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)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 207(2) thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Acting in accordance with the ordinary legislative procedure (1),

Whereas:

(1) Council Regulation (EC) No 428/2009 (2) has been substantially amended several times. Since further amendments are to be made, that Regulation should be recast in the interests of clarity, effectiveness and efficiency.

(2) This Regulation aims to ensure that in the area of dual-use items, the Union and its Member States fully take into account all relevant considerations. Relevant considerations include international obligations and commitments, obligations under relevant sanctions, considerations of national foreign and security policy including those contained in the Council Common Position 2008/944/CFSP (3), among them human rights, and considerations about intended end-use and the risk of diversion. Through this Regulation, the Union demonstrates its commitment to maintaining robust legal requirements with regard to dual-use items, as well as to strengthening the exchange of relevant information and greater transparency. With regard to cyber-surveillance items, the competent authorities of the Member States should consider in particular the risk of them being used in connection with internal repression or the commission of serious violations of human rights and international humanitarian law.

(3) This Regulation also aims to strengthen the guidance to be given to exporters, in particular to small and medium-sized enterprises (SMEs), regarding responsible practices, yet without impairing the global competitiveness of exporters of dual-use items or other associated industry or academia which are resident or established in a Member State.

(4) United Nations Security Council Resolution 1540 (2004), adopted on 28 April 2004, decided that all States are to take and enforce effective measures to establish domestic controls to prevent the proliferation of nuclear, chemical or biological weapons and their means of delivery, including by establishing appropriate controls over related materials, equipment and technology. Controls are also required under relevant international agreements, such as the Convention on the Prohibition of the Development, Production, Stockpiling and use of Chemical Weapons and on their Destruction (the ‘Chemical Weapons Convention’ or ‘CWC’) and the Convention on the Prohibition of the Development, Production and Stockpiling of Bacteriological (Biological) and Toxin Weapons and On Their Destruction (the ‘Biological and Toxin Weapons Convention’ or ‘BWC’), and in line with commitments agreed upon in multilateral export control regimes.

(5) An effective common system of export controls on dual-use items is therefore necessary to ensure that the international commitments and responsibilities of the Member States and of the Union, in particular regarding non-proliferation, regional peace, security and stability and respect for human rights and international humanitarian law, are complied with.

(6) The EU Strategy against proliferation of Weapons of Mass Destruction of 12 December 2003 (‘EU WMD Strategy’) emphasises the Union’s commitment to strong national and internationally coordinated export controls.

(7) The contribution of exporters, brokers, providers of technical assistance or other relevant stakeholders to the overall aim of trade controls is crucial. In order for them to be able to act in conformity with this Regulation, the assessment of risks related to transactions concerned by this Regulation is to be carried out through transaction-screening measures, also known as the due diligence principle, as a part of an Internal Compliance Programme (ICP). In that regard, in particular the size and organisational structure of exporters have to be taken into account when developing and implementing ICPs.

(8) In order to address the risk that certain non-listed cyber-surveillance items exported from the customs territory of the Union might be misused by persons complicit in or responsible for directing or committing serious violations of human rights or international humanitarian law, it is appropriate to place the export of such items under control. Associated risks relate, in particular, to cases where cyber-surveillance items are specially designed to enable intrusion or deep packet inspection into information and telecommunications systems in order to conduct covert surveillance of natural persons by monitoring, extracting, collecting or analysing data, including biometrics data, from those systems. Items used for purely commercial applications such as billing, marketing, quality services, user satisfaction or network security are generally considered not to entail such risks.

(9) With a view to strengthening the effective control of exports of non-listed cyber-surveillance items, it is essential to further harmonise the application of catch-all controls in that area. To that end, Member States are committed to supporting such controls by sharing information amongst themselves and with the Commission, in particular regarding technological developments of cyber-surveillance items, and by exercising vigilance in the application of such controls to promote an exchange at Union level.

(10) In order to enable the Union to react rapidly to the serious misuse of existing technologies or to new risks associated with emerging technologies, a mechanism should be introduced to enable Member States to coordinate their responses when a new risk is identified. Such coordination should be followed by initiatives to introduce equivalent controls at the multilateral level in order to broaden the response to the identified risk.

(11) Transmission of dual-use software and technology by means of electronic media, fax or telephone to destinations outside the customs territory of the Union should also be controlled. In order to limit the administrative burden for exporters and the competent authorities of the Member States, general or global licenses or harmonised interpretations of provisions should be provided for certain transmissions, such as transmissions to a cloud.

(12) Considering the important role of customs authorities in the enforcement of export controls, the terms used in this Regulation should, to the extent possible, be consistent with the definitions set out in Regulation (EU) No 952/2013 of the European Parliament and of the Council (4) (the ‘Union Customs Code’).

(13) Various categories of persons can be involved in the export of dual-use items, including natural persons such as service providers, researchers, consultants and persons transmitting dual-use items electronically. It is essential that all such persons are aware of the risks associated with the export and the provision of technical assistance regarding sensitive items. In particular, academic and research institutions face distinct challenges in export control due to, inter alia, their general commitment to the free exchange of ideas, the fact that their research work often involves cutting edge technologies, their organisational structures and the international nature of their scientific exchanges. Member States and the Commission should, where necessary, raise awareness among the academic and research community and provide them with tailored guidance to address those distinct challenges. In alignment with multilateral export control regimes, the implementation of controls should provide, to the extent possible, for a common approach with respect to certain provisions, in particular regarding the academia related de-control notes ‘basic scientific research’ and ‘public domain’.

(14) The definition of the term ‘broker’ should be revised to include legal persons and partnerships not resident or established in a Member State and that provide brokering services from the customs territory of the Union.

(15) The Lisbon Treaty clarifies that the provision of technical assistance involving a cross-border movement falls under Union competence. It is therefore appropriate to introduce a definition of technical assistance and to specify the controls applicable to its provision. In addition, for reasons of effectiveness and consistency, controls on the provision of technical assistance should be harmonised.

(16) As in Regulation (EC) No 428/2009, it should be possible for Member States’ authorities to prohibit the transit of non-Union dual-use items under certain circumstances where, through intelligence or other sources, they have reasonable grounds for suspecting that the items are or might be intended, in their entirety or in part, for a military end-use in a country that is subject to an arms embargo, or for the proliferation of weapons of mass destruction or their means of delivery.

(17) Licensing conditions and requirements should be harmonised, where appropriate, in order to avoid distortions of competition and to ensure the consistent and effective application of controls throughout the customs territory of the Union. To that effect, it is also necessary that the competent authorities of the Member States are clearly identified in all control situations. The responsibility for deciding on individual, global or national general export authorisations, on authorisations for the provision of brokering services and technical assistance, on transits of non-Union dual-use items and on authorisations for the transfer within the customs territory of the Union of dual-use items listed in Annex IV, lies with national authorities.

(18) Guidelines for Internal Compliance Programmes should be introduced in order to contribute to achieving the level-playing field between exporters and to enhance the effective application of controls. Such guidelines should take into account the differences in sizes, resources, fields of activity and other features and conditions of exporters and their subsidiaries, such as intra-group compliance structures and standards, thereby avoiding a ‘one model for all’ approach and helping each exporter to find its own solutions for compliance and competitiveness. Exporters using global export authorisations should implement an ICP unless the competent authority considers it unnecessary due to other circumstances it has taken into account when processing the application for a global export authorisation submitted by the exporter.

(19) Additional Union general export authorisations should be introduced in order to reduce the administrative burden on companies, in particular SMEs, and authorities, while ensuring an appropriate level of control of the relevant items to the relevant destinations. Where necessary, Member States can provide guidance to exporters regarding the application of general authorisations. Member States can also introduce national general export authorisations for low-risk exports where they consider it necessary. An authorisation for large projects should also be introduced to adapt licensing conditions to the particular needs of industry.

(20) The Commission, in close consultation with Member States and stakeholders, should develop guidelines and/or recommendations for best practices to support practical application of controls. When preparing the guidelines and/or recommendations, the Commission should have due regard to the information needs of SMEs.

(21) Common lists of dual-use items, destinations and guidelines are essential elements for an effective export control regime.

(22) Member States that establish national control lists pursuant to this Regulation should inform the Commission and the other Member States of such lists. Member States should also inform the Commission and the other Member States of all decisions to refuse an authorisation for an export for which an authorisation is required on the basis of a national control list.

(23) In order to allow for a swift Union response to changing circumstances as regards the assessment of the sensitivity of exports under Union general export authorisations as well as technological and commercial developments, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union (TFEU) should be delegated to the Commission in respect of amending Annexes I, II and IV to this Regulation. Decisions to update the common list of dual-use items subject to export controls set out in Annex I should be in conformity with the obligations and commitments that Member States or the Union have accepted as members of the relevant international non-proliferation agreements and as members of multilateral export control regimes or by ratification of relevant international treaties. Where the amendment of Annex I concerns dual-use items which are also listed in Annex II or IV, those Annexes should be amended accordingly. Decisions to update the common lists of items and destinations set out in Sections A to H of Annex II should be made having regard to the assessment criteria set out in this Regulation. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making (5). In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and the Council receive all documents at the same time as Member States’ experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts.

(24) The Commission should publish the updates to Annex I through delegated acts in all the official languages of the Union.

(25) The Commission should publish and keep updated a compilation of national control lists in force in the Member States in all the official languages of the Union.

(26) National provisions and decisions affecting exports of dual-use items should be taken in the framework of the common commercial policy, and in particular Regulation (EU) 2015/479 of the European Parliament and of the Council (6). Appropriate exchange of information and consultations on national provisions and decisions should ensure the effective and consistent application of controls throughout the customs territory of the Union.

(27) The existence of a common control system is a prerequisite for establishing the free movement of dual-use items inside the customs territory of the Union.

(28) Pursuant to and within the limits of Article 36 TFEU and in accordance with international obligations undertaken, Member States retain the right to carry out controls on transfers of certain dual-use items within the customs territory of the Union in order to safeguard public policy or public security. The list of items subject to intra-Union transfer controls set out in Annex IV should be periodically reviewed taking into account the further evolution of the underlying international obligations, as well as technological and commercial developments as regards the assessment of the sensitivity of transfers. Decisions to update the common list of dual-use items subject to export controls set out in Annex IV should be made having regard to Article 36 TFEU, namely the public policy and public security interests of the Member States.

(29) On 22 September 1998, the Member States and the Commission signed Protocols additional to the respective safeguards agreements between the Member States, the European Atomic Energy Community and the International Atomic Energy Agency, which, among other measures, oblige the Member States to provide information on transfers of specified equipment and non-nuclear material. Intra-Union transfer controls should allow the Union and its Member States to fulfil their obligations under those agreements.

(30) In order to achieve uniform and consistent application of controls throughout the Union, it is appropriate to broaden the scope of consultation and information exchange between the Member States and the Commission, and to introduce tools to support the development of a common export control network throughout the Union, such as electronic licensing procedures, technical expert groups and the setting up of an enforcement coordination mechanism. It is of particular importance to ensure that exporters, brokers, providers of technical assistance and other relevant stakeholders concerned by this Regulation, including industry and civil society organisations, are consulted, where appropriate, by the Dual-Use Coordination Group and the technical expert groups.

(31) While customs authorities share certain information with other customs authorities using a risk management system in accordance with Union customs rules, it is also appropriate to ensure close cooperation between licensing and customs authorities.

(32) It is appropriate to clarify that, to the extent that it concerns personal data, the processing and exchange of information should comply with the applicable rules on the protection of natural persons with regard to the processing of personal data and on the free movement of such data laid down in Regulations (EU) 2016/679 (7) and (EU) 2018/1725 (8) of the European Parliament and of the Council.

(33) Member States and the Commission should take all necessary measures to ensure the protection of confidential information in compliance with, in particular, Commission Decisions (EU, Euratom) 2015/443 (9)and (EU, Euratom) 2015/444 (10) and the Agreement between the Member States of the European Union, meeting within the Council, regarding the protection of classified information exchanged in the interests of the European Union (11). This includes, in particular, the obligation not to downgrade or declassify classified information without the prior written consent of the originator. Any non-classified sensitive information or information which is provided on a confidential basis should be handled as such by the authorities.

(34) Outreach to the private sector, in particular to SMEs, and transparency are essential elements for an effective export control regime. It is therefore appropriate to provide for the continued development of guidelines, where necessary, to support the application of this Regulation and for the publication of a Union annual report on the implementation of controls.

(35) The Union annual report on the implementation of controls should include relevant information on the licensing and enforcement of controls under this Regulation, with due respect to the need to ensure the protection of the confidentiality of certain data, in particular where the publication of licensing data could affect national security concerns raised by Member States or jeopardise commercial confidentiality and allow non-Union suppliers to undercut restrictive licensing decisions by Member States.

(36) In order to ensure that this Regulation is properly applied, each Member State should take measures to give the competent authorities appropriate powers.

(37) In accordance with the EU WMD Strategy, each Member State should determine effective, proportionate and dissuasive penalties applicable in the event of infringements of the provisions of this Regulation. It is also appropriate to introduce provisions to support the effective enforcement of controls, among other things through an enforcement coordination mechanism.

(38) The Union Customs Code lays down, among other things, provisions relating to the export and re-export of goods. Nothing in this Regulation constrains any powers under and pursuant to the Union Customs Code and its implementing provisions.

(39) Export controls contribute to international security and have an impact on trade with third countries. It is therefore appropriate to develop dialogue and cooperation with third countries in order to support a global level-playing field and enhance international security. In particular, Member States and the Commission should enhance their contribution to the activities of multilateral export control regimes. Member States and the Commission should also support those regimes in developing robust export controls as a global basis and model for international best practice, and an important tool for ensuring international peace and stability. Contributions should be made when a new risk has been identified by all Member States in the field of cyber-surveillance items in order to ensure a multilateral level playing field.

(40) This Regulation applies without prejudice to the Commission Delegated Decision of 15 September 2015 supplementing Decision No 1104/2011/EU of the European Parliament and of the Council (12), which establishes specific rules for the control of the export of items for the Public Regulated Service under the Galileo Programme.

(41) This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union,

HAVE ADOPTED THIS REGULATION:

CHAPTER I

SUBJECT AND DEFINITIONS

Article 1

This Regulation establishes a Union regime for the control of exports, brokering, technical assistance, transit and transfer of dual-use items.

Article 2

For the purposes of this Regulation, the following definitions apply:

(1) ‘dual-use items’ means items, including software and technology, which can be used for both civil and military purposes, and includes items which can be used for the design, development, production or use of nuclear, chemical or biological weapons or their means of delivery, including all items which can be used for both non-explosive uses and assisting in any way in the manufacture of nuclear weapons or other nuclear explosive devices;

(2) ‘export’ means:

(a) an export procedure within the meaning of Article 269 of the Union Customs Code;

(b) a re-export within the meaning of Article 270 of the Union Customs Code; a re-export also occurs if, during a transit through the customs territory of the Union according to point (11) of this Article, an exit summary declaration has to be lodged because the final destination of the items has been changed;

(c) an outward processing procedure within the meaning of Article 259 of the Union Customs Code; or

(d) transmission of software or technology by electronic media, including by fax, telephone, electronic mail or any other electronic means to a destination outside the customs territory of the Union; it includes making available in an electronic form such software and technology to natural or legal persons or to partnerships outside the customs territory of the Union; it also includes the oral transmission of technology when the technology is described over a voice transmission medium;

(3) ‘exporter’ means:

(a) any natural or legal person or any partnership that, at the time when the export declaration or the re-export declaration or an exit summary declaration is accepted, holds the contract with the consignee in the third country and has the power to determine the sending of the items out of the customs territory of the Union; where no export contract has been concluded or if the holder of the contract does not act on its own behalf, exporter means the person who has the power to determine the sending of the items out of the customs territory of the Union; or

(b) any natural or legal person or any partnership that decides to transmit software or technology by electronic media, including by fax, telephone, electronic mail or by any other electronic means to a destination outside the customs territory of the Union or to make available in an electronic form such software and technology to natural or legal persons or to partnerships outside the customs territory of the Union.

Where the benefit of a right to dispose of the dual-use item belongs to a person resident or established outside the customs territory of the Union pursuant to the contract on which the export is based, the exporter shall be considered to be the contracting party resident or established in the customs territory of the Union;

(c) where point (a) or (b) is not applicable, any natural person carrying the dual-use items to be exported where these dual-use items are contained in the person’s personal baggage within the meaning of point (a) of Article 1(19) of Commission Delegated Regulation (EU) 2015/2446 (13);

(4) ‘export declaration’ means an act whereby any natural or legal person or any partnership indicates, in the prescribed form and manner, the wish to place dual-use items specified in point (1) under an export procedure;

(5) ‘re-export declaration’ means an act within the meaning of Article 5(13) of the Union Customs Code;

(6) ‘exit summary declaration’ means an act within the meaning of Article 5(10) of the Union Customs Code;

(7) ‘brokering services’ means:

(a) the negotiation or arrangement of transactions for the purchase, sale or supply of dual-use items from a third country to any other third country; or

(b) the selling or buying of dual-use items that are located in third countries for their transfer to another third country.

For the purposes of this Regulation, the sole provision of ancillary services is excluded from this definition. Ancillary services are transportation, financial services, insurance or re-insurance, or general advertising or promotion;

(8) ‘broker’ means any natural or legal person or any partnership that provides brokering services from the customs territory of the Union into the territory of a third country;

(9) ‘technical assistance’ means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services, including by electronic means as well as by telephone or any other verbal forms of assistance;

(10) ‘provider of technical assistance’ means:

(a) any natural or legal person or any partnership that provides technical assistance from the customs territory of the Union into the territory of a third country;

(b) any natural or legal person or any partnership resident or established in a Member State that provides technical assistance within the territory of a third country; or

(c) any natural or legal person or any partnership resident or established in a Member State that provides technical assistance to a resident of a third country temporarily present in the customs territory of the Union;

(11) ‘transit’ means a transport of non-Union dual-use items entering and passing through the customs territory of the Union with a destination outside the customs territory of the Union where those items:

(a) are placed under an external transit procedure according to Article 226 of the Union Customs Code and only pass through the customs territory of the Union;

(b) are trans-shipped within, or directly re-exported from, a free zone;

(c) are in temporary storage and are directly re-exported from a temporary storage facility; or

(d) were brought into the customs territory of the Union on the same vessel or aircraft that will take them out of that territory without unloading;

(12) ‘individual export authorisation’ means an authorisation granted to one specific exporter for one end-user or consignee in a third country and covering one or more dual-use items;

(13) ‘global export authorisation’ means an authorisation granted to one specific exporter in respect of a type or category of dual-use items which may be valid for exports to one or more specified end-users and/or in one or more specified third countries;

(14) ‘large project authorisation’ means an individual export authorisation or a global export authorisation granted to one specific exporter, in respect of a type or category of dual-use items which may be valid for exports to one or more specified end-users in one or more specified third countries for the purpose of a specified large-scale project;

(15) ‘Union general export authorisation’ means an export authorisation for exports to certain countries of destination that is available to all exporters who respect the conditions and requirements listed in Sections A to H of Annex II;

(16) ‘national general export authorisation’ means an export authorisation defined by national legislation in accordance with Article 12(6) and Section C of Annex III;

(17) ‘customs territory of the Union’ means the customs territory of the Union within the meaning of Article 4 of the Union Customs Code;

(18) ‘non-Union dual-use items’ means items that have the status of non-Union goods within the meaning of Article 5(24) of the Union Customs Code;

(19) ‘arms embargo’ means an arms embargo imposed by a decision or a common position adopted by the Council or a decision of the Organisation for Security and Cooperation in Europe (OSCE) or an arms embargo imposed by a binding resolution of the Security Council of the United Nations;

(20) ‘cyber-surveillance items’ means dual-use items specially designed to enable the covert surveillance of natural persons by monitoring, extracting, collecting or analysing data from information and telecommunication systems;

(21) ‘internal compliance programme’ or ‘ICP’ means ongoing effective, appropriate and proportionate policies and procedures adopted by exporters to facilitate compliance with the provisions and objectives of this Regulation and with the terms and conditions of the authorisations implemented under this Regulation, including, inter alia, due diligence measures assessing risks related to the export of the items to end-users and end-uses;

(22) ‘essentially identical transaction’ means a transaction concerning items with essentially identical parameters or technical characteristics and involving the same end-user or consignee as another transaction.

CHAPTER II

SCOPE

Article 3

1.   An authorisation shall be required for the export of dual-use items listed in Annex I.

2.   Pursuant to Article 4, 5, 9 or 10, an authorisation may also be required for the export to all or certain destinations of certain dual-use items not listed in Annex I.

Article 4

1.   An authorisation shall be required for the export of dual-use items not listed in Annex I if the exporter has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part:

(a) for use in connection with the development, production, handling, operation, maintenance, storage, detection, identification or dissemination of chemical, biological or nuclear weapons or other nuclear explosive devices or the development, production, maintenance or storage of missiles capable of delivering such weapons;

(b) for a military end-use if the purchasing country or country of destination is subject to an arms embargo; for the purposes of this point, ‘military end-use’ means:

(i) incorporation into military items listed in the military list of Member States;

(ii) use of production, test or analytical equipment and components therefor, for the development, production or maintenance of military items listed in the military list of Member States; or

(iii) use of any unfinished products in a plant for the production of military items listed in the military list of Member States;

(c) for use as parts or components of military items listed in the national military list that have been exported from the territory of a Member State without authorisation or in violation of an authorisation prescribed by the national legislation of that Member State.

2.   Where an exporter is aware that dual-use items which he proposes to export, not listed in Annex I, are intended, in their entirety or in part, for any of the uses referred to in paragraph 1 of this Article, the exporter shall notify the competent authority. That competent authority shall decide whether or not to make the export concerned subject to authorisation.

3.   A Member State may adopt or maintain national legislation imposing an authorisation requirement on the export of dual-use items not listed in Annex I if the exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in paragraph 1 of this Article.

4.   A Member State which imposes an authorisation requirement pursuant to paragraph 1, 2, or 3 shall immediately inform its customs authorities and other relevant national authorities and provide the other Member States and the Commission with relevant information on the authorisation requirement in question, in particular as regards the items and end-users concerned, unless it considers that it is not appropriate to do so in light of the nature of the transaction or the sensitivity of the information concerned.

5.   Member States shall give due consideration to information received pursuant to paragraph 4 and shall inform their customs authorities and other relevant national authorities thereof.

6.   In order to allow for an examination of all valid denials by the Member States, Article 16(1), (2) and (5) to (7) shall apply to cases concerning dual-use items not listed in Annex I.

7.   All exchanges of information required pursuant to this Article shall take place in accordance with the legal requirements concerning the protection of personal information, commercially sensitive information or protected defence, foreign policy or national security information. Such exchanges of information shall be made via secure electronic means, including through the system referred to in Article 23(6).

8.   This Regulation is without prejudice to the right of Member States to take national measures under Article 10 of Regulation (EU) 2015/479.

Article 5

1.   An authorisation shall be required for the export of cyber-surveillance items not listed in Annex I if the exporter has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for use in connection with internal repression and/or the commission of serious violations of human rights and international humanitarian law.

2.   Where an exporter is aware, according to its due diligence findings, that cyber-surveillance items which the exporter proposes to export, not listed in Annex I, are intended, in their entirety or in part, for any of the uses referred to in paragraph 1 of this Article, the exporter shall notify the competent authority. That competent authority shall decide whether or not to make the export concerned subject to authorisation. The Commission and the Council shall make available guidelines for exporters, as referred to in Article 26(1).

3.   A Member State may adopt or maintain national legislation imposing an authorisation requirement on the export of cyber-surveillance items not listed in Annex I if the exporter has grounds for suspecting that those items are or may be intended, in their entirety or in part, for any of the uses referred to in paragraph 1 of this Article.

4.   A Member State which imposes an authorisation requirement pursuant to paragraph 1, 2 or 3 shall immediately inform its customs authorities and other relevant national authorities and shall provide the other Member States and the Commission with relevant information on the authorisation requirement in question, in particular as regards the items and entities concerned, unless it considers that it is not appropriate to do so in light of the nature of the transaction or the sensitivity of the information concerned.

5.   Member States shall give due consideration to information received pursuant to paragraph 4 and shall review it in light of the criteria set out in paragraph 1 within 30 working days. They shall inform their customs authorities and other relevant national authorities. In exceptional cases, any Member State may request the extension of that 30-day period. However, the extension shall not exceed 30 working days.

6.   Where all Member States notify each other and the Commission that an authorisation requirement should be imposed for essentially identical transactions, the Commission shall publish in the C series of the

Official Journal of the European Union

information regarding the cyber-surveillance items and, where appropriate, destinations subject to authorisation requirements as notified by Member States for that purpose.

7.   Member States shall review the information published pursuant to paragraph 6 at least annually, on the basis of relevant information and analyses provided by the Commission. Where all Member States notify each other and the Commission that the publication of an authorisation requirement should be amended or renewed, the Commission shall promptly and accordingly amend or renew the information published pursuant to paragraph 6 in the C series of the

Official Journal of the European Union

.

8.   In order to allow for an examination of all valid denials by the Member States, Article 16(1), (2) and (5) to (7) shall apply to cases concerning cyber-surveillance items not listed in Annex I.

9.   All exchanges of information required pursuant to this Article shall take place in accordance with the legal requirements concerning the protection of personal information, commercially sensitive information or protected defence, foreign policy or national security information. Such exchanges of information shall be made via secure electronic means, including through the system referred to in Article 23(6).

10.   Member States shall consider supporting the inclusion of items published pursuant to paragraph 6 of this Article in the appropriate international non-proliferation regimes or export control arrangements with a view to extending controls. The Commission shall provide analyses of the relevant data gathered pursuant to Article 23(2) and to Article 26(2).

11.   This Regulation is without prejudice to the right of Member States to take national measures under Article 10 of Regulation (EU) 2015/479.

Article 6

1.   An authorisation shall be required for the provision of brokering services of dual-use items listed in Annex I if the broker has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

2.   Where a broker proposes to provide brokering services of dual-use items listed in Annex I and is aware that those items are intended, in their entirety or in part, for any of the uses referred to in Article 4(1), the broker shall notify the competent authority. That competent authority shall decide whether or not to make such brokering services subject to authorisation.

3.   A Member State may extend the application of paragraph 1 to non-listed dual-use items.

4.   A Member State may adopt or maintain national legislation imposing an authorisation requirement on the provision of brokering services of dual-use items if the broker has grounds for suspecting that those items are or may be intended for any of the uses referred to in Article 4(1).

5.   Article 9(2), (3) and (4) shall apply to the national measures referred to in paragraphs 3 and 4 of this Article.

Article 7

1.   The transit of non-Union dual-use items listed in Annex I may be prohibited at any time by the competent authority of the Member State where the items are situated if the items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

2.   Before deciding whether or not to prohibit a transit the competent authority may, in individual cases, impose an authorisation requirement for the specific transit of dual-use items listed in Annex I if the items are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1). If the transit takes place through the territory of multiple Member States, the competent authority of each affected Member State shall be able to prohibit such transit through its territory.

The competent authority may impose the authorisation requirement on the natural or legal person or the partnership that holds the contract with the consignee in the third country and has the power to determine the sending of the items passing through the customs territory of the Union.

If the natural or legal person or the partnership is not resident or established in the customs territory of the Union, the competent authority may impose the authorisation requirement on:

(a) the declarant within the meaning of Article 5(15) of the Union Customs Code;

(b) the carrier within the meaning of Article 5(40) of the Union Customs Code; or

(c) the natural person carrying the dual-use items in transit where those dual-use items are contained in the personal baggage of that person.

3.   A Member State may extend the application of paragraph 1 to non-listed dual-use items.

4.   Article 9(2), (3) and (4) shall apply to the national measures referred to in paragraph 3 of this Article.

Article 8

1.   An authorisation shall be required for the provision of technical assistance related to dual-use items listed in Annex I if the provider of technical assistance has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1).

2.   Where a provider of technical assistance proposes to provide technical assistance for dual-use items listed in Annex I and is aware that those items are intended, in their entirety or in part, for any of the uses referred to in Article 4(1), the provider of technical assistance shall notify the competent authority. That competent authority shall decide whether or not to make such technical assistance subject to authorisation.

3.   Paragraphs 1 and 2 shall not apply if the technical assistance:

(a) is provided within or into the territory of a country listed in Part 2 of Section A of Annex II, or towards a resident of a country listed in Part 2 of Section A of Annex II;

(b) takes the form of transferring information that is in the public domain or basic scientific research within the meaning of the General Technology Note or of the Nuclear Technology Note set out in Annex I;

(c) is provided by authorities or agencies of a Member State in the context of their official tasks;

(d) is provided for the armed forces of a Member State on the basis of the tasks assigned to them;

(e) is provided for a purpose which is cited in the exceptions for items of the Missile Technology Control Regime (MTCR technology) in Annex IV; or

(f) is the minimum necessary for the installation, operation, maintenance (checking) or repair of those items for which an export authorisation has been issued.

4.   A Member State may extend the application of paragraph 1 to non-listed dual-use items.

5.   A Member State may adopt or maintain national legislation imposing an authorisation requirement on the provision of technical assistance where a provider of technical assistance who proposes to provide technical assistance for dual-use items has grounds for suspecting that those items are or may be intended for any of the uses referred to in Article 4(1).

6.   Article 9(2), (3) and (4) shall apply to the national measures referred to in paragraphs 4 and 5 of this Article.

Article 9

1.   A Member State may prohibit or impose an authorisation requirement on the export of dual-use items not listed in Annex I for reasons of public security, including the prevention of acts of terrorism, or for human rights considerations.

2.   Member States shall notify the Commission and the other Member States of any measures adopted pursuant to paragraph 1 without delay and indicate the precise reasons for the measures. If the measure is the establishment of a national control list, Member States shall also inform the Commission and the other Member States of the description of the controlled items.

3.   Member States shall, without delay, notify the Commission and the other Member States of any amendment to measures adopted pursuant to paragraph 1, including any amendment to their national control lists.

4.   The Commission shall publish the measures notified to it pursuant to paragraphs 2 and 3 in the C series of the

Official Journal of the European Union

. The Commission shall publish separately, without delay and in all the official languages of the Union, a compilation of national control lists in force in the Member States. The Commission shall, upon notification by a Member State of any amendment to its national control list, publish, without delay and in all the official languages of the Union, an update to the compilation of national control lists in force in the Member States.

Article 10

1.   An authorisation shall be required for the export of dual-use items not listed in Annex I if another Member State imposes an authorisation requirement for the export of those items on the basis of a national control list of items adopted by that Member State pursuant to Article 9 and published by the Commission pursuant to Article 9(4), and if the exporter has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for uses of concern with respect to public security, including the prevention of acts of terrorism, or to human rights considerations.

2.   A Member State which refuses an authorisation required under paragraph 1 shall also inform the Commission and the other Member States of such decision.

3.   A Member State which imposes an authorisation requirement pursuant to paragraph 1 of this Article on the export of a dual-use item not listed in Annex I, shall inform its customs authorities and other relevant national authorities about the authorisation requirement without delay and, where appropriate, provide the other Member States and the Commission with the relevant information, in particular concerning the items and end-users concerned. The other Member States shall give due consideration to that information and shall inform their customs authorities and other relevant national authorities thereof.

Article 11

1.   An authorisation shall be required for intra-Union transfers of dual-use items listed in Annex IV. Dual-use items listed in Part 2 of Annex IV shall not be covered by a general authorisation.

2.   A Member State may impose an authorisation requirement for the transfer of other dual-use items from its territory to another Member State in cases where at the time of transfer:

(a) the operator or the competent authority knows that the final destination of the items concerned is outside the customs territory of the Union;

(b) the export of those items to that final destination is subject to an authorisation requirement pursuant to Article 3, 4, 5, 9 or 10 in the Member State from which the items are to be transferred, and such export directly from its territory is not authorised by a general authorisation or a global authorisation; and

(c) no processing or working as defined in Article 60(2) of the Union Customs Code is to be performed on the items in the Member State to which they are to be transferred.

3.   The transfer authorisation referred to in paragraphs 1 and 2 shall be applied for in the Member State from which the dual-use items are to be transferred.

4.   In cases where the subsequent export of the dual-use items has already been accepted in the consultation procedures set out in Article 14 by the Member State from which the items are to be transferred, the transfer authorisation shall be issued to the operator immediately, unless the circumstances have substantially changed.

5.   A Member State which adopts legislation imposing an authorisation requirement as referred to in paragraph 2 shall, without delay, inform the Commission and the other Member States of the measures it has taken. The Commission shall publish that information in the C series of the

Official Journal of the European Union

.

6.   The application of measures taken pursuant to paragraphs 1 and 2 shall not involve the application of internal frontier controls within the customs territory of the Union, but solely controls which are performed as part of the normal control procedures applied in a non-discriminatory fashion throughout the customs territory of the Union.

7.   The application of measures taken pursuant to paragraphs 1 and 2 shall not result in transfers from one Member State to another being subject to more restrictive conditions than those imposed for exports of the same items to third countries.

8.   A Member State may, by national legislation, require that, for any intra-Union transfers from that Member State of items listed in Annex I, Category 5, Part 2, which are not listed in Annex IV, additional information concerning those items shall be provided to the competent authority of that Member State.

9.   The relevant commercial documents relating to intra-Union transfers of dual-use items listed in Annex I shall indicate clearly that those items are subject to controls if exported from the customs territory of the Union. Such documents include, in particular, any sales contract, order confirmation, invoice or dispatch note.

CHAPTER III

EXPORT AUTHORISATION AND AUTHORISATION FOR BROKERING SERVICES AND TECHNICAL ASSISTANCE

Article 12

1.   The following types of authorisations for export may be issued or are established under this Regulation:

(a) individual export authorisations;

(b) global export authorisations;

(c) national general export authorisations;

(d) Union general export authorisations for exports of certain items to certain destinations under specific conditions and requirements for use as set out in Sections A to H of Annex II.

Authorisations issued or established under this Regulation shall be valid throughout the customs territory of the Union.

2.   Individual and global export authorisations under this Regulation shall be granted by the competent authority of the Member State where the exporter is resident or established.

Without prejudice to point (3) of Article 2, where the exporter is not resident or established on the customs territory of the Union, individual export authorisations shall be granted under this Regulation by the competent authority of the Member State where the dual-use items are located.

All individual and global export authorisations shall be issued, whenever possible, by electronic means on forms containing at least all the elements of and in the order provided for in the models set out in Section A of Annex III.

3.   Individual export authorisations and global export authorisations shall be valid for up to two years, unless the competent authority decides otherwise.

Large project authorisations shall be valid for a duration to be determined by the competent authority, but no longer than four years, except in duly justified circumstances based on the duration of the project.

4.   Exporters shall supply the competent authority with all relevant information required for their applications for individual and global export authorisations so as to provide complete information in particular about the end-user, the country of destination and the end-use of the item exported.

Individual export authorisations shall be subject to an end-use statement. The competent authority may exempt certain applications from the obligation of providing an end-use statement. Global export authorisations may be subject to an end-use statement if appropriate.

Exporters using global export authorisations shall implement an ICP, unless the competent authority considers it unnecessary due to other information it has taken into account when processing the application for a global export authorisation submitted by the exporter.

Reporting and ICP requirements relating to the use of global export authorisations shall be defined by Member States.

At the request of exporters, global export authorisations that contain quantitative limitations shall be split.

5.   The competent authorities of the Member States shall process requests for individual or global authorisations within a period of time to be determined by national law or practice.

6.   National general export authorisations shall:

(a) exclude from their scope items listed in Section I of Annex II;

(b) be defined by national law or practice; they may be used by all exporters, resident or established in the Member State that issues those authorisations, if they meet the requirements set in this Regulation and in the complementary national legislation; they shall be issued in accordance with the indications set out in Section C of Annex III;

(c) not be used if the exporter has been informed by the competent authority that the items in question are or may be intended, in their entirety or in part, for any of the uses referred to in Article 4(1), or if the exporter is aware that the items are intended for such uses.

National general export authorisations may also apply to items and destinations listed in Sections A to H of Annex II.

Member States shall notify the Commission immediately of any national general export authorisations issued or modified. The Commission shall publish such notifications in the C series of the

Official Journal of the European Union

.

7.   The competent authority of the Member State where the exporter is resident or established may prohibit the exporter from using Union general export authorisations if there is reasonable suspicion about the exporter’s ability to comply with such authorisation or with a provision of the export control legislation.

The competent authorities of the Member States shall exchange information on exporters which are prohibited from using a Union general export authorisation, unless the competent authority of the Member State where the exporter is resident or established determines that the exporter will not attempt to export dual-use items through another Member State. The exchange of information shall be carried out using the electronic system referred to in Article 23(6).

Article 13

1.   Authorisations for the provision of brokering services and technical assistance under this Regulation shall be granted by the competent authority of the Member State where the broker or the provider of technical assistance is resident or established. Where the broker or the provider of technical assistance is not resident or established on the customs territory of the Union, authorisations for the provision of brokering services and technical assistance under this Regulation shall be granted by the competent authority of the Member State from where the brokering services or technical assistance will be provided.

2.   Authorisations for the provision of brokering services shall be granted for a set quantity of specific items and shall clearly identify the location of the items in the originating third country, the end-user and the exact location of the end-user.

Authorisations for technical assistance shall clearly identify the end-user and the exact location of the end-user.

The authorisations shall be valid throughout the customs territory of the Union.

3.   Brokers and providers of technical assistance shall supply the competent authority with all relevant information required for their application for authorisation under this Regulation, in particular details of the location of the dual-use items, a clear description of the items and the quantity involved, third parties involved in the transaction, the country of destination, the end-user in that country and its exact location.

4.   The competent authorities of the Member States shall process requests for authorisations for the provision of brokering services and technical assistance within a period of time to be determined by national law or practice.

5.   All authorisations for the provision of brokering services and technical assistance shall be issued, whenever possible, by electronic means on forms containing at least all the elements of and in the order provided for in the models set out in Section B of Annex III.

Article 14

1.   If the dual-use items in respect of which an application has been made for an individual export authorisation to a destination not listed in Part 2 of Section A of Annex II or to any destination in the case of dual-use items listed in Annex IV are or will be located in one or more Member States other than the one where the application has been made, that fact shall be indicated in the application. The competent authority of the Member State to which the application for authorisation has been made shall immediately consult the competent authorities of the Member States in question and provide the relevant information. That consultation may be carried out using the electronic system referred to in Article 23(6). The Member States consulted shall make known within 10 working days any objections they may have to the granting of such an authorisation, which shall bind the Member State in which the application has been made.

If no objections are received within 10 working days, the Member States consulted shall be regarded as having no objection.

In exceptional cases, any Member State consulted may request the extension of that 10-day period. However, the extension shall not exceed 30 working days.

2.   If an export might prejudice its essential security interests, a Member State may request another Member State not to grant an export authorisation or, if such authorisation has been granted, request its annulment, suspension, modification or revocation. The Member State receiving such a request shall immediately engage in consultations of a non-binding nature with the requesting Member State, to be terminated within 10 working days. In the event that the Member State receiving the request decides to grant the authorisation, that Member State shall notify the Commission and the other Member States thereof using the electronic system referred to in Article 23(6).

Article 15

1.   In deciding whether or not to grant an authorisation or to prohibit a transit under this Regulation, the Member States shall take into account all relevant considerations, including:

(a) Union and Member States’ international obligations and commitments, in particular the obligations and commitments they have each accepted as members of the relevant international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties;

(b) their obligations under sanctions imposed by a decision or a common position adopted by the Council or by a decision of the OSCE or by a binding resolution of the Security Council of the United Nations;

(c) considerations of national foreign and security policy, including those covered by Common Position 2008/944/CFSP;

(d) considerations about intended end-use and the risk of diversion.

2.   In addition to the criteria set out in paragraph 1, when assessing an application for a global export authorisation, Member States shall take into consideration the implementation of an ICP by the exporter.

Article 16

1.   The competent authority acting in accordance with this Regulation, may refuse to grant an export authorisation and may annul, suspend, modify or revoke an export authorisation which it has already granted. Where the competent authority refuses, annuls, suspends, substantially limits or revokes an export authorisation or when it has determined that the intended export is not to be authorised, it shall notify the competent authorities of the other Member States and the Commission thereof and share the relevant information with them. In case the competent authority of a Member State has suspended an export authorisation, the final assessment shall be communicated to the competent authorities of the other Member States and the Commission at the end of the period of suspension.

2.   The competent authorities of the Member States shall review denials of authorisations notified under paragraph 1 within three years of their notification and revoke them, amend them or renew them. The competent authorities of the Member States shall notify the results of the review to the competent authorities of the other Member States and the Commission as soon as possible. Denials which are not revoked shall remain valid and shall be reviewed every three years. At the third review, the Member State concerned shall be required to explain the reasoning for maintaining such denial.

3.   The competent authority shall notify the competent authorities of the other Member States and the Commission of their decisions to prohibit a transit of dual-use items taken under Article 7 without delay. These notifications shall contain all relevant information including the classification of the item, its technical parameters, the country of destination and the end-user.

4.   Paragraphs 1 and 2 of this Article shall also apply to authorisations for the provision of brokering services and technical assistance referred to in Article 13.

5.   Before the competent authority of a Member State decides whether or not to grant an authorisation or to prohibit a transit under this Regulation, it shall examine all valid denials or decisions to prohibit a transit of dual-use items listed in Annex I taken under this Regulation to ascertain whether an authorisation or a transit has been denied by the competent authorities of another Member State for an essentially identical transaction. It shall then consult the competent authorities of the Member States which issued such denials or decisions to prohibit the transit as provided for in paragraphs 1, 3 and 4 of this Article.

The competent authorities of the Member States consulted shall make known within 10 working days whether or not they consider the transaction in question to be an essentially identical transaction. If no reaction has been received within 10 working days, the competent authorities of the Member States consulted shall be regarded as not considering the transaction in question to be an essentially identical transaction.

If more information is required to correctly evaluate the transaction in question, the competent authorities of the Member States concerned shall agree on the extension of that 10-day period. However, the extension shall not exceed 30 working days.

If, following such consultation, the competent authority decides to grant an authorisation or allow the transit, it shall notify the competent authorities of the other Member States and the Commission, providing all relevant information to explain the decision.

6.   All notifications required pursuant to this Article shall be made via secure electronic means, including through the system referred to in Article 23(6).

7.   All information shared pursuant to this Article shall be in compliance with Article 23(5) concerning the confidentiality of such information.

CHAPTER IV

AMENDMENT OF LISTS OF DUAL

-

USE ITEMS AND DESTINATIONS

Article 17

1.   The Commission is empowered to adopt delegated acts in accordance with Article 18 in order to amend the list of dual-use items set out in Annexes I and IV, as follows:

(a) the list of dual-use items set out in Annex I shall be amended in conformity with the relevant obligations and commitments, and any amendment thereof, that Member States and, where applicable, the Union have accepted as members of the international non-proliferation regimes and export control arrangements, or by ratification of relevant international treaties;

(b) where the amendment of Annex I concerns dual-use items which are also listed in Annex II or IV, those Annexes shall be amended accordingly.

2.   The Commission is empowered to adopt delegated acts in accordance with Article 18 in order to amend Annex II by removing items and by adding or removing destinations from the scope of Union general export authorisations in consultation with the Dual-Use Coordination Group set up pursuant to Article 24 and taking into consideration obligations and commitments under the relevant non-proliferation regimes and export control arrangements, such as amendments to control lists, as well as relevant geopolitical developments. Where imperative grounds of urgency require a removal of particular destinations from the scope of a Union general export authorisation, the procedure provided for in Article 19 shall apply to delegated acts adopted pursuant to this paragraph.

Article 18

1.   The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

2.   The power to adopt delegated acts referred to in Article 17 shall be conferred on the Commission for a period of five years from 9 September 2021. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.

3.   The delegation of power referred to in Article 17 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the

Official Journal of the European Union

or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

4.   Before adopting a delegated act, the Commission shall consult experts designated by each Member State in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making.

5.   As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.

6.   A delegated act adopted pursuant to Article 17 shall enter into force only if no objection has been expressed either by the European Parliament or by the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.

Article 19

1.   Delegated acts adopted under this Article shall enter into force without delay and shall apply as long as no objection is expressed in accordance with paragraph 2. The notification of a delegated act to the European Parliament and to the Council shall state the reasons for the use of the urgency procedure.

2.   Either the European Parliament or the Council may object to a delegated act in accordance with the procedure referred to in Article 18(6). In such a case, the Commission shall repeal the act immediately following the notification of the decision to object by the European Parliament or by the Council.

Article 20

The list of dual-use items set out in Annex IV, which is a subset of Annex I, shall be updated having regard to Article 36 TFEU, namely the public policy and public security interests of the Member States.

CHAPTER V

CUSTOMS PROCEDURES

Article 21

1.   When completing the formalities for the export of dual-use items at the customs office responsible for handling the export declaration, the exporter shall furnish proof that any necessary export authorisation has been obtained.

2.   A translation of any documents furnished as proof into an official language of the Member State where the export declaration is presented may be required of the exporter.

3.   Without prejudice to any powers conferred on it under, and pursuant to, the Union Customs Code, a Member State may also, for a period not exceeding the periods referred to in paragraph 4, suspend the process of export from its territory, or, if necessary, otherwise prevent the dual-use items which are or are not covered by a valid export authorisation from leaving the Union via its territory, where it has:

(a) grounds for suspicion that:

(i) relevant information was not taken into account when the authorisation was granted; or

(ii) circumstances have materially changed since the grant of the authorisation; or

(b) relevant information regarding the potential application of measures under Article 4(1).

4.   In the cases referred to in paragraph 3 of this Article, the Member State referred to in that paragraph shall consult the competent authority of the Member State which granted the export authorisation or which may take action pursuant to Article 4(1) without delay in order that the competent authority may take action pursuant to Article 4(1) or Article 16(1). If that competent authority decides to maintain the authorisation or not to take action pursuant to Article 4(1), it shall reply within 10 working days, which, at its request, may be extended to 30 working days in exceptional circumstances. In such case, or if no reply is received within 10 or 30 working days, as the case may be, the dual-use items shall be released immediately. The competent authority of the Member State which granted the authorisation shall inform the competent authorities of the other Member States and the Commission.

5.   The Commission, in cooperation with the Member States, may develop guidance to support interagency cooperation between licensing and customs authorities.

Article 22

1.   Member States may provide that customs formalities for the export of dual-use items may be completed only at customs offices empowered to that end.

2.   Member States availing themselves of the option set out in paragraph 1 shall inform the Commission of the duly empowered customs offices. The Commission shall publish the information in the C series of the

Official Journal of the European Union

.

CHAPTER VI

ADMINISTRATIVE COOPERATION, IMPLEMENTATION AND ENFORCEMENT

Article 23

1.   Member States shall inform the Commission without delay of the laws, regulations and administrative provisions adopted in implementation of this Regulation, including:

(a) a list of the competent authorities of the Member States empowered to:

— grant export authorisations for dual-use items,

— grant authorisations under this Regulation for the provision of brokering services and technical assistance,

— prohibit the transit of non-Union dual-use items under this Regulation;

(b) the measures referred to in Article 25(1).

The Commission shall forward the information to the other Member States and shall publish the information in the C series of the

Official Journal of the European Union

.

2.   Member States, in cooperation with the Commission, shall take all appropriate measures to establish direct cooperation and exchange of information between the competent authorities with a view to enhance the efficiency of the Union export control regime and to ensure the consistent and effective implementation and enforcement of control throughout the customs territory of the Union. The information exchange may include:

(a) relevant licensing data, provided for each authorisation issued (e.g. value and types of licence and related destinations, number of users of general authorisations);

(b) additional information regarding the application of controls, including information on the application of criteria set out in Article 15(1), the number of operators with an ICP and, where available, data on exports of dual-use items carried out in other Member States;

(c) information regarding the analysis underlying additions or planned additions to national control lists pursuant to Article 9;

(d) information regarding the enforcement of controls, including risk-based audits, details of exporters deprived of the right to use the national or Union general export authorisations, and, where available, number of violations, seizures and application of other penalties;

(e) data on sensitive end-users, actors involved in suspicious procurement activities, and, where available, routes taken.

3.   The exchange of licensing data shall take place at least annually in accordance with guidelines to be drawn up by the Dual-Use Coordination Group established pursuant to Article 24 and with due consideration to legal requirements concerning the protection of personal information, commercially sensitive information or protected defence, foreign policy or national security information.

4.   Member States and the Commission shall regularly examine the implementation of Article 15 based on information submitted pursuant to this Regulation and analyses of such data. All participants of these exchanges shall respect the confidentiality of the discussions.

5.   Council Regulation (EC) No 515/97 (14), and in particular its provisions on the confidentiality of information, shall apply mutatis mutandis.

6.   A secure and encrypted system shall be developed by the Commission, in consultation with the Dual-Use Coordination Group set up pursuant to Article 24, to support direct cooperation and exchange of information between the competent authorities of the Member States and, where appropriate, the Commission. The system shall, where feasible, be connected by the Commission to the electronic licensing systems of the competent authorities of the Member States to the extent necessary for the purpose of facilitating this direct cooperation and exchange of information. The European Parliament shall be informed about the system’s budget, development and functioning.

7.   The processing of personal data shall be in accordance with the rules laid down in Regulations (EU) 2016/679 and (EU) 2018/1725.

Article 24

1.   A Dual-Use Coordination Group chaired by a representative of the Commission shall be set up. Each Member State shall appoint a representative to this Group. It shall examine any question concerning the application of this Regulation which may be raised either by the chair or by a representative of a Member State.

2.   The Dual-Use Coordination Group shall, whenever it considers it to be necessary, consult exporters, brokers, providers of technical assistance and other relevant stakeholders concerned by this Regulation.

3.   The Dual-Use Coordination Group shall, where appropriate, set up technical expert groups composed of experts from Member States to examine specific issues relating to the implementation of controls, including issues relating to the updating of the Union control lists set out in Annex I. Technical expert groups shall, where appropriate, consult exporters, brokers, providers of technical assistance and other relevant stakeholders concerned by this Regulation.

4.   The Commission shall support a Union licensing and enforcement capacity-building programme, including by developing, in consultation with the Dual-Use Coordination Group, common training programmes for officials of the Member States.

Article 25

1.   Each Member State shall take appropriate measures to ensure the proper enforcement of this Regulation. In particular, it shall lay down the penalties applicable to infringements of the provisions of this Regulation or of those adopted for its implementation. Those penalties shall be effective, proportionate and dissuasive.

2.   The Dual-Use Coordination Group shall set up an enforcement coordination mechanism to support exchange of information and direct cooperation between competent authorities and enforcement agencies of the Member States (the ‘Enforcement Coordination Mechanism’). Under the Enforcement Coordination Mechanism, the Member States and the Commission shall exchange relevant information, where available, including on the application, nature and effect of the measures, taken under paragraph 1, on enforcement of best practices and unauthorised exports of dual-use items and/or infringements of this Regulation and/or relevant national legislation.

Under the Enforcement Coordination Mechanism, the Member States and the Commission shall also exchange information on best practices of national enforcement authorities regarding risk-based audits, the detection and prosecution of unauthorised exports of dual-use items and/or possible other infringements of this Regulation and/or relevant national legislation.

Exchange of information under the Enforcement Coordination Mechanism shall be confidential.

CHAPTER VII

TRANSPARENCY, OUTREACH, MONITORING, EVALUATION

Article 26

1.   The Commission and the Council shall, where appropriate, make available guidelines and/or recommendations for best practices for the subjects referred to in this Regulation to ensure the efficiency of the Union export control regime and the consistency of its implementation. The provision of guidelines and/or recommendations for best practices to exporters, brokers and providers of technical assistance shall be the responsibility of the Member States where they are resident or established. In those guidelines and/or recommendations for best practices, the information needs of SMEs in particular shall be taken into account.

2.   The Commission shall, in consultation with the Dual-Use Coordination Group, submit an annual report to the European Parliament and the Council on the implementation of this Regulation, and on the activities, examinations and consultations of the Dual-Use Coordination Group. That annual report shall be public.

The annual report shall include information on authorisations (in particular number and value by types of items and by destinations at Union and Member State levels), denials and prohibitions under this Regulation. The annual report shall also include information on the administration (in particular staffing, compliance and outreach activities, dedicated licensing or classification tools), and enforcement of controls (in particular the number of infringements and penalties).

With regard to cyber-surveillance items, the annual report shall include dedicated information on authorisations, in particular on the number of applications received by item, the issuing Member State and the destinations concerned by those applications, and on the decisions taken on those applications.

The information contained in the annual report shall be presented in accordance with the principles set out in paragraph 3.

The Commission and the Council shall make available guidelines on the methodology for data gathering and processing for the preparation of the annual report, including the determination of the types of items and the availability of enforcement data.

3.   Member States shall provide to the Commission all appropriate information for the preparation of the report with due consideration given to legal requirements concerning the protection of personal information, commercially sensitive information or protected defence, foreign policy or national security information. Regulation (EC) No 223/2009 of the European Parliament and of the Council (15) on European statistics applies to information exchanged or published under this Article.

4.   Between 10 September 2026 and 10 September 2028, the Commission shall carry out an evaluation of this Regulation and report on the main findings to the European Parliament, the Council and the European Economic and Social Committee. After 10 September 2024, the Commission shall carry out an evaluation of Article 5 and report on the main findings to the European Parliament, the Council and the European Economic and Social Committee.

CHAPTER VIII

CONTROL MEASURES

Article 27

1.   Exporters of dual-use items shall keep detailed registers or records of their exports, in accordance with the national law or practice in force in the Member State concerned. Such registers or records shall include in particular commercial documents such as invoices, manifests and transport and other dispatch documents containing sufficient information to allow the following to be identified:

(a) a description of the dual-use items;

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

(c) the name and address of the exporter and of the consignee;

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

2.   In accordance with national law or practice in force in the Member State concerned, brokers and providers of technical assistance shall keep registers or records for brokering services or technical assistance so as to be able to prove, on request, the description of the dual-use items that were the subject of brokering services or technical assistance, the period during which the items were the subject of such services, the destination of such items and services, and the countries concerned by those services.

3.   The registers or records and the documents referred to in paragraphs 1 and 2 shall be kept for at least five years from the end of the calendar year in which the export took place or the brokering services or technical assistance were provided. They shall be produced, on request, to the competent authority.

4.   Documents and records of intra-Union transfers of dual-use items listed in Annex I shall be kept for at least three years from the end of the calendar year in which a transfer took place and shall be produced, on request, to the competent authority of the Member State from which these items were transferred.

Article 28

In order to ensure that this Regulation is properly applied, each Member State shall take all necessary measures to permit its competent authorities:

(a) to gather information on any order or transaction involving dual-use items;

(b) to establish whether the export control measures are being properly applied, which may include in particular the power to enter the premises of persons with an interest in an export transaction or brokers involved in the provision of brokering services under circumstances set out in Article 6, or providers of technical assistance under the circumstances set out in Article 8.

CHAPTER IX

COOPERATION WITH THIRD COUNTRIES

Article 29

1.   The Commission and the Member States shall, where appropriate, maintain dialogues with third countries, with a view to promoting the global convergence of controls.

The dialogues may support regular and reciprocal cooperation with third countries, including exchange of information and best practices, as well as capacity-building and outreach to third countries. The dialogues may also encourage the adherence of third countries to robust export controls developed by multilateral export control regimes as a model for international best practice.

2.   Without prejudice to the provisions on mutual administrative assistance agreements or protocols in customs matters concluded between the Union and third countries, the Council may authorise the Commission to negotiate with third countries on agreements providing for the mutual recognition of export controls of dual-use items covered by this Regulation.

Those negotiations shall be conducted in accordance with the procedures established in Article 207(3) TFEU and in the Treaty establishing the European Atomic Energy Community, as appropriate.

CHAPTER X

FINAL PROVISIONS

Article 30

This Regulation applies without prejudice to the Commission Delegated Decision of 15 September 2015 supplementing Decision No 1104/2011/EU.

Article 31

Regulation (EC) No 428/2009 is repealed.

However, for authorisation applications made before 9 September 2021, the relevant provisions of Regulation (EC) No 428/2009 shall continue to apply.

References to the repealed Regulation shall be construed as references to this Regulation and shall be read in accordance with the correlation table in Annex VI.

Article 32

This Regulation shall enter into force on the ninetieth day following that of its publication in the

Official Journal of the European Union

.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 20 May 2021.

For the European Parliament

The President

D. M. SASSOLI

For the Council

The President

A. P. ZACARIAS

(1)  Position of the European Parliament of 25 March 2021 (not yet published in the Official Journal) and decision of the Council of 10 May 2021.

(2)  Council Regulation (EC) No 428/2009 of 5 May 2009 setting up a Community regime for the control of exports, transfer, brokering and transit of dual-use items (

OJ L 134, 29.5.2009, p. 1

).

(3)  Council Common Position 2008/944/CFSP of 8 December 2008 defining common rules governing control of exports of military technology and equipment (

OJ L 335, 13.12.2008, p. 99

).

(4)  Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code (

OJ L 269, 10.10.2013, p. 1

).

(5)  

OJ L 123, 12.5.2016, p. 1

.

(6)  Regulation (EU) 2015/479 of the European Parliament and of the Council of 11 March 2015 on common rules for exports (

OJ L 83, 27.3.2015, p. 34

).

(7)  Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (

OJ L 119, 4.5.2016, p. 1

).

(8)  Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (

OJ L 295, 21.11.2018, p. 39

).

(9)  Commission Decision (EU, Euratom) 2015/443 of 13 March 2015 on Security in the Commission (

OJ L 72, 17.3.2015, p. 41

).

(10)  Commission Decision (EU, Euratom) 2015/444 of 13 March 2015 on the security rules for protecting EU classified information (

OJ L 72, 17.3.2015, p. 53

).

(11)  

OJ C 202, 8.7.2011, p. 13

.

(12)  Decision No 1104/2011/EU of the European Parliament and of the Council of 25 October 2011 on the rules for access to the public regulated service provided by the global navigation satellite system established under the Galileo programme (

OJ L 287, 4.11.2011, p. 1

).

(13)  Commission Delegated Regulation (EU) 2015/2446 of 28 July 2015 supplementing Regulation (EU) No 952/2013 of the European Parliament and of the Council as regards detailed rules concerning certain provisions of the Union Customs Code (

OJ L 343, 29.12.2015, p. 1

).

(14)  Council Regulation (EC) No 515/97 of 13 March 1997 on mutual assistance between the administrative authorities of the Member States and cooperation between the latter and the Commission to ensure the correct application of the law on customs and agricultural matters (

OJ L 82, 22.3.1997, p. 1

).

(15)  Regulation (EC) No 223/2009 of the European Parliament and of the Council of 11 March 2009 on European statistics and repealing Regulation (EC, Euratom) No 1101/2008 of the European Parliament and of the Council on the transmission of data subject to statistical confidentiality to the Statistical Office of the European Communities, Council Regulation (EC) No 322/97 on Community Statistics, and Council Decision 89/382/EEC, Euratom establishing a Committee on the Statistical Programmes of the European Communities (

OJ L 87, 31.3.2009, p. 164

).

ANNEX I

LIST OF DUAL-USE ITEMS REFERRED TO IN ARTICLE 3 OF THIS REGULATION

The list of dual-use items contained in this Annex implements internationally agreed dual-use controls, including the Australia Group (1), the Missile Technology Control Regime (MTCR) (2), the Nuclear Suppliers Group (NSG) (3), the Wassenaar Arrangement (4) and the Chemical Weapons Convention (CWC) (5).

CONTENTS

Part I -

General Notes, Acronyms and Abbreviations, and Definitions

Part II - Category 0

Nuclear materials, facilities and equipment

Part III -Category 1

Special materials and related equipment

Part IV - Category 2

Materials processing

Part V - Category 3

Electronics

Part VI - Category 4

Computers

Part VII - Category 5

Telecommunications and "information security"

Part VIII - Category 6

Sensors and lasers

Part IX - Category 7

Navigation and avionics

Part X - Category 8

Marine

Part XI - Category 9

Aerospace and propulsion

PART I -

   

General Notes, Acronyms and Abbreviations, and Definitions

GENERAL NOTES TO ANNEX I

1.

For control of goods which are designed or modified for military use, see the relevant list(s) of controls on military goods maintained by individual EU Member States. References in this Annex that state "SEE ALSO MILITARY GOODS CONTROLS" refer to the same lists.

2.

The object of the controls contained in this Annex should not be defeated by the export of any non-controlled goods (including plant) containing one or more controlled components when the controlled component or components are the principal element of the goods and can feasibly be removed or used for other purposes.

N.B.

In judging whether the controlled component or components are to be considered the principal element, it is necessary to weigh the factors of quantity, value and technological know

- how involved and other special circumstances which might establish the controlled component or components as the principal element of the goods being procured.

3.

Goods specified in this Annex include both new and used goods.

4.

In some instances, chemicals are listed by name and CAS number. The list applies to chemicals of the same structural formula (including hydrates) regardless of name or CAS number. CAS numbers are shown to assist in identifying a particular chemical or mixture, irrespective of nomenclature. CAS numbers cannot be used as unique identifiers because some forms of the listed chemical have different CAS numbers, and mixtures containing a listed chemical may also have different CAS numbers.

NUCLEAR TECHNOLOGY NOTE (NTN)

(To be read in conjunction with section E of Category 0.)

The "technology" directly associated with any goods controlled in Category 0 is controlled according to the provisions of Category 0.

"Technology" for the "development", "production" or "use" of goods under control remains under control even when applicable to non-controlled goods.

The approval of goods for export also authorises the export to the same end-user of the minimum "technology" required for the installation, operation, maintenance and repair of the goods.

Controls on "technology" transfer do not apply to information "in the public domain" or to "basic scientific research".

GENERAL TECHNOLOGY NOTE (GTN)

(To be read in conjunction with section E of Categories 1 to 9.)

The export of "technology" which is "required" for the "development", "production" or "use" of goods controlled in Categories 1 to 9, is controlled according to the provisions of Categories 1 to 9.

"Technology""required" for the "development", "production" or "use" of goods under control remains under control even when applicable to non-controlled goods.

Controls do not apply to that "technology" which is the minimum necessary for the installation, operation, maintenance (checking) or repair of those goods which are not controlled or whose export has been authorised.

Note:

This does not release such "technology" specified in 1E002.e., 1E002.f., 8E002.a. and 8E002.b.

Controls on "technology" transfers do not apply to information "in the public domain", to "basic scientific research" or to the minimum necessary information for patent applications.

NUCLEAR SOFTWARE NOTE (NSN)

(This note overrides any control within section D of Category 0)

Section D of Category 0 of this list does not control "software" which is the minimum necessary "object code" for the installation, operation, maintenance (checking) or repair of those items whose export has been authorised.

The approval of goods for export also authorises the export to the same end-user of the minimum necessary "object code" for the installation, operation, maintenance (checking) or repair of the goods

Note:

The Nuclear Software Note does not release "software" specified in Category 5, Part 2 ("Information Security").

GENERAL SOFTWARE NOTE (GSN)

(This note overrides any control within section D of Categories 1 to 9.)

Categories 1 to 9 of this list do not control "software" which is any of the following:

a.

Generally available to the public by being:

1.

Sold from stock at retail selling points, without restriction, by means of:

a.

Over-the-counter transactions;

b.

Mail order transactions;

c.

Electronic transactions;

or

d.

Telephone call transactions;

and

2.

Designed for installation by the user without further substantial support by the supplier;

Note:

Entry a. of the General Software Note does not release "software" specified in Category 5, Part 2 ("Information Security").

b.

"In the public domain";

or

c.

The minimum necessary "object code" for the installation, operation, maintenance (checking) or repair of those items whose export has been authorised.

Note:

Entry c. of the General Software Note does not release "software" specified in Category 5, Part 2 ("Information Security").

GENERAL "INFORMATION SECURITY" NOTE (GISN)

"Information security" items or functions should be considered against the provisions in Category 5, Part 2, even if they are components, "software" or functions of other items.

EDITORIAL PRACTICES IN THE

OFFICIAL JOURNAL OF THE EUROPEAN UNION

In accordance with the rules set out in the Interinstitutional style guide, for texts in English published in the

Official Journal of the European Union

:

— a comma is used to separate the whole number from decimals,

— whole numbers are presented in series of three, each series being separated by a thin space.

The text reproduced in this Annex follows the above-described practice.

ACRONYMS AND ABBREVIATIONS USED IN THIS ANNEX

For acronyms and abbreviations used as defined terms, see 'Definitions of Terms used in this Annex'.

ACRONYMS AND ABBREVIATIONS

DEFINITIONS OF TERMS USED IN THIS ANNEX

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PART II –

   

Category 0

CATEGORY 0

-

NUCLEAR MATERIALS, FACILITIES AND EQUIPMENT

0A   

Systems, Equipment and Components

0A001

"Nuclear reactors" and specially designed or prepared equipment and components therefor, as follows:

a.

"Nuclear reactors";

b.

Metal vessels, or major shop-fabricated parts therefor, including the reactor vessel head for a reactor pressure vessel, specially designed or prepared to contain the core of a "nuclear reactor";

c.

Manipulative equipment specially designed or prepared for inserting or removing fuel in a "nuclear reactor";

d.

Control rods specially designed or prepared for the control of the fission process in a "nuclear reactor", support or suspension structures therefor, rod drive mechanisms and rod guide tubes;

e.

Pressure tubes specially designed or prepared to contain both fuel elements and the primary coolant in a "nuclear reactor";

f.

Zirconium metal tubes or zirconium alloy tubes (or assembles of tubes) specially designed or prepared for use as fuel cladding in a "nuclear reactor", and in quantities exceeding 10 kg;

N.B.

For zirconium pressure tubes see 0A001.e. and for calandria tubes see 0A001.h.

g.

Coolant pumps or circulators specially designed or prepared for circulating the primary coolant of "nuclear reactors";

h.

'Nuclear reactor internals' specially designed or prepared for use in a "nuclear reactor", including support columns for the core, fuel channels, calandria tubes, thermal shields, baffles, core grid plates, and diffuser plates;

Technical Note:

In 0A001.h. 'nuclear reactor internals' means any major structure within a reactor vessel which has one or more functions such as supporting the core, maintaining fuel alignment, directing primary coolant flow, providing radiation shields for the reactor vessel, and guiding in-core instrumentation.

i.

Heat exchangers as follows:

1.

Steam generators specially designed or prepared for the primary, or intermediate, coolant circuit of a "nuclear reactor";

2.

Other heat exchangers specially designed or prepared for use in the primary coolant circuit of a "nuclear reactor";

Note:

0A001.i. does not control heat exchangers for the supporting systems of the reactor, e.g., the emergency cooling system or the decay heat cooling system.

j.

Neutron detectors specially designed or prepared for determining neutron flux levels within the core of a "nuclear reactor";

k.

'External thermal shields' specially designed or prepared for use in a "nuclear reactor" for the reduction of heat loss and also for the containment vessel protection.

Technical Note:

In 0A001.k. 'external thermal shields' means major structures placed over the reactor vessel which reduce heat loss from the reactor and reduce temperature within the containment vessel.

0B   

Test, Inspection and Production Equipment

0B001

Plant for the separation of isotopes of "natural uranium", "depleted uranium" or "special fissile materials", and specially designed or prepared equipment and components therefor, as follows:

a.

Plant specially designed for separating isotopes of "natural uranium", "depleted uranium", or "special fissile materials", as follows:

1.

Gas centrifuge separation plant;

2.

Gaseous diffusion separation plant;

3.

Aerodynamic separation plant;

4.

Chemical exchange separation plant;

5.

Ion-exchange separation plant;

6.

Atomic vapour "laser" isotope separation plant;

7.

Molecular "laser" isotope separation plant;

8.

Plasma separation plant;

9.

Electro magnetic separation plant;

b.

Gas centrifuges and assemblies and components, specially designed or prepared for gas centrifuge separation process, as follows:

Technical Note:

In 0B001.b. 'high strength

- to

- density ratio material' means any of the following:

1.

Maraging steel capable of an ultimate tensile strength of 1,95 GPa or more;

2.

Aluminium alloys capable of an ultimate tensile strength of 0,46 GPa or more;

or

3.

"Fibrous or filamentary materials" with a "specific modulus" of more than 3,18 x 10

6

m and a "specific tensile strength" greater than 7,62 x 10

4

m;

1.

Gas centrifuges;

2.

Complete rotor assemblies;

3.

Rotor tube cylinders with a wall thickness of 12 mm or less, a diameter of between 75 mm and 650 mm, made from 'high strength-to-density ratio materials';

4.

Rings or bellows with a wall thickness of 3 mm or less and a diameter of between 75 mm and 650 mm and designed to give local support to a rotor tube or to join a number together, made from 'high strength-to-density ratio materials';

5.

Baffles of between 75 mm and 650 mm diameter for mounting inside a rotor tube, made from 'high strength-to-density ratio materials';

6.

Top or bottom caps of between 75 mm and 650 mm diameter to fit the ends of a rotor tube, made from 'high strength-to-density ratio materials';

7.

Magnetic suspension bearings as follows:

a.

Bearing assemblies consisting of an annular magnet suspended within a housing made of or protected by "materials resistant to corrosion by UF

6

" containing a damping medium and having the magnet coupling with a pole piece or second magnet fitted to the top cap of the rotor;

b.

Active magnetic bearings specially designed or prepared for use with gas centrifuges;

8.

Specially prepared bearings comprising a pivot-cup assembly mounted on a damper;

9.

Molecular pumps comprised of cylinders having internally machined or extruded helical grooves and internally machined bores;

10.

Ring-shaped motor stators for multiphase AC hysteresis (or reluctance) motors for synchronous operation within a vacuum at a frequency of 600 Hz or more and a power of 40 VA or more;

11.

Centrifuge housing/recipients to contain the rotor tube assembly of a gas centrifuge, consisting of a rigid cylinder of wall thickness up to 30 mm with precision machined ends that are parallel to each other and perpendicular to the cylinder’s longitudinal axis to within 0,05 ° or less;

12.

Scoops consisting of specially designed or prepared tubes for the extraction of UF

6

gas from within the rotor tube by a Pitot tube action and capable of being fixed to the central gas extraction system;

13.

Frequency changers (converters or inverters) specially designed or prepared to supply motor stators for gas centrifuge enrichment, having all of the following characteristics, and specially designed components therefor:

a.

A multiphase frequency output of 600 Hz or greater;

and

b.

High stability (with frequency control better than 0,2%);

14.

Shut-off and control valves as follows:

a.

Shut-off valves specially designed or prepared to act on the feed, product or tails UF

6

gaseous streams of an individual gas centrifuge;

b.

Bellows-sealed valves, shut-off or control, made of or protected by "materials resistant to corrosion by UF

6

", with an inside diameter of 10 mm to 160 mm, specially designed or prepared for use in main or auxiliary systems of gas centrifuge enrichment plants;

c.

Equipment and components, specially designed or prepared for gaseous diffusion separation process, as follows:

1.

Gaseous diffusion barriers made of porous metallic, polymer or ceramic "materials resistant to corrosion by UF

6

" with a pore size of 10 to 100 nm, a thickness of 5 mm or less, and, for tubular forms, a diameter of 25 mm or less;

2.

Gaseous diffuser housings made of or protected by "materials resistant to corrosion by UF

6

";

3.

Compressors or gas blowers with a suction volume capacity of 1 m

3

/min or more of UF

6

, with a discharge pressure up to 500 kPa, and having a pressure ratio of 10:1 or less, and made of or protected by "materials resistant to corrosion by UF

6

";

4.

Rotary shaft seals for compressors or blowers specified in 0B001.c.3. and designed for a buffer gas in-leakage rate of less than 1 000 cm

3

/min.;

5.

Heat exchangers made of or protected by "materials resistant to corrosion by UF

6

", and designed for a leakage pressure rate of less than 10 Pa per hour under a pressure differential of 100 kPa;

6.

Bellows-sealed valves, manual or automated, shut-off or control, made of or protected by "materials resistant to corrosion by UF

6

";

d.

Equipment and components, specially designed or prepared for aerodynamic separation process, as follows:

1.

Separation nozzles consisting of slit-shaped, curved channels having a radius of curvature less than 1 mm, resistant to corrosion by UF

6

, and having a knife-edge contained within the nozzle which separates the gas flowing through the nozzle into two streams;

2.

Cylindrical or conical tubes, (vortex tubes), made of or protected by "materials resistant to corrosion by UF

6

" and with one or more tangential inlets;

3.

Compressors or gas blowers made of or protected by "materials resistant to corrosion by UF

6

", and rotary shaft seals therefor;

4.

Heat exchangers made of or protected by "materials resistant to corrosion by UF

6

";

5.

Separation element housings, made of or protected by "materials resistant to corrosion by UF

6

" to contain vortex tubes or separation nozzles;

6.

Bellows-sealed valves, manual or automated, shut-off or control, made of or protected by "materials resistant to corrosion by UF

6

", with a diameter of 40 mm or more;

7.

Process systems for separating UF

6

from carrier gas (hydrogen or helium) to 1 ppm UF

6

content or less, including:

a.

Cryogenic heat exchangers and cryoseparators capable of temperatures of 153K (-120

o

C) or less;

b.

Cryogenic refrigeration units capable of temperatures of 153 K (-120

o

C) or less;

c.

Separation nozzle or vortex tube units for the separation of UF

6

from carrier gas;

d.

UF

6

cold traps capable of freezing out UF

6

;

e.

Equipment and components, specially designed or prepared for chemical exchange separation process, as follows:

1.

Fast-exchange liquid-liquid pulse columns with stage residence time of 30 s or less and resistant to concentrated hydrochloric acid (e.g. made of or protected by suitable plastic materials such as fluorinated hydrocarbon polymers or glass);

2.

Fast-exchange liquid-liquid centrifugal contactors with stage residence time of 30 s or less and resistant to concentrated hydrochloric acid (e.g. made of or protected by suitable plastic materials such as fluorinated hydrocarbon polymers or glass);

3.

Electrochemical reduction cells resistant to concentrated hydrochloric acid solutions, for reduction of uranium from one valence state to another;

4.

Electrochemical reduction cells feed equipment to take U

+4

from the organic stream and, for those parts in contact with the process stream, made of or protected by suitable materials (e.g. glass, fluorocarbon polymers, polyphenyl sulphate, polyether sulfone and resin-impregnated graphite);

5.

Feed preparation systems for producing high purity uranium chloride solution consisting of dissolution, solvent extraction and/or ion exchange equipment for purification and electrolytic cells for reducing the uranium U

+6

or U

+4

to U

+3

;

6.

Uranium oxidation systems for oxidation of U

+3

to U

+4

;

f.

Equipment and components, specially designed or prepared for ion-exchange separation process, as follows:

1.

Fast reacting ion-exchange resins, pellicular or porous macro-reticulated resins in which the active chemical exchange groups are limited to a coating on the surface of an inactive porous support structure, and other composite structures in any suitable form, including particles or fibres, with diameters of 0,2 mm or less, resistant to concentrated hydrochloric acid and designed to have an exchange rate half-time of less than 10 s and capable of operating at temperatures in the range of 373 K (100

o

C) to 473 K (200

o

C);

2.

Ion exchange columns (cylindrical) with a diameter greater than 1 000 mm, made of or protected by materials resistant to concentrated hydrochloric acid (e.g. titanium or fluorocarbon plastics) and capable of operating at temperatures in the range of 373 K (100

o

C) to 473 K (200

o

C) and pressures above 0,7 MPa;

3.

Ion exchange reflux systems (chemical or electrochemical oxidation or reduction systems) for regeneration of the chemical reducing or oxidizing agents used in ion exchange enrichment cascades;

g.

Equipment and components, specially designed or prepared for laser-based separation processes using atomic vapour laser isotope separation, as follows:

1.

Uranium metal vaporization systems designed to achieve a delivered power of 1 kW or more on the target for use in laser enrichment;

2.

Liquid or vapour uranium metal handling systems specially designed or prepared for handling molten uranium, molten uranium alloys or uranium metal vapour for use in laser enrichment, and specially designed components therefor;

N.B.

SEE ALSO 2A225.

3.

Product and tails collector assemblies for collecting uranium metal in liquid or solid form, made of or protected by materials resistant to the heat and corrosion of uranium metal vapour or liquid, such as yttria-coated graphite or tantalum;

4.

Separator module housings (cylindrical or rectangular vessels) for containing the uranium metal vapour source, the electron beam gun and the product and tails collectors;

5.

"Lasers" or "laser" systems specially designed or prepared for the separation of uranium isotopes with a spectrum frequency stabilisation for operation over extended periods of time;

N.B.

SEE ALSO 6A005 AND 6A205.

h.

Equipment and components, specially designed or prepared for laser-based separation processes using molecular laser isotope separation, as follows:

1.

Supersonic expansion nozzles for cooling mixtures of UF

6

and carrier gas to 150 K (-123

o

C) or less and made from "materials resistant to corrosion by UF

6

";

2.

Product or tails collector components or devices specially designed or prepared for collecting uranium material or uranium tails material following illumination with laser light, made of "materials resistant to corrosion by UF

6

";

3.

Compressors made of or protected by "materials resistant to corrosion by UF

6

", and rotary shaft seals therefor;

4.

Equipment for fluorinating UF

5

(solid) to UF

6

(gas);

5.

Process systems for separating UF

6

from carrier gas (e.g. nitrogen, argon or other gas) including:

a.

Cryogenic heat exchangers and cryoseparators capable of temperatures of 153 K (-120

o

C) or less;

b.

Cryogenic refrigeration units capable of temperatures of 153 K (-120

o

C) or less;

c.

UF

6

cold traps capable of freezing out UF

6

;

6.

"Lasers" or "laser" systems specially designed or prepared for the separation of uranium isotopes with a spectrum frequency stabilisation for operation over extended periods of time;

N.B.

SEE ALSO 6A005 AND 6A205.

i.

Equipment and components, specially designed or prepared for plasma separation process, as follows:

1.

Microwave power sources and antennae for producing or accelerating ions, with an output frequency greater than 30 GHz and mean power output greater than 50 kW;

2.

Radio frequency ion excitation coils for frequencies of more than 100 kHz and capable of handling more than 40 kW mean power;

3.

Uranium plasma generation systems;

4.

Not used;

5.

Product and tails collector assemblies for uranium metal in solid form, made of or protected by materials resistant to the heat and corrosion of uranium vapour such as yttria-coated graphite or tantalum;

6.

Separator module housings (cylindrical) for containing the uranium plasma source, radio-frequency drive coil and the product and tails collectors and made of a suitable non-magnetic material (e.g. stainless steel);

j.

Equipment and components, specially designed or prepared for electromagnetic separation process, as follows:

1.

Ion sources, single or multiple, consisting of a vapour source, ioniser, and beam accelerator made of suitable non-magnetic materials (e.g. graphite, stainless steel, or copper) and capable of providing a total ion beam current of 50 mA or greater;

2.

Ion collector plates for collection of enriched or depleted uranium ion beams, consisting of two or more slits and pockets and made of suitable non-magnetic materials (e.g. graphite or stainless steel);

3.

Vacuum housings for uranium electromagnetic separators made of non-magnetic materials (e.g. stainless steel) and designed to operate at pressures of 0,1 Pa or lower;

4.

Magnet pole pieces with a diameter greater than 2 m;

5.

High voltage power supplies for ion sources, having all of the following characteristics:

a.

Capable of continuous operation;

b.

Output voltage of 20 000 V or greater;

c.

Output current of 1 A or greater;

and

d.

Voltage regulation of better than 0,01% over a period of 8 hours;

N.B.

SEE ALSO 3A227.

6.

Magnet power supplies (high power, direct current) having all of the following characteristics:

a.

Capable of continuous operation with a current output of 500 A or greater at a voltage of 100 V or greater;

and

b.

Current or voltage regulation better than 0,01% over a period of 8 hours.

N.B.

SEE ALSO 3A226.

0B002

Specially designed or prepared auxiliary systems, equipment and components as follows, for isotope separation plant specified in 0B001, made of or protected by "materials resistant to corrosion by UF

6

":

a.

Feed autoclaves, ovens or systems used for passing UF

6

to the enrichment process;

b.

Desublimers or cold traps, used to remove UF

6

from the enrichment process for subsequent transfer upon heating;

c.

Product and tails stations for transferring UF

6

into containers;

d.

Liquefaction or solidification stations used to remove UF6 from the enrichment process by compressing, cooling and converting UF

6

to a liquid or solid form;

e.

Piping systems and header systems specially designed or prepared for handling UF

6

within gaseous diffusion, centrifuge or aerodynamic cascades;

f.

Vacuum systems and pumps as follows:

1.

Vacuum manifolds, vacuum headers or vacuum pumps having a suction capacity of 5 m

3

/minute or more;

2.

Vacuum pumps specially designed for use in UF

6

bearing atmospheres made of, or protected by, "materials resistant to corrosion by UF

6

";

or

3.

Vacuum systems consisting of vacuum manifolds, vacuum headers and vacuum pumps, and designed for service in UF

6

-bearing atmospheres;

g.

UF

6

mass spectrometers/ion sources capable of taking on-line samples from UF

6

gas streams and having all of the following characteristics:

1.

Capable of measuring ions of 320 atomic mass units or greater and having a resolution of better than 1 part in 320;

2.

Ion sources constructed of or protected by nickel, nickel-copper alloys with a nickel content of 60% or more by weight, or nickel-chrome alloys;

3.

Electron bombardment ionisation sources;

and

4.

Having a collector system suitable for isotopic analysis.

0B003

Plant for the conversion of uranium and equipment specially designed or prepared therefor, as follows:

a.

Systems for the conversion of uranium ore concentrates to UO

3

;

b.

Systems for the conversion of UO

3

to UF

6

;

c.

Systems for the conversion of UO

3

to UO

2

;

d.

Systems for the conversion of UO

2

to UF

4

;

e.

Systems for the conversion of UF

4

to UF

6

;

f.

Systems for the conversion of UF

4

to uranium metal;

g.

Systems for the conversion of UF

6

to UO

2

;

h.

Systems for the conversion of UF

6

to UF

4

;

i.

Systems for the conversion of UO

2

to UCl

4

.

0B004

Plant for the production or concentration of heavy water, deuterium and deuterium compounds and specially designed or prepared equipment and components therefor, as follows:

a.

Plant for the production of heavy water, deuterium or deuterium compounds, as follows:

1.

Water-hydrogen sulphide exchange plants;

2.

Ammonia-hydrogen exchange plants;

b.

Equipment and components, as follows:

1.

Water-hydrogen sulphide exchange towers with diameters of 1,5 m or more, capable of operating at pressures greater than or equal to 2 MPa;

2.

Single stage, low head (i.e., 0,2 MPa) centrifugal blowers or compressors for hydrogen sulphide gas circulation (i.e., gas containing more than 70% by weight hydrogen sulphide, H

2

S) with a throughput capacity greater than or equal to 56 m

3

/s when operating at pressures greater than or equal to 1,8 MPa suction and having seals designed for wet H

2

S service;

3.

Ammonia-hydrogen exchange towers greater than or equal to 35 m in height with diameters of 1,5 m to 2,5 m capable of operating at pressures greater than 15 MPa;

4.

Tower internals, including stage contactors, and stage pumps, including those which are submersible, for heavy water production utilizing the ammonia-hydrogen exchange process;

5.

Ammonia crackers with operating pressures greater than or equal to 3 MPa for heavy water production utilizing the ammonia-hydrogen exchange process;

6.

Infrared absorption analysers capable of on-line hydrogen/deuterium ratio analysis where deuterium concentrations are equal to or greater than 90% by weight;

7.

Catalytic burners for the conversion of enriched deuterium gas into heavy water utilizing the ammonia-hydrogen exchange process;

8.

Complete heavy water upgrade systems, or columns therefor, for the upgrade of heavy water to reactor-grade deuterium concentration;

9.

Ammonia synthesis converters or synthesis units specially designed or prepared for heavy water production utilizing the ammonia-hydrogen exchange process.

0B005

Plant specially designed for the fabrication of "nuclear reactor" fuel elements and specially designed or prepared equipment therefor.

Technical Note:

Specially designed or prepared equipment for the fabrication of "nuclear reactor" fuel elements includes equipment which:

1.

Normally comes into direct contact with or directly processes or controls the production flow of nuclear materials;

2.

Seals the nuclear materials within the cladding;

3.

Checks the integrity of the cladding or the seal;

4.

Checks the finish treatment of the sealed fuel;

or

5.

Is used for assembling reactor elements.

0B006

Plant for the reprocessing of irradiated "nuclear reactor" fuel elements, and specially designed or prepared equipment and components therefor.

Note:

0B006 includes:

a.

Plant for the reprocessing of irradiated "nuclear reactor" fuel elements including equipment and components which normally come into direct contact with and directly control the irradiated fuel and the major nuclear material and fission product processing streams;

b.

Fuel element decladding equipment and chopping or shredding machines, i.e., remotely operated equipment to cut, chop or shear irradiated "nuclear reactor" fuel assemblies, bundles or rods;

c.

Dissolver vessels or dissolvers employing mechanical devices specially designed or prepared for the dissolution of irradiated "nuclear reactor" fuel, which are capable of withstanding hot, highly corrosive liquids, and which can be remotely loaded, operated and maintained;

d.

Solvent extractors, such as packed or pulsed columns, mixer settlers or centrifugal contractors, resistant to the corrosive effects of nitric acid and specially designed or prepared for use in a plant for the reprocessing of irradiated "natural uranium", "depleted uranium" or "special fissile materials";

e.

Holding or storage vessels specially designed to be critically safe and resistant to the corrosive effects of nitric acid;

Technical Note:

Holding or storage vessels may have the following features:

1.

Walls or internal structures with a boron equivalent (calculated for all constituent elements as defined in the note to 0C004)

of at least two per cent;

2.

A maximum diameter of 175 mm for cylindrical vessels;

or

3.

A maximum width of 75 mm for either a slab or annular vessel.

f.

Neutron measurement systems specially designed or prepared for integration and use with automated process control systems in a plant for the reprocessing of irradiated "natural uranium", "depleted uranium" or "special fissile materials".

0B007

Plant for the conversion of plutonium and equipment specially designed or prepared therefor, as follows:

a.

Systems for the conversion of plutonium nitrate to oxide;

b.

Systems for plutonium metal production.

0C   

Materials

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;

Note:

0C001 does not control the following:

a.

Four grammes or less of "natural uranium" or "depleted uranium" when contained in a sensing component in instruments;

b.

"Depleted uranium" specially fabricated for the following civil non

- nuclear applications:

1.

Shielding;

2.

Packaging;

3.

Ballasts having a mass not greater than 100 kg;

4.

Counter

- weights having a mass not greater than 100 kg;

c.

Alloys containing less than 5% thorium;

d.

Ceramic products containing thorium, which have been manufactured for non-nuclear use

.

0C002

"Special fissile materials"

Note:

0C002 does not control four "effective grammes" or less when contained in a sensing component in instruments.

0C003

Deuterium, heavy water (deuterium oxide) and other compounds of deuterium, and mixtures and solutions containing deuterium, in which the isotopic ratio of deuterium to hydrogen exceeds 1:5 000.

0C004

Graphite having a purity level better than 5 parts per million 'boron equivalent' and with a density greater than 1,50 g/cm

3

for use in a "nuclear reactor", in quantities exceeding 1 kg.

N.B.

SEE ALSO 1C107.

Note 1:

For the purpose of export control, the competent authorities of the EU Member State in which the exporter is established will determine whether or not the exports of graphite meeting the above specifications are for "nuclear reactor" use. 0C004 does not control graphite having a purity level better than 5 ppm (parts per million) boron equivalent and with a density greater than 1,50 g/cm

3

not for use in a "nuclear reactor".

Note 2:

In 0C004, 'boron equivalent' (BE) is defined as the sum of BE

z

for impurities (excluding BE

carbon

since carbon is not considered an impurity) including boron, where:

 

BE

Z

(ppm) = CF x concentration of element Z in ppm;

 

[Bild bitte in Originalquelle ansehen]

 

and

σ

B

and

σ

Z

are the thermal neutron capture cross sections (in barns) for naturally occurring boron and element Z respectively; and A

B

and A

Z

are the atomic masses of naturally occurring boron and element Z respectively.

0C005

Specially prepared compounds or powders for the manufacture of gaseous diffusion barriers, resistant to corrosion by UF

6

(e.g. nickel or alloys containing 60% by weight or more nickel, aluminium oxide and fully fluorinated hydrocarbon polymers), having a purity of 99,9% by weight or more and a particle size less than 10 μm measured by ASTM B330 standard and a high degree of particle size uniformity.

0D   

Software

0D001

"Software" specially designed or modified for the "development", "production" or "use" of goods specified in this Category.

0E   

Technology

0E001

"Technology" according to the Nuclear Technology Note for the "development", "production" or "use" of goods specified in this Category.

PART III –

   

Category 1

CATEGORY 1 – SPECIAL MATERIALS AND RELATED EQUIPMENT

1A   

Systems, Equipment and Components

1A001

Components made from fluorinated compounds, as follows:

a.

Seals, gaskets, sealants or fuel bladders, specially designed for "aircraft" or aerospace use, made from more than 50% by weight of any of the materials specified in 1C009.b. or 1C009.c.;

b.

Not used;

c.

Not used.

1A002

"Composite" structures or laminates, as follows:

N.B.

SEE ALSO 1A202, 9A010 and 9A110.

a.

Made from any of the following:

1.

An organic "matrix" and "fibrous or filamentary materials" specified in 1C010.c. or 1C010.d.:

or

2.

Prepregs or preforms specified in 1C010.e.;

b.

Made from a metal or carbon "matrix", and any of the following:

1.

Carbon "fibrous or filamentary materials" having all of the following:

a.

A "specific modulus" exceeding 10,15 x 10

6

 m;

and

b.

A "specific tensile strength" exceeding 17,7 x 10

4

 m;

or

2.

Materials specified in 1C010.c.

Note 1:

1A002 does not control "composite" structures or laminates made from epoxy resin impregnated carbon "fibrous or filamentary materials" for the repair of "civil aircraft" structures or laminates, having all of the following:

a.

An area not exceeding 1 m

2

;

b.

A length not exceeding 2,5 m;

and

c.

A width exceeding 15 mm.

Note 2:

1A002 does not control semi-finished items, specially designed for purely civilian applications as follows:

a.

Sporting goods;

b.

Automotive industry;

c.

Machine tool industry;

d.

Medical applications.

Note 3:

1A002.b.1. does not control semi-finished items containing a maximum of two dimensions of interwoven filaments and specially designed for applications as follows:

a.

Metal heat-treatment furnaces for tempering metals;

b.

Silicon boule production equipment.

Note 4:

1A002 does not control finished items specially designed for a specific application.

Note 5:

1A002.b.1. does not control mechanically chopped, milled, or cut carbon "fibrous or filamentary materials" 25,0 mm or less in length.

1A003

Manufactures of non-"fusible" aromatic polyimides in film, sheet, tape or ribbon form having any of the following:

a.

A thickness exceeding 0,254 mm;

or

b.

Coated or laminated with carbon, graphite, metals or magnetic substances.

Note:

1A003

does

not control manufactures when coated or laminated with copper and

designed for the production of electronic printed circuit boards.

N.B.

For "fusible" aromatic polyimides in any form, see 1C008.a.3.

1A004

Protective and detection equipment and components not specially designed for military use, as follows:

N.B.

SEE ALSO MILITARY GOODS CONTROLS, 2B351 AND 2B352.

a.

Full face masks, filter canisters and decontamination equipment therefor, designed or modified for defence against any of the following, and specially designed components therefor:

Note:

1A004.a. includes Powered Air Purifying Respirators (PAPR) that are designed or modified for defence against agents or materials, listed in 1A004.a.

Technical Note:

For the purposes of 1A004.a.:

1.

Full face masks are also known as gas masks.

2.

Filter canisters include filter cartridges.

1.

"Biological agents";

2.

'Radioactive materials';

3.

Chemical warfare (CW) agents;

or

4.

"Riot control agents", including:

a.

α-Bromobenzeneacetonitrile, (Bromobenzyl cyanide) (CA) (CAS 5798-79-8);

b.

[(2-Chlorophenyl) methylene] propanedinitrile, (o-Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);

c.

2-Chloro-1-phenylethanone, Phenylacyl chloride (ω-chloroacetophenone) (CN) (CAS 532-27-4);

d.

Dibenz-(b,f)-1,4-oxazephine (CR) (CAS 257-07-8);

e.

10-Chloro-5,10-dihydrophenarsazine, (Phenarsazine chloride), (Adamsite), (DM) (CAS 578-94-9);

f.

N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);

b.

Protective suits, gloves and shoes, specially designed or modified for defence against any of the following:

1.

"Biological agents";

2.

'Radioactive materials';

or

3.

Chemical warfare (CW) agents;

c.

Detection systems, specially designed or modified for detection or identification of any of the following, and specially designed components therefor:

1.

"Biological agents";

2.

'Radioactive materials';

or

3.

Chemical warfare (CW) agents.

d.

Electronic equipment designed for automatically detecting or identifying the presence of "explosives" residues and utilising 'trace detection' techniques (e.g., surface acoustic wave, ion mobility spectrometry, differential mobility spectrometry, mass spectrometry).

Technical Note:

'Trace detection' is defined as the capability to detect less than 1 ppm vapour, or 1 mg solid or liquid.

Note 1:

1A004.d. does not control equipment specially designed for laboratory use.

Note 2:

1A004.d. does not control non-contact walk-through security portals

.

Note:

1A004 does not control:

a.

Personal radiation monitoring dosimeters;

b.

Occupational health or safety equipment limited by design or function to protect against hazards specific to residential safety or civil industries, including:

1.

mining;

2.

quarrying;

3.

agriculture;

4.

pharmaceutical;

5.

medical;

6.

veterinary;

7.

environmental;

8.

waste management;

9.

food industry.

Technical Notes:

1.

1A004 includes equipment and components that have been identified, successfully tested to national standards or otherwise proven effective, for the detection of or defence against 'radioactive materials', "biological agents", chemical warfare agents, 'simulants' or "riot control agents", even if such equipment or components are used in civil industries such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or the food industry.

2.

'Simulant' is a substance or material that is used in place of toxic agent (chemical or biological) in training, research, testing or evaluation.

3.

For the purposes of 1A004, 'radioactive materials' are those selected or modified to increase their effectiveness in producing casualties in humans or animals, degrading equipment or damaging crops or the environment.

1A005

Body armour and components therefor, as follows:

N.B.

SEE ALSO MILITARY GOODS CONTROLS.

a.

Soft body armour not manufactured to military standards or specifications, or to their equivalents, and specially designed components therefor;

b.

Hard body armour plates providing ballistic protection equal to or less than level IIIA (NIJ 0101.06, July 2008), or "equivalent standards".

N.B.

For "fibrous or filamentary materials" used in the manufacture of body armour, see 1C010.

Note 1:

1A005 does not control body armour when accompanying its user for the user's own personal protection.

Note 2:

1A005 does not control body armour designed to provide frontal protection only from both fragment and blast from non-military explosive devices.

Note 3:

1A005 does not control body armour designed to provide protection only from knife, spike, needle or blunt trauma.

1A006

Equipment, specially designed or modified for the disposal of Improvised Explosive Devices (IEDs), as follows, and specially designed components and accessories therefor:

N.B.

SEE ALSO MILITARY GOODS CONTROLS.

a.

Remotely operated vehicles;

b.

'Disruptors'.

Technical Note:

For the purposes of 1A006.b. 'disruptors' are devices specially designed for the purpose of preventing the operation of an explosive device by projecting a liquid, solid or frangible projectile.

Note:

1A006 does not control equipment when accompanying its operator.

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 explosive detonators specified in 1A007.b.;

b.

Electrically driven explosive detonators as follows:

1.

Exploding bridge (EB);

2.

Exploding bridge wire (EBW);

3.

Slapper;

4.

Exploding foil initiators (EFI).

Technical Notes:

1.

The word initiator or igniter is sometimes used in place of the word detonator.

2.

For the purpose of 1A007.b. the detonators of concern all utilise a small electrical conductor (bridge, bridge wire, or foil) that explosively vaporises when a fast, high-current electrical pulse is passed through it. In non-slapper types, the exploding conductor starts a chemical detonation in a contacting high explosive material such as PETN (pentaerythritoltetranitrate). In slapper detonators, the explosive vaporization of the electrical conductor drives a flyer or slapper across a gap, and the impact of the slapper on an explosive starts a chemical detonation. The slapper in some designs is driven by magnetic force. The term exploding foil detonator may refer to either an EB or a slapper-type detonator.

1A008

Charges, devices and components, as follows:

a.

'Shaped charges' having all of the following:

1.

Net Explosive Quantity (NEQ) greater than 90 g;

and

2.

Outer casing diameter equal to or greater than 75 mm;

b.

Linear shaped cutting charges having all of the following, and specially designed components therefor:

1.

An explosive load greater than 40 g/m;

and

2.

A width of 10 mm or more;

c.

Detonating cord with explosive core load greater than 64 g/m;

d.

Cutters, other than those specified in 1A008.b., and severing tools, having a Net Explosive Quantity (NEQ) greater than 3,5 kg.

Technical Note:

'Shaped charges' are explosive charges shaped to focus the effects of the explosive blast.

1A102

Resaturated pyrolised carbon-carbon components designed for space launch vehicles specified in 9A004 or sounding rockets specified in 9A104.

1A202

Composite structures, other than those specified in 1A002, in the form of tubes and having both of the following characteristics:

N.B.

SEE ALSO 9A010 AND 9A110.

a.

An inside diameter of between 75 mm and 400 mm;

and

b.

Made with any of the "fibrous or filamentary materials" specified in 1C010.a. or b. or 1C210.a. or with carbon prepreg materials specified in 1C210.c.

1A225

Platinized catalysts specially designed or prepared for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from heavy water or for the production of heavy water.

1A226

Specialised packings which may be used in separating heavy water from ordinary water, having both of the following characteristics:

a.

Made of phosphor bronze mesh chemically treated to improve wettability;

and

b.

Designed to be used in vacuum distillation towers.

1A227

High-density (lead glass or other) radiation shielding windows, having all of the following characteristics, and specially designed frames therefor:

a.

A 'cold area' greater than 0,09 m

2

;

b.

A density greater than 3 g/cm

3

;

and

c.

A thickness of 100 mm or greater.

Technical Note:

In 1A227 the term 'cold area' means the viewing area of the window exposed to the lowest level of radiation in the design application.

1B   

Test, Inspection and Production Equipment

1B001

Equipment for the production or inspection of "composite" structures or laminates specified in 1A002 or "fibrous or filamentary materials" specified in 1C010, as follows, and specially designed components and accessories therefor:

N.B.

SEE ALSO 1B101 AND 1B201.

a.

Filament winding machines, of which the motions for positioning, wrapping and winding fibres are coordinated and programmed in three or more 'primary servo positioning' axes, specially designed for the manufacture of "composite" structures or laminates, from "fibrous or filamentary materials";

b.

'Tape-laying machines', of which the motions for positioning and laying tape are coordinated and programmed in five or more 'primary servo positioning' axes, specially designed for the manufacture of "composite" airframe or 'missile' structures;

Note:

In 1B001.b., 'missile' means complete rocket systems and unmanned aerial vehicle systems.

Technical Note:

For the purposes of 1B001.b., 'tape-laying machines' have the ability to lay one or more 'filament bands' limited to widths greater than 25,4 mm and less than or equal to 304,8 mm, and to cut and restart individual 'filament band' courses during the laying process.

c.

Multidirectional, multidimensional weaving machines or interlacing machines, including adapters and modification kits, specially designed or modified for weaving, interlacing or braiding fibres, for "composite" structures;

Technical Note:

For the purposes of 1B001.c., the technique of interlacing includes knitting.

d.

Equipment specially designed or adapted for the production of reinforcement fibres, as follows:

1.

Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon fibres or silicon carbide fibres, including special equipment to strain the fibre during heating;

2.

Equipment for the chemical vapour deposition of elements or compounds, on heated filamentary substrates, to manufacture silicon carbide fibres;

3.

Equipment for the wet-spinning of refractory ceramics (such as aluminium oxide);

4.

Equipment for converting aluminium containing precursor fibres into alumina fibres by heat treatment;

e.

Equipment for producing prepregs specified in 1C010.e. by the hot melt method;

f.

Non-destructive inspection equipment specially designed for "composite" materials, as follows:

1.

X-ray tomography systems for three dimensional defect inspection;

2.

Numerically controlled ultrasonic testing machines of which the motions for positioning transmitters or receivers are simultaneously coordinated and programmed in four or more axes to follow the three dimensional contours of the component under inspection;

g.

'Tow-placement machines', of which the motions for positioning and laying tows are coordinated and programmed in two or more 'primary servo positioning' axes, specially designed for the manufacture of "composite" airframe or 'missile' structures.

Technical Note:

For the purposes of 1B001.g., 'tow-placement machines' have the ability to place one or more 'filament bands' having widths less than or equal to 25,4 mm, and to cut and restart individual 'filament band' courses during the placement process.

Technical Notes:

1.

For the purpose of 1B001, 'primary servo positioning' axes control, under computer program direction, the position of the end effector (i.e., head) in space relative to the work piece at the correct orientation and direction to achieve the desired process.

2.

For the purposes of 1B001, a 'filament band' is a single continuous width of fully or partially resin-impregnated tape, tow or fibre. Fully or partially resin-impregnated 'filament bands' include those coated with dry powder that tacks upon heating.

1B002

Equipment designed to produce metal alloy powder or particulate materials, and having all of the following:

a.

Specially designed to avoid contamination;

and

b.

Specially designed for use in one of the processes specified in 1C002.c.2.

N.B.

SEE ALSO 1B102.

1B003

Tools, dies, moulds or fixtures, for "superplastic forming" or "diffusion bonding" titanium, aluminium or their alloys, specially designed for the manufacture of any of the following:

a.

Airframe or aerospace structures;

b.

"Aircraft" or aerospace engines;

or

c.

Specially designed components for structures specified in 1B003.a. or for engines specified in 1B003.b.

1B101

Equipment, other than that specified in 1B001, for the "production" of structural composites as follows; and specially designed components and accessories therefor:

N.B.

SEE ALSO 1B201.

Note:

Components and accessories specified in 1B101 include moulds, mandrels, dies, fixtures and tooling for the preform pressing, curing, casting, sintering or bonding of composite structures, laminates and manufactures thereof.

a.

Filament winding machines or fibre placement machines, of which the motions for positioning, wrapping and winding fibres can be coordinated and programmed in three or more axes, designed to fabricate composite structures or laminates from "fibrous or filamentary materials", and coordinating and programming controls;

b.

Tape-laying machines of which the motions for positioning and laying tape and sheets can be coordinated and programmed in two or more axes, designed for the manufacture of composite airframe and "missile" structures;

c.

Equipment designed or modified for the "production" of "fibrous or filamentary materials" as follows:

1.

Equipment for converting polymeric fibres (such as polyacrylonitrile, rayon or polycarbosilane) including special provision to strain the fibre during heating;

2.

Equipment for the vapour deposition of elements or compounds on heated filament substrates;

3.

Equipment for the wet-spinning of refractory ceramics (such as aluminium oxide);

d.

Equipment designed or modified for special fibre surface treatment or for producing prepregs and preforms specified in entry 9C110.

Note:

1B101.d. includes rollers, tension stretchers, coating equipment, cutting equipment and clicker dies.

1B102

Metal powder "production equipment", other than that specified in 1B002, and components as follows:

N.B.

SEE ALSO 1B115.b.

a.

Metal powder "production equipment" usable for the "production", in a controlled environment, of spherical, spheroidal or atomised materials specified in 1C011.a., 1C011.b., 1C111.a.1., 1C111.a.2. or in the Military Goods Controls.

b.

Specially designed components for "production equipment" specified in 1B002 or 1B102.a.

Note:

1B102 includes:

a.

Plasma generators (high frequency arc-jet) usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment;

b.

Electroburst equipment usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment;

c.

Equipment usable for the "production" of spherical aluminium powders by powdering a melt in an inert medium (e.g. nitrogen).

1B115

Equipment, other than that specified in 1B002 or 1B102, for the production of propellant and propellant constituents, as follows, and specially designed components therefor:

a.

"Production equipment" for the "production", handling or acceptance testing of liquid propellants or propellant constituents specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls;

b.

"Production equipment" for the "production", handling, mixing, curing, casting, pressing, machining, extruding or acceptance testing of solid propellants or propellant constituents specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls.

Note:

1B115.b. does not control batch mixers, continuous mixers or fluid energy mills. For the control of batch mixers, continuous mixers and fluid energy mills see 1B117, 1B118 and 1B119.

Note 1:

For equipment specially designed for the production of military goods, see the Military Goods Controls.

Note 2:

1B115 does not control equipment for the "production", handling and acceptance testing of boron carbide.

1B116

Specially designed nozzles for producing pyrolitically derived materials formed on a mould, mandrel or other substrate from precursor gases which decompose in the 1 573 K (1 300

o

C) to 3 173 K (2 900

o

C) temperature range at pressures of 130 Pa to 20 kPa.

1B117

Batch mixers having all of the following, and specially designed components therefor:

a.

Designed or modified for mixing under vacuum in the range of zero to 13,326 kPa:

b.

Capable of controlling the temperature of the mixing chamber;

c.

A total volumetric capacity of 110 litres or more;

and

d.

At least one 'mixing/kneading shaft' mounted off centre.

Note:

In 1B117.d. the term 'mixing/kneading shaft' does not refer to deagglomerators or knife-spindles.

1B118

Continuous mixers having all of the following, and specially designed components therefor:

a.

Designed or modified for mixing under vacuum in the range of zero to 13,326 kPa;

b.

Capable of controlling the temperature of the mixing chamber;

c.

any of the following:

1.

Two or more mixing/kneading shafts;

or

2.

All of the following:

a.

A single rotating and oscillating shaft with kneading teeth/pins;

and

b.

Kneading teeth/pins inside the casing of the mixing chamber.

1B119

Fluid energy mills usable for grinding or milling substances specified in 1C011.a., 1C011.b., 1C111 or in the Military Goods Controls, and specially designed components therefor.

1B201

Filament winding machines, other than those specified in 1B001 or 1B101, and related equipment, as follows:

a.

Filament winding machines having all of the following characteristics:

1.

Having motions for positioning, wrapping, and winding fibres coordinated and programmed in two or more axes;

2.

Specially designed to fabricate composite structures or laminates from "fibrous or filamentary materials";

and

3.

Capable of winding cylindrical tubes with an internal diameter between 75 and 650 mm and lengths of 300 mm or greater;

b.

Coordinating and programming controls for the filament winding machines specified in 1B201.a.;

c.

Precision mandrels for the filament winding machines specified in 1B201.a.

1B225

Electrolytic cells for fluorine production with an output capacity greater than 250 g of fluorine per hour.

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.

1B228

Hydrogen-cryogenic distillation columns having all of the following characteristics:

a.

Designed for operation with internal temperatures of 35 K (-238°C) or less;

b.

Designed for operation at an internal pressure of 0,5 to 5 MPa;

c.

Constructed of either:

1.

Stainless steel of the Society of Automotive Engineers International (SAE) 300 series with low sulphur content and with an austenitic ASTM (or equivalent standard) grain size number of 5 or greater;

or

2.

Equivalent materials which are both cryogenic and hydrogen (H

2

)-compatible;

and

d.

With internal diameters of 30 cm or greater and 'effective lengths' of 4 m or greater.

Technical Note:

In 1B228 'effective length' means the active height of packing material in a packed-type column, or the active height of internal contactor plates in a plate-type column.

1B230

Pumps capable of circulating solutions of concentrated or dilute potassium amide catalyst in liquid ammonia (KNH

2

/NH

3

), having all of the following characteristics:

a.

Airtight (i.e., hermetically sealed);

b.

A capacity greater than 8,5 m

3

/h;

and

c.

Either of the following characteristics:

1.

For concentrated potassium amide solutions (1% or greater), an operating pressure of 1,5 to 60 MPa;

or

2.

For dilute potassium amide solutions (less than 1%), an operating pressure of 20 to 60 MPa.

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.

1B232

Turboexpanders or turboexpander-compressor sets having both of the following characteristics:

a.

Designed for operation with an outlet temperature of 35 K (-238°C) or less;

and

b.

Designed for a throughput of hydrogen gas of 1 000 kg/h or greater.

1B233

Lithium isotope separation facilities or plants, and systems and equipment therefor, as follows:

a.

Facilities or plants for the separation of lithium isotopes;

b.

Equipment for the separation of lithium isotopes based on the lithium-mercury amalgam process, 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;

c.

Ion exchange systems specially designed for lithium isotope separation, and specially designed components therefor;

d.

Chemical exchange systems (employing crown ethers, cryptands, or lariat ethers), specially designed for lithium isotope separation, and specially designed components therefor.

1B234

High explosive containment vessels, chambers, containers and other similar containment devices designed for the testing of high explosives or explosive devices and having both of the following characteristics:

N.B.

SEE ALSO MILITARY GOODS CONTROLS.

a.

Designed to fully contain an explosion equivalent to 2 kg of trinitrotoluene (TNT) or greater;

and

b.

Having design elements or features enabling real time or delayed transfer of diagnostic or measurement information.

1B235

Target assemblies and components for the production of tritium as follows:

a.

Target assemblies made of or containing lithium enriched in the lithium-6 isotope specially designed for the production of tritium through irradiation, including insertion in a nuclear reactor;

b.

Components specially designed for the target assemblies specified in 1B235.a.

Technical Note:

Components specially designed for target assemblies for the production of tritium may include lithium pellets, tritium getters, and specially-coated cladding.

1C   

Materials

Technical Note:

Metals and alloys:

Unless provision to the contrary is made, the words 'metals' and 'alloys'

in 1C001 to 1C012 cover crude and semi-fabricated forms, as follows:

Crude forms:

 

Anodes, balls, bars (including notched bars and wire bars), billets, blocks, blooms, brickets, cakes, cathodes, crystals, cubes, dice, grains, granules, ingots, lumps, pellets, pigs, powder, rondelles, shot, slabs, slugs, sponge, sticks;

Semi-fabricated forms (whether or not coated, plated, drilled or punched):

a.

Wrought or worked materials fabricated by rolling, drawing, extruding, forging, impact extruding, pressing, graining, atomising, and grinding, i.e.: angles, channels, circles, discs, dust, flakes, foils and leaf, forging, plate, powder, pressings and stampings, ribbons, rings, rods (including bare welding rods, wire rods, and rolled wire), sections, shapes, sheets, strip, pipe and tubes (including tube rounds, squares, and hollows), drawn or extruded wire;

b.

Cast material produced by casting in sand, die, metal, plaster or other types of moulds, including high pressure castings, sintered forms, and forms made by powder metallurgy.

The object of the control should not be defeated by the export of non-listed forms alleged to be finished products but representing in reality crude forms or semi-fabricated forms.

1C001

Materials specially designed for absorbing electromagnetic radiation, or intrinsically conductive polymers, as follows:

N.B.

SEE ALSO 1C101.

a.

Materials for absorbing frequencies exceeding 2 x 10

8

Hz but less than 3 x 10

12

 Hz;

Note 1:

1C001.a. does not control:

a.

Hair type absorbers, constructed of natural or synthetic fibres, with non-magnetic loading to provide absorption;

b.

Absorbers having no magnetic loss and whose incident surface is non-planar in shape, including pyramids, cones, wedges and convoluted surfaces;

c.

Planar absorbers, having all of the following:

1.

Made from any of the following:

a.

Plastic foam materials (flexible or non-flexible) with carbon-loading, or organic materials, including binders, providing more than 5% echo compared with metal over a bandwidth exceeding ±15% of the centre frequency of the incident energy, and not capable of withstanding temperatures exceeding 450 K (177°C);

or

b.

Ceramic materials providing more than 20% echo compared with metal over a bandwidth exceeding ±15% of the centre frequency of the incident energy, and not capable of withstanding temperatures exceeding 800 K (527°C);

Technical Note:

Absorption test samples for 1C001.a. Note: 1.c.1. should be a square at least 5 wavelengths of the centre frequency on a side and positioned in the far field of the radiating element.

2.

Tensile strength less than 7 x 10

6

 N/m

2

;

and

3.

Compressive strength less than 14 x 10

6

 N/m

2

;

d.

Planar absorbers made of sintered ferrite, having all of the following

:

1.

A specific gravity exceeding 4,4;

and

2.

A maximum operating temperature of 548 K (275°C) or less;

e.

Planar absorbers having no magnetic loss and fabricated from 'open-cell foam' plastic material with a density of 0,15 g/cm

3

or less.

Technical Note:

'Open-cell foams' are flexible and porous materials, having an inner structure open to the atmosphere. 'Open-cell foams' are also known as reticulated foams.

Note 2:

Nothing in Note 1 to 1C001.a. releases magnetic materials to provide absorption when contained in paint.

b.

Materials not transparent to visible light and specially designed for absorbing near-infrared radiation having a wavelength exceeding 810 nm but less than 2 000 nm (frequencies exceeding 150 THz but less than 370 THz);

Note:

1C001.b. does not control materials, specially designed or formulated for any of the following applications:

a.

"Laser" marking of polymers;

or

b.

"Laser" welding of polymers.

c.

Intrinsically conductive polymeric materials with a 'bulk electrical conductivity' exceeding 10 000 S/m (Siemens per metre) or a 'sheet (surface) resistivity' of less than 100 ohms/square

,

based on any of the following polymers:

1.

Polyaniline;

2.

Polypyrrole;

3.

Polythiophene;

4.

Poly phenylene-vinylene;

or

5.

Poly thienylene-vinylene.

Note:

1C001.c. does not control materials in a liquid form.

Technical Note:

'Bulk electrical conductivity' and 'sheet (surface) resistivity' should be determined using ASTM D-257 or national equivalents.

1C002

Metal alloys, metal alloy powder and alloyed materials, as follows:

N.B.

SEE ALSO 1C202.

Note:

1C002 does not control metal alloys, metal alloy powder and

alloyed materials, specially formulated for coating purposes.

Technical Notes:

1.

The metal alloys in 1C002 are those containing a higher percentage by weight of the stated metal than of any other element.

2.

'Stress-rupture life' should be measured in accordance with ASTM standard E-139 or national equivalents.

3.

'Low cycle fatigue life' should be measured in accordance with ASTM standard E-606 'Recommended Practice for Constant-Amplitude Low-Cycle Fatigue Testing' or national equivalents. Testing should be axial with an average stress ratio equal to 1 and a stress-concentration factor (Kt) equal to 1. The average stress ratio is defined as maximum stress minus minimum stress divided by maximum stress.

a.

Aluminides, as follows:

1.

Nickel aluminides containing a minimum of 15% by weight aluminium, a maximum of 38% by weight aluminium and at least one additional alloying element;

2.

Titanium aluminides containing 10% by weight or more aluminium and at least one additional alloying element;

b.

Metal alloys, as follows, made from the powder or particulate material specified in 1C002.c.:

1.

Nickel alloys having any of the following:

a.

A 'stress-rupture life' of 10 000 hours or longer at 923 K (650°C) at a stress of 676 MPa;

or

b.

A 'low cycle fatigue life' of 10 000 cycles or more at 823 K (550°C) at a maximum stress of 1 095 MPa;

2.

Niobium alloys having any of the following:

a.

A 'stress-rupture life' of 10 000 hours or longer at 1 073 K (800°C) at a stress of 400 MPa;

or

b.

A 'low cycle fatigue life' of 10 000 cycles or more at 973 K (700°C) at a maximum stress of 700 MPa;

3.

Titanium alloys having any of the following:

a.

A 'stress-rupture life' of 10 000 hours or longer at 723 K (450°C) at a stress of 200 MPa;

or

b.

A 'low cycle fatigue life' of 10 000 cycles or more at 723 K (450°C) at a maximum stress of 400 MPa;

4.

Aluminium alloys having any of the following:

a.

A tensile strength of 240 MPa or more at 473 K (200°C);

or

b.

A tensile strength of 415 MPa or more at 298 K (25°C);

5.

Magnesium alloys having all of the following:

a.

A tensile strength of 345 MPa or more;

and

b.

A corrosion rate of less than 1 mm/year in 3% sodium chloride aqueous solution measured in accordance with ASTM standard G-31 or national equivalents;

c.

Metal alloy powder or particulate material, having all of the following:

1.

Made from any of the following composition systems:

Technical Note:

X in the following equals one or more alloying elements.

a.

Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine engine parts or components, i.e. with less than 3 non-metallic particles (introduced during the manufacturing process) larger than 100 μm in 10

9

alloy particles;

b.

Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si, Nb-Ti-X or Nb-X-Ti);

c.

Titanium alloys (Ti-Al-X or Ti-X-Al);

d.

Aluminium alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn, Al-Fe-X or Al-X-Fe);

or

e.

Magnesium alloys (Mg-Al-X or Mg-X-Al);

2.

Made in a controlled environment by any of the following processes:

a.

'Vacuum atomisation';

b.

'Gas atomisation';

c.

'Rotary atomisation';

d.

'Splat quenching';

e.

'Melt spinning' and 'comminution';

f.

'Melt extraction' and 'comminution';

g.

'Mechanical alloying';

or

h.

'Plasma atomisation';

and

3.

Capable of forming materials specified in 1C002.a. or 1C002.b.;

d.

Alloyed materials having all of the following:

1.

Made from any of the composition systems specified in 1C002.c.1.;

2.

In the form of uncomminuted flakes, ribbons or thin rods;

and

3.

Produced in a controlled environment by any of the following:

a.

'Splat quenching';

b.

'Melt spinning';

or

c.

'Melt extraction'.

Technical Notes:

1.

'Vacuum atomisation' is a process to reduce a molten stream of metal to droplets of a diameter of 500 μm or less by the rapid evolution of a dissolved gas upon exposure to a vacuum.

2.

'Gas atomisation' is a process to reduce a molten stream of metal alloy to droplets of 500 μm diameter or less by a high pressure gas stream.

3.

'Rotary atomisation' is a process to reduce a stream or pool of molten metal to droplets to a diameter of 500 μm or less by centrifugal force.

4.

'Splat quenching' is a process to 'solidify rapidly' a molten metal stream impinging upon a chilled block, forming a flake-like product.

5.

'Melt spinning' is a process to 'solidify rapidly' a molten metal stream impinging upon a rotating chilled block, forming a flake, ribbon or rod-like product.

6.

'Comminution' is a process to reduce a material to particles by crushing or grinding.

7.

'Melt extraction' is a process to 'solidify rapidly' and extract a ribbon-like alloy product by the insertion of a short segment of a rotating chilled block into a bath of a molten metal alloy.

8.

'Mechanical alloying' is an alloying process resulting from the bonding, fracturing and rebonding of elemental and master alloy powders by mechanical impact. Non-metallic particles may be incorporated in the alloy by addition of the appropriate powders.

9.

'Plasma atomisation' is a process to reduce a molten stream or solid metal to droplets of 500 μm diameter or less, using plasma torches in an inert gas environment.

10.

'Solidify rapidly' is a process involving the solidification of molten material at cooling rates exceeding 1 000 K/sec.

1C003

Magnetic metals, of all types and of whatever form, having any of the following:

a.

Initial relative permeability of 120 000 or more and a thickness of 0,05 mm or less;

Technical Note:

Measurement of initial relative permeability must be performed on fully annealed materials.

b.

Magnetostrictive alloys having any of the following:

1.

A saturation magnetostriction of more than 5 x 10

-4

;

or

2.

A magnetomechanical coupling factor (k) of more than 0,8;

or

c.

Amorphous or 'nanocrystalline' alloy strips, having all of the following:

1.

A composition having a minimum of 75% by weight of iron, cobalt or nickel;

2.

A saturation magnetic induction (B

s

) of 1,6 T or more;

and

3.

Any of the following:

a.

A strip thickness of 0,02 mm or less;

or

b.

An electrical resistivity of 2 x 10

-4

 ohm cm or more.

Technical Note:

'Nanocrystalline' materials in 1C003.c. are those materials having a crystal grain size of 50 nm or less, as determined by X-ray diffraction.

1C004

Uranium titanium alloys or tungsten alloys with a "matrix" based on iron, nickel or copper, having all of the following:

a.

A density exceeding 17,5 g/cm

3

;

b.

An elastic limit exceeding 880 MPa;

c.

An ultimate tensile strength exceeding 1 270 MPa;

and

d.

An elongation exceeding 8%.

1C005

"Superconductive""composite" conductors in lengths exceeding 100 m or with a mass exceeding 100 g, as follows:

a.

"Superconductive""composite" conductors containing one or more niobium-titanium 'filaments', having all of the following:

1.

Embedded in a "matrix" other than a copper or copper-based mixed "matrix";

and

2.

Having a cross-section area less than 0,28 x 10

-4

 mm

2

(6 μm in diameter for circular 'filaments');

b.

"Superconductive""composite" conductors consisting of one or more "superconductive" 'filaments' other than niobium-titanium, having all of the following:

1.

A "critical temperature" at zero magnetic induction exceeding 9,85 K (-263,31°C);

and

2.

Remaining in the "superconductive" state at a temperature of 4,2 K (-268,96°C) when exposed to a magnetic field oriented in any direction perpendicular to the longitudinal axis of conductor and corresponding to a magnetic induction of 12 T with critical current density exceeding 1 750 A/mm

2

on overall cross-section of the conductor;

c.

"Superconductive""composite" conductors consisting of one or more "superconductive" 'filaments' which remain "superconductive" above 115 K (-158,16°C).

Technical Note:

For the purpose of 1C005 'filaments' may be in wire, cylinder, film, tape or ribbon form.

1C006

Fluids and lubricating materials, as follows:

a.

Not used;

b.

Lubricating materials containing, as their principal ingredients, any of the following:

1.

Phenylene or alkylphenylene ethers or thio-ethers, or their mixtures, containing more than two ether or thio-ether functions or mixtures thereof;

or

2.

Fluorinated silicone fluids with a kinematic viscosity of less than 5 000 mm

2

/s (5 000 centistokes) measured at 298 K (25°C);

c.

Damping or flotation fluids having all of the following:

1.

Purity exceeding 99,8%;

2.

Containing less than 25 particles of 200 μm or larger in size per 100 ml;

and

3.

Made from at least 85% of any of the following:

a.

Dibromotetrafluoroethane (CAS 25497-30-7, 124-73-2, 27336-23-8);

b.

Polychlorotrifluoroethylene (oily and waxy modifications only);

or

c.

Polybromotrifluoroethylene;

d.

Fluorocarbon fluids designed for electronic cooling and having all of the following:

1.

Containing 85% by weight or more of any of the following, or mixtures thereof:

a.

Monomeric forms of perfluoropolyalkylether-triazines or perfluoroaliphatic-ethers;

b.

Perfluoroalkylamines;

c.

Perfluorocycloalkanes;

or

d.

Perfluoroalkanes;

2.

Density at 298 K (25°C) of 1,5 g/ml or more;

3.

In a liquid state at 273 K (0°C);

and

4.

Containing 60% or more by weight of fluorine.

Note:

1C006.d. does not control materials specified and packaged as medical products.

1C007

Ceramic powders, ceramic-"matrix""composite" materials and 'precursor materials', as follows:

N.B.

SEE ALSO 1C107.

a.

Ceramic powders of titanium diboride (TiB

2

) (CAS 12045-63-5) having total metallic impurities, excluding intentional additions, of less than 5 000 ppm, an average particle size equal to or less than 5 μm and no more than 10% of the particles larger than 10 μm;

b.

Not used;

c.

Ceramic-"matrix""composite" materials as follows:

1.

Ceramic-ceramic "composite" materials with a glass or oxide-"matrix" and reinforced with any of the following:

a.

Continuous fibres made from any of the following materials:

1.

Al

2

O

3

(CAS 1344-28-1);

or

2.

Si-C-N;

or

Note:

1C007.c.1.a. does not control "composites" containing fibres with a tensile strength of less than 700 MPa at 1 273 K (1 000°C) or tensile creep resistance of more than 1% creep strain at 100 MPa load and 1 273 K (1 000°C) for 100 hours.

b.

Fibres being all of the following:

1.

Made from any of the following materials:

a.

Si-N;

b.

Si-C;

c.

Si-Al-O-N;

or

d.

Si-O-N;

and

2.

Having a "specific tensile strength" exceeding 12,7 x 10

3

m;

2.

Ceramic “matrix”"composite" materials, with a "matrix" formed of carbides or nitrides of silicon, zirconium or boron;

d.

Not used;

e.

'Precursor materials' specially designed for the "production" of materials specified in 1C007.c., as follows:

1.

Polydiorganosilanes;

2.

Polysilazanes;

3.

Polycarbosilazanes;

Technical Note:

For the purposes of 1C007, 'precursor materials' are special purpose polymeric or metallo-organic materials used for the "production" of silicon carbide, silicon nitride, or ceramics with silicon, carbon and nitrogen.

f.

Not used.

1C008

Non-fluorinated polymeric substances as follows:

a.

Imides, as follows:

1.

Bismaleimides;

2.

Aromatic polyamide-imides (PAI) having a 'glass transition temperature (T

g

)' exceeding 563 K (290°C);

3.

Aromatic polyimides having a 'glass transition temperature (T

g

)' exceeding 505 K (232°C);

4.

Aromatic polyetherimides having a 'glass transition temperature (T

g

)' exceeding 563 K (290°C);

Note:

1C008.a. controls substances in liquid or solid "fusible" form, including resin, powder, pellet, film, sheet, tape or ribbon.

N.B.

For non-"fusible" aromatic polyimides in film, sheet, tape or ribbon form, see 1A003.

b.

Not used;

c.

Not used;

d.

Polyarylene ketones;

e.

Polyarylene sulphides, where the arylene group is biphenylene, triphenylene or combinations thereof;

f.

Polybiphenylenethersulphone having a 'glass transition temperature (T

g

)' exceeding 563 K (290°C).

Technical Notes:

1.

The 'glass transition temperature (T

g

)' for 1C008.a.2. thermoplastic materials, 1C008.a.4. materials and 1C008.f. materials is determined using the method described in ISO 11357-2:1999 or national equivalents

2.

The 'glass transition temperature (T

g

)' for 1C008.a.2. thermosetting materials and 1C008.a.3. materials is determined using the 3-point bend method described in ASTM D 7028-07 or equivalent national standard. The test is to be performed using a dry test specimen which has attained a minimum of 90% degree of cure as specified by ASTM E 2160-04 or equivalent national standard, and was cured using the combination of standard- and post-cure processes that yield the highest T

g

.

1C009

Unprocessed fluorinated compounds as follows:

a.

Not used;

b.

Fluorinated polyimides containing 10% by weight or more of combined fluorine;

c.

Fluorinated phosphazene elastomers containing 30% by weight or more of combined fluorine.

1C010

"Fibrous or filamentary materials", as follows:

N.B.

SEE ALSO 1C210 AND 9C110.

Technical Notes:

1.

For the purpose of calculating "specific tensile strength", "specific modulus" or specific weight of "fibrous or filamentary materials" in 1C010.a., 1C010.b., 1C010.c. or 1C010.e.1.b., the tensile strength and modulus should be determined by using Method A described in ISO 10618:2004 or national equivalents.

2.

Assessing the "specific tensile strength", "specific modulus" or specific weight of non-unidirectional "fibrous or filamentary materials" (e.g., fabrics, random mats or braids) in 1C010 is to be based on the mechanical properties of the constituent unidirectional monofilaments (e.g., monofilaments, yarns, rovings or tows) prior to processing into the non-unidirectional "fibrous or filamentary materials".

a.

Organic "fibrous or filamentary materials", having all of the following:

1.

"Specific modulus" exceeding 12,7 x 10

6

 m;

and

2.

"Specific tensile strength" exceeding 23,5 x 10

4

 m;

Note:

1C010.a. does not control polyethylene.

b.

Carbon "fibrous or filamentary materials", having all of the following:

1.

"Specific modulus" exceeding 14,65 x 10

6

 m;

and

2.

"Specific tensile strength" exceeding 26,82 x 10

4

 m;

Note:

1C010.b. does not control:

a.

"Fibrous or filamentary materials", for the repair of "civil aircraft" structures or laminates, having all of the following:

1.

An area not exceeding 1 m

2

;

2.

A length not exceeding 2,5 m;

and

3.

A width exceeding 15 mm.

b.

Mechanically chopped, milled or cut carbon "fibrous or filamentary materials" 25,0 mm or less in length.

c.

Inorganic "fibrous or filamentary materials", having all of the following:

1.

Having any of the following:

a.

Composed of 50% or more by weight silicon dioxide and having a "specific modulus" exceeding 2,54 x 10

6

 m;

or

b.

Not specified in 1C010.c.1.a. and having a "specific modulus" exceeding 5,6 x 10

6

m;

and

2.

Melting, softening, decomposition or sublimation point exceeding 1 922 K (1 649°C) in an inert environment;

Note:

1C010.c. does not control:

a.

Discontinuous, multiphase, polycrystalline alumina fibres in chopped fibre or random mat form, containing 3% by weight or more silica, with a "specific modulus" of less than 10 x 10

6

 m;

b.

Molybdenum and molybdenum alloy fibres;

c.

Boron fibres;

d.

Discontinuous ceramic fibres with a melting, softening, decomposition or sublimation point lower than 2 043 K (1 770°C) in an inert environment.

d.

"Fibrous or filamentary materials", having any of the following:

1.

Composed of any of the following:

a.

Polyetherimides specified in 1C008.a.;

or

b.

Materials specified in 1C008.d. to 1C008.f.;

or

2.

Composed of materials specified in 1C010.d.1.a. or 1C010.d.1.b. and 'commingled' with other fibres specified in 1C010.a., 1C010.b. or 1C010.c.;

Technical Note:

'Commingled' is filament to filament blending of thermoplastic fibres and reinforcement fibres in order to produce a fibre reinforcement "matrix" mix in total fibre form.

e.

Fully or partially resin-impregnated or pitch-impregnated "fibrous or filamentary materials" (prepregs), metal or carbon-coated "fibrous or filamentary materials" (preforms) or 'carbon fibre preforms', having all of the following:

1.

Having any of the following:

a.

Inorganic "fibrous or filamentary materials" specified in 1C010.c.;

or

b.

Organic or carbon "fibrous or filamentary materials", having all of the following:

1.

"Specific modulus" exceeding 10,15 x 10

6

m;

and

2.

"Specific tensile strength" exceeding 17,7 x 10

4

 m;

and

2.

Having any of the following:

a.

Resin or pitch, specified in 1C008 or 1C009.b.;

b.

'Dynamic Mechanical Analysis glass transition temperature (DMA T

g

)' equal to or exceeding 453 K (180

o

C) and having a phenolic resin;

or

c.

'Dynamic Mechanical Analysis glass transition temperature (DMA T

g

)' equal to or exceeding 505 K (232

o

C) and having a resin or pitch, not specified in 1C008 or 1C009.b., and not being a phenolic resin;

Note 1:

Metal or carbon-coated "fibrous or filamentary materials" (preforms) or

'carbon fibre

preforms', not impregnated with resin or pitch, are specified by "fibrous or filamentary materials" in 1C010.a., 1C010.b. or 1C010.c.