Regulation (EU) 2021/821 of the European Parliament and of the Council of 20 May 2021 setting up a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items (recast)

(e) the exporter 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 shall:

(a) 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, and declare that the items are being exported under Union general export authorisation No EU003 in the customs declaration;

(b) 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.The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is resident or established of the first use of this authorisation within 30 days from 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 resident or 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 shall be defined by Member States.

A Member State may require exporters resident or established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authority to the exporter without delay and in any case within 10 working days of receipt, subject to Article 12(7) 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’, including coincidental improvements to 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.

D. TEMPORARY EXPORT FOR EXHIBITION OR FAIR

UNION GENERAL EXPORT AUTHORISATION No EU004

(referred to in point (d) of Article 12(1) of this Regulation)

This authorisation covers all dual-use items specified in any entry in Annex I, except:

(a) all items listed in Section I of this Annex;

(b) all items listed in Section D of each Category of Annex I (this does not include software necessary to the proper functioning of the equipment for the purpose of the demonstration);

(c) all items listed in Section E of each category of Annex I;

(d) the following items specified in Annex I: — 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 customs territory of the Union for exports to the following destinations:

— Albania,

— Argentina,

— Bosnia and Herzegovina,

— Brazil,

— Chile,

— China (including Hong Kong and Macao),

— French overseas territories,

— India,

— Kazakhstan,

— Mexico,

— Montenegro,

— Morocco,

— North Macedonia,

— Serbia,

— Singapore,

— South Africa,

— South Korea,

— Tunisia,

— Turkey,

— Ukraine,

— United Arab Emirates.

1.This authorisation authorises the export of items listed in Part 1 on condition that the export concerns temporary export for an exhibition or fair as defined in paragraph 6 of this Part 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 Union.

2.The competent authority of the Member State where the exporter is resident or established 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 Article 12(2) of this Regulation shall apply accordingly.

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

(a) the exporter has been informed by the competent authority of the Member State in which the exporter is resident or established that the items in question are or may be intended, in their entirety or in part: (i) 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; (ii) for a military end-use as defined in point (b) of Article 4(1) of this Regulation where the purchasing country or country of destination is subject to an arms embargo; or (iii) 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;

(b) 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 point (a);

(c) the relevant items are exported to a customs-free zone or a free warehouse which is located in a destination covered by this authorisation;

(d) the exporter has been informed by a competent authority of the Member State in which the exporter is resident or 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’;

(e) 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;

(f) the relevant items are to be exported for a private presentation or demonstration (e.g. in in-house showrooms);

(g) the relevant items are to be merged into any production process;

(h) 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;

(i) 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;

(j) 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; or

(k) 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.The exporter shall declare that the items are being exported under Union general export authorisation No EU004 in the customs declaration.

5.The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is resident or established of the first use of this authorisation within 30 days from 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 resident or 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 resident or established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authority to the exporter without delay and in any case within 10 working days of receipt, subject to Article 12(7) 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.

E. TELECOMMUNICATIONS

UNION GENERAL EXPORT AUTHORISATION No EU005

(referred to in point (d) of Article 12(1) of this Regulation)

This authorisation covers the following dual-use items specified in Annex I:

(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., 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 point (i);

(b) technology controlled by 5E001.a., where required for the installation, operation, maintenance or repair of items specified under point (a) and intended for the same end-user.

This authorisation is valid throughout the customs territory of the Union for exports to the following destinations:

— Argentina,

— China (including Hong Kong and Macao),

— India,

— South Africa,

— South Korea,

— Turkey,

— Ukraine.

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

(a) the exporter has been informed by the competent authority of the Member State in which the exporter is resident or established that the items in question are or may be intended, in their entirety or in part: (i) 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; (ii) for a military end-use as defined in point (b) of Article 4(1) of this Regulation where the purchasing country or country of destination is subject to an arms embargo; (iii) 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 (iv) for use in connection with a violation of human rights, democratic principles or the freedom of expression 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);

(b) 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 point (a);

(c) the exporter is aware that the items in question will be re-exported to any destination other than those listed in Part 2 of this Section or in Part 2 of Section A of this Annex and the Member States;

(d) 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.The exporter shall declare that the items are being exported under Union general export authorisation No EU005 in the customs declaration.

3.The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is resident or established of the first use of this authorisation within 30 days from 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 resident or 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 resident or established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authority to the exporter without delay and in any case within 10 working days of receipt, subject to Article 12(7) 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.

F. CHEMICALS

UNION GENERAL EXPORT AUTHORISATION No EU006

(referred to in point (d) of Article 12(1) of this Regulation)

This authorisation covers the following dual-use items specified in Annex I:

This authorisation is valid throughout the customs territory of the Union for exports to the following destinations:

— Argentina,

— South Korea,

— Turkey,

— Ukraine.

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

(a) the exporter has been informed by the competent authority of the Member State in which the exporter is resident or established that the items in question are or may be intended, in their entirety or in part: (i) 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; (ii) for a military end-use as defined in point (b) of Article 4(1) of this Regulation where the purchasing country or country of destination is subject to an arms embargo; or (iii) 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;

(b) 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 point (a);

(c) the exporter is aware that the items in question will be re-exported to any destination other than those listed in Part 2 of this Section or in Part 2 of Section A of this Annex and the Member States; or

(d) 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.The exporter shall declare that the items are being exported under Union general export authorisation No EU006 in the customs declaration.

3.The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is resident or established of the first use of this authorisation within 30 days from 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 resident or 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 shall be defined by Member States.

A Member State may require exporters resident or established in that Member State to register prior to the first use of this authorisation. Registration shall be automatic and acknowledged by the competent authority to the exporter without delay and in any case within 10 working days of receipt, subject to Article 12(7) 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.

G. INTRA-GROUP EXPORT OF SOFTWARE AND TECHNOLOGY

UNION GENERAL EXPORT AUTHORISATION No EU007

(referred to in point (d) of Article 12(1) of this Regulation)

This authorisation covers all technology and software specified in Annex I, except those listed in Section I of this Annex and technology and software related to items under 4A005, 4D004, 4E001.c, 5A001.f and 5A001.j.

This authorisation is valid throughout the customs territory of the Union for exports of software and technology to the following destinations:

— Argentina,

— Brazil,

— Chile,

— India,

— Indonesia,

— Israel,

— Jordan,

— Malaysia,

— Mexico,

— Morocco,

— Philippines,

— Singapore,

— South Africa,

— South Korea,

— Thailand,

— Tunisia.

1.This authorisation authorises the export of software and technology listed in Part 1 by any exporter that is a legal person established in a Member State to a company wholly owned and controlled by the exporter (subsidiary) or to a company directly and wholly owned and controlled by the same parent company as the exporter (sister company), provided that:

(a) the parent company that directly controls the exporter and the entity ultimately controlling the exporter are resident or established in a Member State or in a country covered by Union general export authorisation No EU001; and

(b) the parent company that directly controls the exporter provides a binding guarantee for the sister company’s compliance with the requirements of this authorisation; and For the purpose of this authorisation, a parent company controls another company when it is capable of exercising decisive influence on it;

(c) the exported software and technology will be exclusively used for the commercial product development activities of the exporter and the subsidiary or sister company respectively, and, in the case of employees, pursuant to the agreement establishing the employment relationship; and

(d) the exported software and technology and any products resulting therefrom remain under the complete control of the exporter, or, for the purpose of fulfilling the requirements of this authorisation when the export is directed to a sister company, under the complete control of the parent company that directly controls the sister company and will not be shared with any other entity; and

(e) the exported software and technology will be returned to the exporter and completely deleted by the subsidiary or sister company when the development activity has been completed or in the event that the subsidiary or sister company is acquired by any other entity. Any resulting developed technology will also be transmitted to the exporter and completely deleted by the subsidiary or sister company.

2.This authorisation does not authorise the export of software and technology where:

(a) the exporter has been informed by the competent authority of the Member State in which the exporter is established that the software or technology in question is or may be intended, in its entirety or in part: (i) 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; (ii) for a military, paramilitary, police, intelligence, surveillance end-use or other security end-use by the government or by entities acting on behalf of the government; (iii) 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 (iv) for use in connection with a violation of human rights, democratic principles or the freedom of expression as defined by the Charter of Fundamental Rights of the European Union;

(b) the exporter is aware that the software or technology in question is intended, in its entirety or in part, for any of the uses referred to in point (a);

(c) the exporter is aware that the software or technology in question will be re-exported to any destination other than those listed in Part 2 of Section A of this Annex and the Member States; or

(d) the exporter is aware that the consignee or end-user of the items in question is a military, paramilitary, police or intelligence service, or another governmental service for security, or that the items are intended for entities acting on behalf of any of the aforementioned services. A Member State may adopt national legislation expanding points (b) and (c) to cover circumstances where the exporter has grounds for suspecting that the software or technology in question are intended for the uses referred to in point (b) or (c).

3.The exporter intending to use this authorisation shall implement an Internal Compliance Programme.

4.The exporter shall declare that the items are being exported under Union general export authorisation No EU007 in the customs declaration in the case of tangible export of software or technology.

5.The exporter intending to use this authorisation shall register prior to the first use of this authorisation with the competent authority of the Member State where the exporter is established.

Registration shall be automatic and acknowledged by the competent authority to the exporter within 10 working days of receipt.

6.The exporter who uses this authorisation shall notify the competent authority of the Member State where the exporter is established of the first use of this authorisation no later than 30 days prior to the date of the first export.

7.The exporter who uses this authorisation shall report to the competent authority of the Member State where the exporter is established on the use of this authorisation. The report on the use of this authorisation shall be produced at least once per year and shall include at least information regarding:

(a) the description of the software and technology;

(b) where available, the quantity and the value of the software and technology;

(c) the subsidiaries, sister companies and parent companies involved under this authorisation.

Additional information that the Member State from which the export is made might require on items exported under this authorisation shall be defined by Member States.

H. ENCRYPTION

UNION GENERAL EXPORT AUTHORISATION No EU008

(referred to in point (d) of Article 12(1) of this Regulation)

1.This authorisation covers dual-use items specified in Annex I, as follows:

— 5A002.a.2,

— 5A002.a.3,

— 5A002.b., only ‘cryptographic activation token’ converting, by means of ‘cryptographic activation’, an item not specified in Category 5, Part 2, into an item specified in 5A002.a. as above or 5D002.c.1. as below, and not released by the Cryptography Note (Note 3 in Category 5, Part 2),

— 5D002.a.1., only ‘Software’ specially designed or modified for the ‘use’ of equipment specified in 5A002.a. as above or ‘software’ specified in 5D002.c.1. as below,

— 5D002.b., ‘Software’ having the characteristics of a ‘cryptographic activation token’ specified in 5A002.b. as above,

— 5D002.c.1., only ‘Software’ having the characteristics of, or performing or simulating the functions of equipment specified in 5A002.a. as above,

— 5E002.b., only ‘Technology’ having the characteristics of a ‘cryptographic activation token’ specified in 5A002.b. as above.

2.This authorisation shall be valid only if the items meet all of the following conditions:

(a) the items use only published or commercial cryptographic standards that have been approved or adopted by internationally recognised standard bodies;

(b) the items do not use cryptographic standards specially designed for government use (e.g. the cryptographic standards used in public safety radio systems, such as TETRA, TETRAPOL and P25); and

(c) any cryptographic functionality used by the items cannot be easily changed by the user.

3.This authorisation shall not be used if:

(a) the exporter has been informed by the competent authority of the Member State in which the exporter is resident or established, or is otherwise aware (e.g. from information received from the manufacturer), that the items in question have been accredited or otherwise formally approved by the designated authority in a Member State (or are in the process of accreditation or other formal approval) to transmit, process or store classified information, equivalent to or above ‘RESTREINT UE/EU RESTRICTED’;

(b) the exporter has been informed by the competent authority of the Member State in which the exporter is resident or established, or is otherwise aware (e.g. from information received from the manufacturer), that the items in question have been classified by the designated authority in a Member State (or are in the process of classification) as having a protective national security classification marking, equivalent to or above ‘RESTREINT UE/EU RESTRICTED’.

This authorisation is valid throughout the customs territory of the Union for exports to all destinations, excluding:

(a) destinations eligible for export under Union general export authorisation No EU001;

(b) Afghanistan, Armenia, Azerbaijan, Belarus, Cambodia, Central African Republic, China (including Hong Kong and Macao), Congo, Democratic Republic of the Congo, Egypt, Eritrea, Georgia, Iran, Iraq, Israel, Kazakhstan, Kyrgyzstan, Lebanon, Libya, Malaysia, Mali, Mauritius, Mongolia, Myanmar/Burma, North Korea, Oman, Pakistan, Qatar, Russia, Saudi Arabia, Somalia, South Sudan, Sudan, Syria, Tajikistan, Turkmenistan, United Arab Emirates, Uzbekistan, Venezuela, Yemen, Zimbabwe;

(c) any destination, other than those listed in point (b), subject to an arms embargo or subject to restrictive measures of the Union applicable to dual-use items.

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

(a) the exporter has been informed by the competent authority of the Member State in which the exporter is resident or established that the items in question are or may be intended, in their entirety or in part: (i) 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; (ii) for a military, paramilitary, police, intelligence, surveillance end-use, or other security end-use by the government or by entities acting on behalf of the government; (iii) 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; or (iv) for use in connection with a violation of human rights, democratic principles or the freedom of expression as defined by the Charter of Fundamental Rights of the European Union;

(b) 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 point (a);

(c) the exporter is aware that the items in question will be re-exported to any destination excluded by point (b) or (c) of Part 2 of this authorisation;

(d) the relevant items are exported to a customs-free zone or a free warehouse which is located in a destination covered by this authorisation;

(e) the exporter is aware that the consignee or end-user of the items in question is a military, paramilitary, police or intelligence service, or another governmental service for security, or that the items are intended for entities acting on behalf of any of the aforementioned services; or

(f) the export is controlled by virtue of any entry in Annex I not specified in this authorisation.

2.Where a customs declaration is required, the exporter shall declare that the items are being exported under Union general export authorisation No EU008 in the customs declaration.

3.The exporter intending to use this authorisation shall register prior to the first use of this authorisation with the competent authority of the Member State where the exporter is resident or established. Registration shall be automatic and acknowledged by the competent authority to the exporter within 10 working days of receipt.

4.The registered exporter shall notify the first use of this authorisation to the competent authority of the Member State where the registered exporter is resident or established, no later than 10 days before the date of the first export.

5.The exporter shall, at the request of the competent authority of the Member State where the exporter is resident or established, submit technical data of any export planned or conducted under this authorisation. If such technical data has been requested in relation to a specific item and the technical data changes, the exporter shall notify the competent authority of this without delay. The technical data shall include at least the following information regarding the item:

(a) manufacturer;

(b) product name;

(c) model number;

(d) item description - a brief general description of the item such as might be contained in a product brochure;

(e) if necessary, as determined by the competent authority, technical specifications, which shall include: (i) a list of all relevant cryptographic algorithms, including associated key management, related to data confidentiality; (ii) a list of any protocols to which the item adheres; (iii) specification of pre- or post-processing of data, such as compression of plain text or packetizing of encrypted data; (iv) details of programming interfaces that can be used to gain access to the cryptographic functionality of the item;

(f) export control classification.

6.The competent authority of the Member State where the exporter is resident or established may, for reasons of national security, prohibit the exporter from using this Union general export authorisation for any item mentioned in Part 1. The Member State concerned shall inform the Commission and the other Member States on the use of this provision.

7.The registered exporter shall at the request of the competent authority of the Member State where the registered exporter is resident or established report on the use of this authorisation. Upon request, the report on the use of this authorisation shall be produced at least once per year and shall include at least the following information:

(a) export control classification of the dual-use items;

(b) the quantity and the value of the dual-use items;

(c) the name and address of the consignee;

(d) where known, the end-use and end-user of the dual-use items;

(e) a reference to the last submission of technical data for the dual-use items.

I. LIST REFERRED TO IN POINT (A) OF ARTICLE 12(6) OF THIS REGULATION AND SECTIONS A, C, D AND G OF THIS ANNEX

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 mention of an item in this Section does not affect the application of the General Software Note (GSN) set out 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 pyrolised 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 (78-53-5) and corresponding alkylated or protonated salts,

— 1C450.a.2. PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene (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 with total impulse capacity exceeding 1.1 MNs,

— 9A117 Staging mechanisms, separation mechanisms and interstages usable in ‘missiles’.

ANNEX III

A. Model for individual or global export authorisation forms

(referred to in Article 12(2) 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 export authorisation is valid in all Member States of the European Union until its expiry date.

EUROPEAN UNION	EXPORT OF DUAL-USE ITEMS (Reg. (EU) 2021/821)
1	1. Exporter	No	2. Identification number	3. Expiry date (if applicable)
LICENCE		4. Contact point details
5. Consignee	6. Issuing authority
7. Agent/Representative (if different from exporter)	No
	8. Country of consignment	Code
9. End-user (if different from consignee)	10. Member State of current or future location of the items	Code
11. Member State of intended entry into the customs export procedure	Code
1	12. Country of final destination	Code
13. Description of the items (1)	14. Country of origin	Code2
15. Harmonised System or Combined Nomenclature Code (if applicable with 8 digit; CAS number if available)	16. Control list No (for listed items)
17. Currency and Value	18. Quantity of the items
19. End-use	20. Contract date (if applicable)	21. Customs export procedure
22. Additional information required by national legislation (to be specified on the form)
Available for pre-printed information At discretion of Member States
	For completion by issuing authority Signature Issuing Authority	Stamp
		Date
1 Bis	1. Exporter	2. Identification number
LICENCE
13. Description of the items	14. Country of origin	Code2
15. Commodity code (if applicable with 8 digit; CAS number if available)	16. Control list No (for listed items)
17. Currency and Value	18. Quantity of the items
13. Description of the items	14. Country of origin	Code2
15. Commodity code (if applicable with 8 digit; CAS number if available)	16. Control list No (for listed items)
17. Currency and Value	18. Quantity of the items
13. Description of the items	14. Country of origin	Code2
15. Commodity code	16. Control list No
17. Currency and value	18. Quantity of the items
13. Description of the items	14. Country of origin	Code2
15. Commodity code	16. Control list No
17. Currency and value	18. Quantity of the items
13. Description of the items	14. Country of origin	Code2
15. Commodity code	16. Control list No
17. Currency and value	18. Quantity of the items
13. Description of the items	14. Country of origin	Code2
15. Commodity code	16. Control list No
17. Currency and value	18. Quantity of the items
13. Description of the items	14. Country of origin	Code2
15. Commodity code	16. Control list No
17. Currency and value	18. Quantity of the items
13. Description of the items	14. Country of origin	Code2
15. Commodity code	16. Control list No
17. Currency and value	18. Quantity of the items
13. Description of the items	14. Country of origin	Code2
15. Commodity code	16. Control list No
17. Currency and value	18. Quantity of the items
13. Description of the items	14. Country of origin	Code2
15. Commodity code	16. Control list No
17. Currency and value	18. Quantity of the items
Note: In part 1 of column 24, write the quantity still available and in part 2 of column 24, write the quantity deducted on this occasion.
23. Net quantity/value (Net mass/other unit with indication of unit)	26. Customs document (Type and number) or extract (No) and date of deduction	27. Member state, name and signature, stamp of deduction
24. In numbers	25. In words for quantity/value deducted
1.
2.
1.
2.
1.
2.
1.
2.
1.
2.
1.
2.
1.
2.
1.
2.
(1) If needed, this description may be given in one or more attachments to this form (1bis). In this case, indicate the exact number of attachments in this box. The description should be as precise as possible and integrate, where relevant, the CAS or other references for chemical items in particular.

B. Model for brokering services / technical assistance authorisation forms

(referred to in Article 13(5) of this Regulation)

EUROPEAN UNION	PROVISION OF BROKERING SERVICES / TECHNICAL ASSISTANCE (Reg. (EU) 2021/821)
1	1. Broker/ Provider of technical assistance/ Applicant	No	2. Identification number	3. Expiry date (if applicable)
LICENCE	4. Contact point details
5. Exporter in originating third country (if applicable)	6. Issuing authority
7. Consignee	No
8. Member State in which the broker / provider of technical assistance is resident or established	Code (1)
9. Originating country/ Country of location of the items subject of brokering services	Code (1)
10. End-user in third country of destination (if different from consignee)	11. Country of destination	Code (1)
12. Third parties involved, e.g. agents (if applicable)
1
13. Description of the items / technical assistance.	14. Harmonised System or Combined Nomenclature Code (if applicable)	15. Control list No (if applicable)
16. Currency and Value	17. Quantity of the items (if applicable)
18. End-use
19. Additional information required by national legislation (to be specified on the form)
Available for pre-printed information At discretion of Member States
	For completion by issuing authority Signature Issuing Authority	Stamp
		Date
(1) See Regulation (EC) No 1172/95 (OJ L 118, 25.5.1995, p. 10).

C. Common elements for publication of national general export authorisations in national Official Journals

(referred to in point (b) of Article 12(6) of this Regulation)

1.Title of the national general export authorisation

2.Authority issuing the authorisation

3.EU validity. The following text shall be used:

‘This is a national general export authorisation under the terms of Article 12(6) of Regulation (EU) 2021/821. This authorisation, in accordance with Article 12(6) of that Regulation, is valid in all Member States of the European Union.’

Validity: according to national practices.

4.Items concerned: the following introductory text shall be used:

‘This export authorisation covers the following items’

5.Destinations concerned: the following introductory text shall be used:

‘This export authorisation is valid for exports to the following destinations’

6.Conditions and requirements

ANNEX IV

LIST OF DUAL-USE ITEMS REFERRED TO IN ARTICLE 11(1) OF THIS REGULATION

The entries do not always cover the complete description of the item and the related notes in Annex I (¹²). 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-Union trade)

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.
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.
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.;
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.;
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.
7A117	‘Guidance sets’, usable in ‘missiles’ capable of achieving system accuracy of 3,33 % or less of the range (e.g., a ‘CEP’ of 10 km or less at a range of 300 km), except ‘guidance sets’ designed for missiles with a range under 300 km or manned aircraft. Technical Note: In 7A117 ‘CEP’ (Circular Error Probable or Circle of Equal Probability) is a measure of accuracy, defined as the radius of the circle centred at the target, at a specific range, in which 50 % of the payloads impact.
---	---
7B001	Test, calibration or alignment equipment specially designed for equipment specified in 7A117 above. Note:  7B001 does not control test, calibration or alignment equipment for ‘Maintenance Level I’ or ‘Maintenance Level II’.
7B003	Equipment specially designed for the ‘production’ of equipment specified in 7A117 above.
7B103	‘Production facilities’ specially designed for equipment specified in 7A117 above.
7D101	‘Software’ specially designed for the ‘use’ of equipment specified in 7B003 or 7B103 above.
7E001	‘Technology’ according to the General Technology Note for the ‘development’ of equipment or ‘software’ specified in 7A117, 7B003, 7B103 or 7D101 above.
7E002	‘Technology’ according to the General Technology Note for the ‘production’ of equipment specified in 7A117, 7B003 and 7B103 above.
7E101	‘Technology’ according to the General Technology Note for the ‘use’ of equipment specified in 7A117, 7B003, 7B103 and 7D101 above.
9A004	Space launch vehicles capable of delivering at least a 500 kg payload to a range of at least 300 km. N.B.  SEE ALSO 9A104. Note 1:  9A004 does not control payloads.
9A005	Liquid rocket propulsion systems containing any of the systems or components specified in 9A006 usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below. N.B.  SEE ALSO 9A105 and 9A119.
9A007.a.	Solid rocket propulsion systems, usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below, with any of the following: N.B.  SEE ALSO 9A119. a. Total impulse capacity exceeding 1,1 MNs;
9A008.d.	Components, as follows, specially designed for solid rocket propulsion systems: N.B.  SEE ALSO 9A108.c. d. Movable nozzle or secondary fluid injection thrust vector control systems, usable for space launch vehicles specified in 9A004 above or sounding rockets specified in 9A104 below, capable of any of the following: 1. Omni-axial movement exceeding ± 5°; 2. Angular vector rotations of 20°/s or more; or 3. Angular vector accelerations of 40°/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. 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.

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

PART II

(no National General Authorisation for intra-Union trade)

1C351.d.4.	Ricin
1C351.d.5.	Saxitoxin

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.

1B226	Electromagnetic isotope separators designed for, or equipped with, single or multiple ion sources capable of providing a total ion beam current of 50 mA or greater. Note:  1B226 includes separators: a. Capable of enriching stable isotopes; b. With the ion sources and collectors both in the magnetic field and those configurations in which they are external to the field.
1B231	Tritium facilities or plants, and equipment therefor, as follows: a. Facilities or plants for the production, recovery, extraction, concentration, or handling of tritium; b. Equipment for tritium facilities or plants, as follows: 1. Hydrogen or helium refrigeration units capable of cooling to 23 K (– 250 °C) or less, with heat removal capacity greater than 150 W; 2. Hydrogen isotope storage or hydrogen isotope purification systems using metal hydrides as the storage or purification medium.
1B233	Lithium isotope separation facilities or plants, and equipment therefor, as follows: a. Facilities or plants for the separation of lithium isotopes; b. Equipment for the separation of lithium isotopes, as follows: 1. Packed liquid-liquid exchange columns specially designed for lithium amalgams; 2. Mercury or lithium amalgam pumps; 3. Lithium amalgam electrolysis cells; 4. Evaporators for concentrated lithium hydroxide solution.
1C012	Materials as follows: Technical Note: These materials are typically used for nuclear heat sources. b. ‘Previously separated’ neptunium-237 in any form. Note:  1C012.b. does not control shipments with a neptunium-237 content of 1 g or less.
1C233	Lithium enriched in the lithium-6 (6Li) isotope to greater than its natural isotopic abundance, and products or devices containing enriched lithium, as follows: elemental lithium, alloys, compounds, mixtures containing lithium, manufactures thereof, waste or scrap of any of the foregoing. Note:  1C233 does not control thermoluminescent dosimeters. Technical Note: The natural isotopic abundance of lithium-6 is approximately 6,5 weight per cent (7,5 atom per cent).
1C235	Tritium, tritium compounds, mixtures containing tritium in which the ratio of tritium to hydrogen atoms exceeds 1 part in 1 000 , and products or devices containing any of the foregoing. Note:  1C235 does not control a product or device containing less than 1,48 × 103 GBq (40 Ci) of tritium.
1E001	‘Technology’ according to the General Technology Note for the ‘development’ or ‘production’ of equipment or materials specified in 1C012.b.
1E201	‘Technology’ according to the General Technology Note for the ‘use’ of goods specified in 1B226, 1B231, 1B233, 1C233 or 1C235.
3A228	Switching devices, as follows: a. Cold-cathode tubes, whether gas filled or not, operating similarly to a spark gap, having all of the following characteristics: 1. Containing three or more electrodes; 2. Anode peak voltage rating of 2,5 kV or more; 3. Anode peak current rating of 100 A or more; and 4. Anode delay time of 10 μs or less; Note:  3A228 includes gas krytron tubes and vacuum sprytron tubes. b. Triggered spark-gaps having both of the following characteristics: 1. An anode delay time of 15 μs or less; and 2. Rated for a peak current of 500 A or more;
3A231	Neutron generator systems, including tubes, having both of the following characteristics: a. Designed for operation without an external vacuum system; and b. Utilizing electrostatic acceleration to induce a tritium-deuterium nuclear reaction.
3E201	‘Technology’ according to the General Technology Note for the ‘use’ of equipment specified in 3A228 or 3A231 above.
6A203	Cameras and components, other than those specified in 6A003, as follows: a. Mechanical rotating mirror streak cameras, as follows, and specially designed components therefor: 1. Streak cameras with writing speeds greater than 0,5 mm per microsecond; b. Mechanical rotating mirror framing cameras, as follows, and specially designed components therefor: 1. Framing cameras with recording rates greater than 225 000 frames per second; Note:  In 6A203.a. components of such cameras include their synchronising electronics units and rotor assemblies consisting of turbines, mirrors and bearings.
6A225	Velocity interferometers for measuring velocities exceeding 1 km/s during time intervals of less than 10 microseconds. Note:  6A225 includes velocity interferometers such as VISARs (Velocity interferometer systems for any reflector) and DLIs (Doppler laser interferometers).
6A226	Pressure sensors, as follows: a. Shock pressure gauges capable of measuring pressures greater than 10 GPa, including gauges made with manganin, ytterbium, and polyvinylidene fluoride (PVDF)/polyvinyl difluoride (PVF2); b. Quartz pressure transducers for pressures greater than 10 GPa.

ANNEX V

Council Regulation (EC) No 428/2009 (OJ L 134, 29.5.2009, p. 1)

Regulation (EU) No 1232/2011 of the European Parliament and of the Council (OJ L 326, 8.12.2011, p. 26)

Regulation (EU) No 388/2012 of the European Parliament and of the Council (OJ L 129, 16.5.2012, p. 12)

Regulation (EU) No 599/2014 of the European Parliament and of the Council (OJ L 173, 12.6.2014, p. 79)

Commission Delegated Regulation (EU) No 1382/2014 (OJ L 371, 30.12.2014, p. 1)

Commission Delegated Regulation (EU) 2015/2420 (OJ L 340, 24.12.2015, p. 1)

Commission Delegated Regulation (EU) 2016/1969 (OJ L 307, 15.11.2016, p. 1)

Commission Delegated Regulation (EU) 2017/2268 (OJ L 334, 15.12.2017, p. 1)

Commission Delegated Regulation (EU) 2018/1922 (OJ L 319, 14.12.2018, p. 1)

Commission Delegated Regulation (EU) 2019/2199 (OJ L 338, 30.12.2019, p. 1)

Commission Delegated Regulation (EU) 2020/1749 (OJ L 421, 14.12.2020, p. 1)

Regulation (EU) 2020/2171 of the European Parliament and of the Council (OJ L 432, 21.12.2020, p. 4)

ANNEX VI

Regulation (EC) No 428/2009	This Regulation
Article 1	Article 1
Article 2, introductory wording	Article 2, introductory wording
Article 2, point 1	Article 2, point (1)
Article 2, point 2, introductory wording	Article 2, point (2), introductory wording
Article 2, point 2,(i) and (ii)	Article 2, point (2)(a) and (b)
-	Article 2, point (2)(c)
Article 2, point 2,(iii)	Article 2, point (2)(d)
Article 2, point 3, first subparagraph, introductory wording	Article 2, point (3), first subparagraph, introductory wording
Article 2, point 3, first subparagraph, point (i)	Article 2, point (3), first subparagraph, point (a)
Article 2, point 3, first subparagraph, point (ii)	Article 2, point (3), first subparagraph, point (b)
Article 2, point 3, second subparagraph	Article 2, point (3), point (c)
-	Article 2, point (3), point (d)
Article 2, point 4	Article 2, point (4)
-	Article 2, point (5)
-	Article 2, point (6)
Article 2, point 5, first subparagraph, introductory wording	Article 2, point (7), first subparagraph, introductory wording
Article 2, point 5, first subparagraph, first indent	Article 2, point (7)
Article 2, point 5, first subparagraph, second indent	Article 2, point (7)
Article 2, point 5, second subparagraph	Article 2, point (7)
Article 2, point 6	Article 2, point (8)
-	Article 2, point (9) and (10)
Article 2, point 7	Article 2, point (11)
Article 2, point 8	Article 2, point (12)
Article 2, point 9	Article 2, point (15)
Article 2, point 10	Article 2, point (13)
-	Article 2, point (14)
Article 2, point 11	Article 2, point (16)
Article 2, point 12	Article 2, point (17)
Article 2, point 13	Article 2, point (18)
-	Article 2, point (19)
-	Article 2, point (20)
-	Article 2, point (21) and (22)
Article 3	Article 3
Article 4(1)	Article 4(1), introductory wording and point (a)
Article 4(2), first sentence	Article 2 (19) and 4(1)(b)
Article 4(2),second sentence	Article 4(1)(b), introductory wording
Article 4(2), points (a), (b) and (c)	Article 4(1), point (b) (i), (ii) and (iii)
Article 4(3)	Article 4(1), point (c)
Article 4(4)	Article 4(2)
Article 4(5)	Article 4(3)
Article 4(6)	Article 4(4) and (5)
Article 4(7)	Article 4(6)
-	Article 4(7)
Article 4(8)	Article 4(8)
-	Article 5
Article 5(1), first sentence	Article 6(1)
Article 5(1), second sentence	Article 6(2)
Article 5(2), (3) and (4)	Article 6(3), (4) and (5)
Article 6(1), first sentence	Article 7(1)
Article 6(1), second sentence	-
Article 6(2), first sentence	Article 7(2), first sentence
-	Article 7(2), second sentence
Article 6(3)	Article 7(3)
Article 6(4)	Article 7(4)
Article 7	-
-	Article 8
Article 8	Article 9
-	Article 10
Article 9(1), first subparagraph	Article 12(1), point (d)
Article 9(1), second and third subparagraphs	Article 12(7)
Article 9(1), fourth and fifth subparagraphs	Articles 17 and 19
Article 9(2), first subparagraph	Article 12(1), points (a) to (c), and Article 12(2), first subparagraph
Article 9(2), second subparagraph	Article 12(1), second subparagraph
-	Article 12(2), second subparagraph
-	Article 12(3)
Article 9(2), third subparagraph	Article 12(4), first and second subparagraphs
-	Article 12(4), third subparagraph
Article 9(3)	Article 12(5)
Article 9(4)	Article 12(6)
Article 9(5)	-
Article 9(6)	Article 12(6), fourth subparagraph, and Article 23(1)
Article 10(1), extended to technical assistance	Article 13(1), first subparagraph, and Article 13(2)
-	Article 13(1), second subparagraph
Article 10(2)	Article 13(3)
Article 10(3)	Article 13(4)
Article 11	Article 14
Article 12(1)	Article 15(1)
Article 12(2)	-
-	Article 15(2)
Article 13	Article 16
Article 14(1)	Article 12(2), third subparagraph, and Article 13(5), extended to technical assistance
Article 14(2)	Article 12(4), fourth subparagraph
Article 15(1)	Article 17(1), point (a)
Article 15(2)	Article 20
Article 15(3)	Article 17(1), introductory wording and point (b)
-	Article 17(2)
Article 16	Article 21
Article 17	Article 22
Article 18	-
Article 19(1)	-
Article 19(1), introductory wording	Article 23(2), introductory wording
-	Article 23(2), point (a)
-	Article 23 (2), point (b)
-	Article 23 (2), point (c)
Article 19(2), point (a)	Article 23(2), point (d)
Article 19(2), point (b)	Article 23(2), point (e)
-	Article 23 (3)
-	Article 23 (4)
Article 19(3)	Article 23 (5)
Article 19(4)	Article 23(6)
Article 19(5)	Article 26(1), second sentence
Article 19(6)	Article 23(7)
Article 20(1) to (3)	Article 27(1) to (3)
Article 21	Article 28
Article 22(1) and (2)	Article 11(1) and (2)
Article 22(3) and (4)	Article 11(3) and (4)
Article 22(5) to (7)	Article 11(5) to (7)
Article 22(8)	Article 27(4)
Article 22(9) and (10)	Article 11(8) and (9)
Article 23(1) and (2)	Article 24(1) and (2)
-	Article 24(3)
-	Article 24 (4)
Article 23(3)	Article 26(2)
-	Article 26(3)
-	Article 26 (4)
Article 23a(1)	Article 18(1)
Article 23a(2) and (3)	Article 18(2) and (3)
-	Article 18(4)
Article 23a(4) and (5)	Article 18(5) and (6)
Article 23b	Article 19
Article 24	Article 25(1)
-	Article 25(2)
Article 25(1)	Article 23(1), first and second subparagraphs
Article 25(2) and (3)	-
Article 25(4)	Article 26(2)
-	Article 29(1)
Article 25a	Article 29(2)
Article 26	-
-	Article 30
Article 27	Article 31
Article 28	Article 32
Annex I	Annex I
-	Annex I
Annex IIa	Annex II, Section A
Annex IIb	Annex II, Section B
Annex IIc	Annex II, Section C
Annex IId	Annex II, Section D
Annex IIe	Annex II, Section E
Annex IIf	Annex II, Section F
-	Annex II, Section G
-	Annex II, Section H
Annex IIg	Annex II, Section I
Annex IIIa	Annex III, Section A
Annex IIIb	Annex III, Section B
Annex IIIc	Annex III, Section C
Annex IV	Annex IV
Annex V	Annex V
Annex VI	Annex VI