 75-97-8);
    1. Potassium cyanide (CAS 151-50-8);
    1. Potassium bifluoride (CAS 7789-29-9);
    1. Ammonium hydrogen fluoride or ammonium bifluoride (CAS 1341-49-7);
    1. Sodium fluoride (CAS 7681-49-4);
    1. Sodium bifluoride (CAS 1333-83-1);
    1. Sodium cyanide (CAS 143-33-9);
    1. Triethanolamine (CAS 102-71-6);
    1. Phosphorus pentasulphide (CAS 1314-80-3);
    1. Di-isopropylamine (CAS 108-18-9);
    1. Diethylaminoethanol (CAS 100-37-8);
    1. Sodium sulphide (CAS 1313-82-2);
    1. Sulphur monochloride (CAS 10025-67-9);
    1. Sulphur dichloride (CAS 10545-99-0);
    1. Triethanolamine hydrochloride (CAS 637-39-8);
    1. N,N-Diisopropyl-(beta)-aminoethyl chloride hydrochloride (CAS 4261-68-1);
    1. Methylphosphonic acid (CAS 993-13-5);
    1. Diethyl methylphosphonate (CAS 683-08-9);
    1. N,N-Dimethylaminophosphoryl dichloride (CAS 677-43-0);
    1. Triisopropyl phosphite (CAS 116-17-6);
    1. Ethyldiethanolamine (CAS 139-87-7);
    1. O,O-Diethyl phosphorothioate (CAS 2465-65-8);
    1. O,O-Diethyl phosphorodithioate (CAS 298-06-6);
    1. Sodium hexafluorosilicate (CAS 16893-85-9);
    1. Methylphosphonothioic dichloride (CAS 676-98-2);
    1. Diethylamine (CAS 109-89-7).
    1. N,N-Diisopropylaminoethanethiol hydrochloride (CAS 41480-75-5)

1C450.a.:

    1. Phosgene: Carbonyl dichloride (CAS 75-44-5);
    1. Cyanogen chloride (CAS 506-77-4);
    1. Hydrogen cyanide (CAS 74-90-8);
    1. Chloropicrin: Trichloronitromethane (CAS 76-06-2);

1C450.b.:

    1. 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;
    1. N,N-Dialkyl [methyl, ethyl or propyl (normal or iso)] phosphoramidic dihalides, other than N,N-Dimethylaminophosphoryl dichloride which is specified in 1C350.57;
    1. 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;
    1. 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;
    1. 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;
    1. 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;
    1. Methyldiethanolamine (CAS 105-59-9).

Part 2 –Destinations

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.

Part 3 –Conditions and requirements for use

  • 1.This authorisation does not authorise the export of items where:
  • (1) 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:
  • (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 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
  • (c) 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;
  • (2) 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;
  • (3) 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
  • (4) the relevant items are exported to a customs-free zone or a free warehouse which is located in a destination covered by this authorisation.
  • 2.Exporters must mention the EU reference number X002 and specify that the items are being exported under Union General Export Authorisation EU006 in box 44 of the Single Administrative Document.
  • 3.Any exporter who uses this authorisation must notify the competent authorities of the Member State where he is established 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 competent authority of the Member State where the exporter is established, prior to the first use of this authorisation. Member States shall notify the Commission of the notification mechanism chosen for this authorisation. The Commission shall publish the information notified to it in the C series of the Official Journal of the European 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 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.

ANNEX IIg

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

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’ .

ANNEX IIIa

(model for individual or global export authorisation forms)

(referred to in Article 14(1) of this Regulation)

When granting the export authorisations, Member States will strive to ensure the visibility of the nature of the authorisation (individual or global) on the form issued.

This is an export authorisation valid in all Member States of the European Union until its expiry date.

Image omitted; see official source Image omitted; see official source Image omitted; see official source

ANNEX IIIb

(model for brokering services authorisation forms)

(referred to in Article 14(1) of this Regulation)

Image omitted; see official source

ANNEX IIIc

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

(referred to in Article 9(4)(b) of this Regulation)

    1. Title of general export authorisation
    1. Authority issuing the authorisation
    1. EC validity. The following text shall be used: ‘This is a general export authorisation under the terms of Article 9(2) of Regulation (EC) No 428/2009. This authorisation, in accordance with Article 9(2) of that Regulation, is valid in all Member States of the European Union.’ Validity: according to national practices.
    1. Items concerned: the following introductory text shall be used: ‘This export authorisation covers the following items’
    1. Destinations concerned: the following introductory text shall be used: ‘This export authorisation is valid for exports to the following destinations’
    1. Conditions and requirements

ANNEX IV

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

The entries do not always cover the complete description of the item and the related notes in Annex I ([^E0014]). Only Annex I provides for the complete description of the items.

The mention of an item in this Annex does not affect the application of the provisions concerning mass-market products in Annex I.

The terms appearing in straight double quotes are defined terms in the global definitions list of Annex I.

PART I

(possibility of National General Authorisation for intra-Community trade)

Items of stealth technology
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 the Community strategic control
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/cm3 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.

Items of the Community strategic control — Cryptanalysis — Category 5 Part 2
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.

Items of the MTCR technology
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 ± 5o; 2. Angular vector rotations of 20o/s or more; or 3. Angular vector accelerations of 40o/s2 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:

Annex IV does not control the following items of the MTCR technology:

    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;
    1. that are transferred on the basis of orders pursuant to a contractual relationship placed by a Member State’s national space organisation or that are transferred by it to accomplish its official tasks;
    1. that are transferred on the basis of orders pursuant to a contractual relationship placed in connection with a Community space launch development and production programme signed by two or more European governments;
    1. that are transferred to a State-controlled space launching site in the territory of a Member State, unless that Member State controls such transfers within the terms of this Regulation.

PART II

(no National General Authorisation for intra-Community trade)

Items of the CWC (Chemical Weapons Convention)
1C351.d.4. Ricin
1C351.d.5. Saxitoxin

Items of the NSG technology

All Category 0 of Annex I is included in Annex IV, subject to the following:

  • — 0C001: this item is not included in Annex IV;
  • — 0C002: this item is not included in Annex IV, with the exception of ‘special fissile materials’ as follows: (a) separated plutonium; (b) ‘uranium enriched in the isotopes 235 or 233’ to more than 20 %.
  • — 0C003 only if for use in a ‘nuclear reactor’ (within 0A001.a.);
  • — 0D001 (‘software’) is included in Annex IV except insofar as it relates to 0C001 or to those items of 0C002 that are excluded from Annex IV;
  • — 0E001 (‘technology’) is included in Annex IV except insofar as these related to 0C001 or to those items of 0C002 that are excluded from Annex IV.

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