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)
CHAPTER I
SUBJECT AND DEFINITIONS
Article 1
Article 2
CHAPTER II
SCOPE
Article 3
Article 4
Article 5
Article 6
Article 7
Article 8
Article 9
Article 10
Article 11
CHAPTER III
EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES AND TECHNICAL ASSISTANCE
Article 12
Article 13
Article 14
Article 15
Article 16
CHAPTER IV
AMENDMENT OF LISTS OF DUAL
-
USE ITEMS AND DESTINATIONS
Article 17
Article 18
Article 19
Article 20
CHAPTER V
CUSTOMS PROCEDURES
Article 21
Article 22
CHAPTER VI
ADMINISTRATIVE COOPERATION, IMPLEMENTATION AND ENFORCEMENT
Article 23
Article 24
Article 25
CHAPTER VII
TRANSPARENCY, OUTREACH, MONITORING, EVALUATION
Article 26
CHAPTER VIII
CONTROL MEASURES
Article 27
Article 28
CHAPTER IX
COOPERATION WITH THIRD COUNTRIES
Article 29
CHAPTER X
FINAL PROVISIONS
Article 30
Article 31
Article 32
ANNEX I
LIST OF DUAL-USE ITEMS REFERRED TO IN ARTICLE 3 OF THIS REGULATION
PART I -
General Notes, Acronyms and Abbreviations, and Definitions
GENERAL NOTES TO ANNEX I
NUCLEAR TECHNOLOGY NOTE (NTN)
GENERAL TECHNOLOGY NOTE (GTN)
NUCLEAR SOFTWARE NOTE (NSN)
GENERAL SOFTWARE NOTE (GSN)
GENERAL "INFORMATION SECURITY" NOTE (GISN)
EDITORIAL PRACTICES IN THE
OFFICIAL JOURNAL OF THE EUROPEAN UNION
ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX
ACRONYMS AND ABBREVIATIONS
ABEC |
Annular Bearing Engineers Committee |
ABMA |
American Bearing Manufacturers Association |
ADC |
Analogue-to-Digital Converter |
AGMA |
American Gear Manufacturers’ Association |
AHRS |
Attitude and Heading Reference Systems |
AISI |
American Iron and Steel Institute |
ALE |
Atomic Layer Epitaxy |
ALU |
Arithmetic Logic Unit |
ANSI |
American National Standards Institute |
APP |
Adjusted Peak Performance |
APU |
Auxiliary Power Unit |
ASTM |
American Society for Testing and Materials |
ATC |
Air Traffic Control |
BJT |
Bipolar Junction Transistors |
BPP |
Beam Parameter Product |
BSC |
Base Station Controller |
CAD |
Computer-Aided-Design |
CAS |
Chemical Abstracts Service |
CCD |
Charge Coupled Device |
CDU |
Control and Display Unit |
CEP |
Circular Error Probable |
CMM |
Coordinate Measuring Machine |
CMOS |
Complementary Metal Oxide Semiconductor |
CNTD |
Controlled Nucleation Thermal Deposition |
CPLD |
Complex Programmable Logic Device |
CPU |
Central Processing Unit |
CVD |
Chemical Vapour Deposition |
CW |
Chemical Warfare |
CW (for lasers) |
Continuous Wave |
DAC |
Digital-to-Analogue Converter |
DANL |
Displayed Average Noise Level |
DBRN |
Data-Base Referenced Navigation |
DDS |
Direct Digital Synthesizer |
DMA |
Dynamic Mechanical Analysis |
DME |
Distance Measuring Equipment |
DMOSFET |
Diffused Metal Oxide Semiconductor Field Effect Transistor |
DS |
Directionally Solidified |
EB |
Exploding Bridge |
EB-PVD |
Electron Beam Physical Vapour Deposition |
EBW |
Exploding Bridge Wire |
ECM |
Electro-Chemical Machining |
EDM |
Electrical Discharge Machines |
EFI |
Exploding Foil Initiators |
EIRP |
Effective Isotropic Radiated Power |
EMP |
Electromagnetic Pulse |
ENOB |
Effective Number of Bits |
ERF |
Electrorheological Finishing |
ERP |
Effective Radiated Power |
ESD |
Electrostatic Discharge |
ETO |
Emitter Turn-Off Thyristor |
ETT |
Electrical Triggering Thyristor |
EU |
European Union |
EUV |
Extreme Ultraviolet |
FADEC |
Full Authority Digital Engine Control |
FFT |
Fast Fourier Transform |
FPGA |
Field Programmable Gate Array |
FPIC |
Field Programmable Interconnect |
FPLA |
Field Programmable Logic Array |
FPO |
Floating Point Operation |
FWHM |
Full-Width Half-Maximum |
GLONASS |
Global Navigation Satellite System |
GNSS |
Global Navigation Satellite System |
GPS |
Global Positioning System |
GSM |
Global System for Mobile Communications |
GTO |
Gate Turn-off Thyristor |
HBT |
Hetero-Bipolar Transistors |
HDMI |
High-Definition Multimedia Interface |
HEMT |
High Electron Mobility Transistor |
ICAO |
International Civil Aviation Organization |
IEC |
International Electro-technical Commission |
IED |
Improvised Explosive Device |
IEEE |
Institute of Electrical and Electronic Engineers |
IFOV |
Instantaneous-Field-Of-View |
IGBT |
Insulated Gate Bipolar Transistor |
IGCT |
Integrated Gate Commutated Thyristor |
IHO |
International Hydrographic Organization |
ILS |
Instrument Landing System |
IMU |
Inertial Measurement Unit |
INS |
Inertial Navigation System |
IP |
Internet Protocol |
IRS |
Inertial Reference System |
IRU |
Inertial Reference Unit |
ISA |
International Standard Atmosphere |
ISAR |
Inverse Synthetic Aperture Radar |
ISO |
International Organization for Standardization |
ITU |
International Telecommunication Union |
JT |
Joule-Thomson |
LIDAR |
Light Detection and Ranging |
LIDT |
Laser Induced Damage Threshold |
LOA |
Length Overall |
LRU |
Line Replaceable Unit |
LTT |
Light Triggering Thyristor |
MLS |
Microwave Landing Systems |
MMIC |
Monolithic Microwave Integrated Circuit |
MOCVD |
Metal Organic Chemical Vapour Deposition |
MOSFET |
Metal-Oxide-Semiconductor Field Effect Transistor |
MPM |
Microwave Power Module |
MRF |
Magnetorheological Finishing |
MRF |
Minimum Resolvable Feature size |
MRI |
Magnetic Resonance Imaging |
MTBF |
Mean-Time-Between-Failures |
MTTF |
Mean-Time-To-Failure |
NA |
Numerical Aperture |
NDT |
Non-Destructive Test |
NEQ |
Net Explosive Quantity |
NIJ |
National Institute of Justice |
OAM |
Operations, Administration or Maintenance |
OSI |
Open Systems Interconnection |
PAI |
Polyamide-imides |
PAR |
Precision Approach Radar |
PCL |
Passive Coherent Location |
PDK |
Process Design Kit |
PIN |
Personal Identification Number |
PMR |
Private Mobile Radio |
PVD |
Physical Vapour Deposition |
ppm |
parts per million |
QAM |
Quadrature-Amplitude-Modulation |
QE |
Quantum Efficiency |
RAP |
Reactive Atom Plasmas |
RF |
Radio Frequency |
rms |
root mean square |
RNC |
Radio Network Controller |
RNSS |
Regional Navigation Satellite System |
ROIC |
Read-out Integrated Circuit |
S-FIL |
Step and Flash Imprint Lithography |
SAR |
Synthetic Aperture Radar |
SAS |
Synthetic Aperture Sonar |
SC |
Single Crystal |
SCR |
Silicon Controlled Rectifier |
SFDR |
Spurious Free Dynamic Range |
SHPL |
Super High Powered Laser |
SLAR |
Sidelooking Airborne Radar |
SOI |
Silicon-on-Insulator |
SQUID |
Superconducting Quantum Interference Device |
SRA |
Shop Replaceable Assembly |
SRAM |
Static Random Access Memory |
SSB |
Single Sideband |
SSR |
Secondary Surveillance Radar |
SSS |
Side Scan Sonar |
TIR |
Total Indicated Reading |
TVR |
Transmitting Voltage Response |
u |
Atomic Mass Unit |
UPR |
Unidirectional Positioning Repeatability |
UTS |
Ultimate Tensile Strength |
UV |
Ultraviolet |
VJFET |
Vertical Junction Field Effect Transistor |
VOR |
Very High Frequency Omni-directional Range |
WHO |
World Health Organization |
WLAN |
Wireless Local Area Network |
DEFINITIONS OF TERMS USED IN THIS ANNEX
PART II –
Category 0
CATEGORY 0
-
NUCLEAR MATERIALS, FACILITIES AND EQUIPMENT
0A
Systems, Equipment and Components
0B
Test, Inspection and Production Equipment
0C
Materials
0D
Software
0E
Technology
PART III –
Category 1
CATEGORY 1 – SPECIAL MATERIALS AND RELATED EQUIPMENT
1A
Systems, Equipment and Components
1B
Test, Inspection and Production Equipment
1C
Materials
1D
Software
1E
Technology
PART IV –
Category 2
CATEGORY 2 - MATERIALS PROCESSING
2A
Systems, Equipment and Components
2B
Test, Inspection and Production Equipment
2C
Materials
2D
Software
2E
Technology
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"Superalloys" |
Aluminides for internal passages |
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Ceramics (19) and Low expansion glasses (14) |
Silicides Carbides Dielectric layers (15) Diamond Diamond-like carbon (17) |
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Carbon-carbon, Ceramic and Metal "matrix""composites" |
Silicides Carbides Refractory metals Mixtures thereof (4) Dielectric layers (15) Aluminides Alloyed aluminides (2) Boron nitride |
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Cemented tungsten carbide (16), Silicon carbide (18) |
Carbides Tungsten Mixtures thereof (4) Dielectric layers (15) |
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Molybdenum and Molybdenum alloys |
Dielectric layers (15) |
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Beryllium and Beryllium alloys |
Dielectric layers (15) Diamond Diamond-like carbon (17) |
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Sensor window materials (9) |
Dielectric layers (15) Diamond Diamond-like carbon (17) |
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"Superalloys" |
Alloyed silicides Alloyed aluminides (2) MCrAlX (5) Modified zirconia (12) Silicides Aluminides Mixtures thereof (4) |
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Ceramics (19) and Low expansion glasses (14) |
Dielectric layers (15) |
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Corrosion resistant steel (7) |
MCrAlX (5) Modified zirconia (12) Mixtures thereof (4) |
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Carbon-carbon, Ceramic and Metal "matrix""composites" |
Silicides Carbides Refractory metals Mixtures thereof (4) Dielectric layers (15) Boron nitride |
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Cemented tungsten carbide (16), Silicon carbide (18) |
Carbides Tungsten Mixtures thereof (4) Dielectric layers (15) |
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Molybdenum and Molybdenum alloys |
Dielectric layers (15) |
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Beryllium and Beryllium alloys |
Dielectric layers (15) Borides Beryllium |
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Sensor window materials (9) |
Dielectric layers (15) |
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Titanium alloys (13) |
Borides Nitrides |
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Ceramics (19) and Low-expansion glasses |
Dielectric layers (15) Diamond-like carbon (17) |
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Carbon-carbon, Ceramic and Metal "matrix""composites" |
Dielectric layers (15) |
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Cemented tungsten carbide (16), Silicon carbide |
Dielectric layers (15) |
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Molybdenum and Molybdenum alloys |
Dielectric layers (15) |
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Beryllium and Beryllium alloys |
Dielectric layers (15) |
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Sensor window materials (9) |
Dielectric layers (15) Diamond-like carbon (17) |
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Ceramics (19) and Low expansion glasses (14) |
Silicides Dielectric layers (15) Diamond-like carbon (17) |
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Carbon-carbon, Ceramic and Metal "matrix""composites" |
Dielectric layers (15) |
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Cemented tungsten carbide (16), Silicon carbide |
Dielectric layers (15) |
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Molybdenum and Molybdenum alloys |
Dielectric layers (15) |
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Beryllium and Beryllium alloys |
Dielectric layers (15) |
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Sensor window materials (9) |
Dielectric layers (15) Diamond-like carbon (17) |
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"Superalloys" |
Alloyed silicides Alloyed aluminides (2) MCrAlX (5) |
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Polymers (11) and Organic "matrix""composites" |
Borides Carbides Nitrides Diamond-like carbon (17) |
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Carbon-carbon, Ceramic and Metal "matrix""composites" |
Silicides Carbides Mixtures thereof (4) |
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Titanium alloys (13) |
Silicides Aluminides Alloyed aluminides (2) |
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Refractory metals and alloys (8) |
Silicides Oxides |
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"Superalloys" |
MCrAlX (5) Modified zirconia (12) Mixtures thereof (4) Abradable Nickel-Graphite Abradable materials containing Ni-Cr-Al Abradable Al-Si-Polyester Alloyed aluminides (2) |
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Aluminium alloys (6) |
MCrAlX (5) Modified zirconia (12) Silicides Mixtures thereof (4) |
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Refractory metals and alloys (8) |
Aluminides Silicides Carbides |
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Corrosion resistant steel (7) |
MCrAlX (5) Modified zirconia (12) Mixtures thereof (4) |
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Titanium alloys (13) |
Carbides Aluminides Silicides Alloyed aluminides (2) Abradable Nickel-Graphite Abradable materials containing Ni-Cr-Al Abradable Al-Si-Polyester |
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Refractory metals and alloys (8) |
Fused silicides Fused aluminides except for resistance heating elements |
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Carbon-carbon, Ceramic and Metal "matrix""composites" |
Silicides Carbides Mixtures thereof (4) |
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"Superalloys" |
Alloyed silicides Alloyed aluminides (2) Noble metal modified aluminides (3) MCrAlX (5) Modified zirconia (12) Platinum Mixtures thereof (4) |
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Ceramics and Low- expansion glasses (14) |
Silicides Platinum Mixtures thereof (4) Dielectic layers (15) Diamond-like carbon (17) |
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Titanium alloys (13) |
Borides Nitrides Oxides Silicides Aluminides Alloyed aluminides (2) Carbides |
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Carbon-carbon, Ceramic and Metal "matrix""composites" |
Silicides Carbides Refractory metals Mixtures thereof (4) Dielectric layers (15) Boron nitride |
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Cemented tungsten carbide (16), Silicon carbide (18) |
Carbides Tungsten Mixtures thereof (4) Dielectric layers (15) Boron nitride |
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Molybdenum and Molybdenum alloys |
Dielectric layers (15) |
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Beryllium and Beryllium alloys |
Borides Dielectric layers (15) Beryllium |
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Sensor window materials (9) |
Dielectric layers (15) Diamond-like carbon (17) |
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Refractory metals and alloys (8) |
Aluminides Silicides Oxides Carbides |
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High temperature bearing steels |
Additions of Chromium Tantalum or Niobium (Columbium) |
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Titanium alloys (13) |
Borides Nitrides |
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Beryllium and Beryllium alloys |
Borides |
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Cemented tungsten carbide (16) |
Carbides Nitrides |
PART V –
Category 3
CATEGORY 3 - ELECTRONICS
3A
Systems, Equipment and Components
3B
Test, Inspection and Production Equipment
3C
Materials
3D
Software
3E
Technology
PART VI –
Category 4
CATEGORY 4 - COMPUTERS
4A
Systems, Equipment and Components
4B
Test, Inspection and Production Equipment
4C
Materials
4D
Software
4E
Technology
TECHNICAL NOTE ON "ADJUSTED PEAK PERFORMANCE" ("APP")
Abbreviations used in this Technical Note
Outline of "APP" calculation method
PART VII –
Category 5
CATEGORY 5 - TELECOMMUNICATIONS AND "INFORMATION SECURITY"
Part 1 - TELECOMMUNICATIONS
5A1
Systems, Equipment and Components
5B1
Test, Inspection and Production Equipment
5C1
Materials
5D1
Software
5E1
Technology
Part 2 - "INFORMATION SECURITY"
5A2
Systems, Equipment and Components
5B2
Test, Inspection and Production Equipment
5C2
Materials
5D2
Software
5E2
Technology
PART VIII –
Category 6
CATEGORY 6 - SENSORS AND LASERS
6A
Systems, Equipment and Components
6B
Test, Inspection and Production Equipment
6C
Materials
6D
Software
6E
Technology
PART IX –
Category 7
CATEGORY 7 - NAVIGATION AND AVIONICS
7A
Systems, Equipment and Components
7B
Test, Inspection and Production Equipment
7C
Materials
7D
Software
7E
Technology
PART X –
Category 8
CATEGORY 8 - MARINE
8A
Systems, Equipment and Components
8B
Test, Inspection and Production Equipment
8C
Materials
8D
Software
8E
Technology
PART XI –
Category 9
CATEGORY 9 – AEROSPACE AND PROPULSION
9A
Systems, Equipment and Components
9B
Test, Inspection and Production Equipment
9C
Materials
9D
Software
9E
Technology
ANNEX II
UNION GENERAL EXPORT AUTHORISATIONS
A. EXPORTS TO AUSTRALIA, CANADA, ICELAND, JAPAN, NEW ZEALAND, NORWAY, SWITZERLAND, INCLUDING LIECHTENSTEIN, THE UNITED KINGDOM AND THE UNITED STATES
UNION GENERAL EXPORT AUTHORISATION No EU001
(referred to in point (d) of Article 12(1) of this Regulation)
Exports to Australia, Canada, Iceland, Japan, New Zealand, Norway, Switzerland, including Liechtenstein, the United Kingdom and the United States
Issuing authority: European Union
Part 1 – Items
Part 2 – Destinations
Part 3 – Conditions and requirements for use
B. EXPORTS OF CERTAIN DUAL-USE ITEMS TO CERTAIN DESTINATIONS
UNION GENERAL EXPORT AUTHORISATION No EU002
(referred to in point (d) of Article 12(1) of this Regulation)
Exports of certain dual-use items to certain destinations
Issuing authority: European Union
Part 1 — Items
Part 2 — Destinations
Part 3 — Conditions and requirements for use
C. EXPORT AFTER REPAIR/REPLACEMENT
UNION GENERAL EXPORT AUTHORISATION No EU003
(referred to in point (d) of Article 12(1) of this Regulation)
Export after repair/replacement
Issuing authority: European Union
Part 1 — Items
Part 2 — Destinations
Part 3 — Conditions and requirements for use
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)
Temporary export for exhibition or fair
Issuing authority: European Union
Part 1 — Items
Part 2 — Destinations
Part 3 — Conditions and requirements for use
E. TELECOMMUNICATIONS
UNION GENERAL EXPORT AUTHORISATION No EU005
(referred to in point (d) of Article 12(1) of this Regulation)
Telecommunications
Issuing authority: European Union
Part 1 — Items
Part 2 — Destinations
Part 3 — Conditions and requirements for use
F. CHEMICALS
UNION GENERAL EXPORT AUTHORISATION No EU006
(referred to in point (d) of Article 12(1) of this Regulation)
Chemicals
Issuing authority: European Union
Part 1 — Items
Part 2 — Destinations
Part 3 — Conditions and requirements for use
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)
Intra-group export of software and technology
Issuing authority: European Union
Part 1 – Items
Part 2 – Destinations
Part 3 – Conditions and requirements for use
H. ENCRYPTION
UNION GENERAL EXPORT AUTHORISATION No EU008
(referred to in point (d) of Article 12(1) of this Regulation)
Encryption
Issuing authority: European Union
Part 1 — Items
Part 2 — Destinations
Part 3 — Conditions and requirements for use
I. LIST REFERRED TO IN POINT (A) OF ARTICLE 12(6) OF THIS REGULATION AND SECTIONS A, C, D AND G OF THIS ANNEX
ANNEX III
MODELS FOR AUTHORISATION FORMS
A. Model for individual or global export authorisation forms
(referred to in Article 12(2) of this Regulation)
EUROPEAN UNION |
EXPORT OF DUAL-USE ITEMS (Reg. (EU) 2021/821) |
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Available for pre-printed information At discretion of Member States |
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For completion by issuing authority Signature Issuing Authority |
Stamp |
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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. |
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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) |
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Available for pre-printed information At discretion of Member States |
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For completion by issuing authority Signature Issuing Authority |
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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)
ANNEX IV
LIST OF DUAL-USE ITEMS REFERRED TO IN ARTICLE 11(1) OF THIS REGULATION
PART I
(possibility of National General Authorisation for intra-Union trade)
Items of stealth technology
1C001 |
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Materials specially designed for absorbing electromagnetic radiations, or intrinsically conductive polymers. N.B. SEE ALSO 1C101 |
1C101 |
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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 |
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"Software" specially designed for analysis of reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures. |
1E101 |
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"Technology" according to the GTN for the "use" of goods specified in 1C101 or 1D103. |
1E102 |
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"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 Union 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.
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:
|
||||||||||||
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:
|
||||||||||||
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:
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 Union 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:
|
||||||
5D002.c. |
|
"Software" having the characteristics of, or performing or simulating the functions of, any of the following:
|
||||||
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.
|
||||||||||||
9A008.d. |
|
Components, as follows, specially designed for solid rocket propulsion systems: N.B. SEE ALSO 9A108.c.
|
||||||||||||
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.
|
||||||||||||
9A106.c. |
|
Systems or components, other than those specified in 9A006, usable in "missiles" , as follows, specially designed for liquid rocket propulsion systems:
Technical Note: Examples of methods of achieving thrust vector control specified in 9A106.c. are:
|
||||||||||||
9A108.c. |
|
Components, other than those specified in 9A008, usable in ‘missiles’ as follows, specially designed for solid rocket propulsion systems:
Technical Note: Examples of methods of achieving thrust vector control specified in 9A108.c. are:
|
||||||||||||
9A116 |
|
Reentry vehicles, usable in "missiles", and equipment designed or modified therefor, as follows, except for reentry vehicles designed for non-weapon payloads:
|
||||||||||||
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:
PART II
(NO NATIONAL GENERAL AUTHORISATION FOR INTRA-UNION TRADE)
Items of the CWC (Chemical Weapons Convention)
1C351.d.4. |
|
Ricin |
1C351.d.5. |
|
Saxitoxin |
Items of the NSG technology
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:
|
||||||||||||||||
1B231 |
|
Tritium facilities or plants, and equipment therefor, as follows:
|
||||||||||||||||
1B233 |
|
Lithium isotope separation facilities or plants, and equipment therefor, as follows:
|
||||||||||||||||
1C012 |
|
Materials as follows: Technical Note: These materials are typically used for nuclear heat sources.
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:
Note: 3A228 includes gas krytron tubes and vacuum sprytron tubes.
|
||||||||||||||||
3A231 |
|
Neutron generator systems, including tubes, having both of the following characteristics:
|
||||||||||||||||
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:
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:
|
ANNEX V
REPEALED REGULATION WITH LIST OF THE SUCCESSIVE AMENDMENTS THERETO
ANNEX VI
CORRELATION TABLE
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 |