Annex II

United Kingdom

ANNEX IX

LIST OF EQUIPMENT, GOODS AND TECHNOLOGY REFERRED TO IN ARTICLE 2b

Introductory Notes

1.

Unless otherwise stated, reference numbers used in the column below entitled “Description” refer to the descriptions of dual-use items set out in Annex I to Regulation (EC) No 428/2009.

2.

A reference number in the column below entitled “Related item from Annex I to Regulation (EC) No 428/2009” means that the characteristics of the item described in the “Description” column lie outside the parameters set out in the description of the dual-use entry referred to.

3.

Definitions of terms between ‘single quotation marks’ are given in a technical note to the relevant item.

4.

Definitions of terms between “double quotation marks” can be found in Annex I to Regulation (EC) No 428/2009.

General Notes

1.

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 is/are the principal element of the goods and can feasibly be removed or used for other purposes.

NB:

In judging whether the controlled component or components is/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.

2.

The items specified in this Annex include both new and used goods.

General Technology Note (GTN)

(To be read in conjunction with Section B of this Annex)

1.

The sale, supply, transfer or export of “technology” which is “required” for the “development”, “production” or “use” of goods the sale, supply, transfer or export of which is controlled in Section IX.A of this Annex, is controlled in accordance with the provisions of Section B.

2.

The “technology”“required” for the “development”, “production” or “use” of goods under control remains under control even when it is applicable to non-controlled goods.

3.

Controls do not apply to that “technology” which is the minimum necessary for the installation, operation, maintenance (checking) and repair of those goods which are not controlled or the export of which has been authorised in accordance with this Regulation.

4.

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

IX.A.

GOODS

IX.A1. Materials, chemicals, ‘micro-organisms’ and ‘toxins’

No Description Related item from Annex I to Regulation (EC) No 428/2009
IX.A1.001
Chemicals at 95 % concentration or greater, as follows:

Tributylphosphite, (CAS 102-85-2)

Isocyanatomethane, (CAS 624-83-9)

Quinaldine, (CAS 91-63-4)

2-bromochloroethane, (CAS 107-04-0)

IX.A1.002
Chemicals at 95 % concentration or greater, as follows:

Benzil, (CAS 134-81-6)

Diethylamine, (CAS 109-89-7)

Diethyl ether, (CAS 60-29-7)

Dimethyl ether, (CAS 115-10-6)

Dimethylaminoethanol, (CAS 108-01-0)

IX.A1.003
Chemicals at 95 % concentration or greater, as follows:

2-methoxyethanol, (CAS 109-86-4)

Butyrylcholinesterase (BCHE)

Diethylenetriamine, (CAS 111-40-0)

Dichloromethane, (CAS 75-09-3)

Dimethylanaline, (CAS 121-69-7)

Ethyl bromide, (CAS 74-96-4)

Ethyl chloride, (CAS 75-00-3)

Ethylamine, (CAS 75-04-7)

Hexamine, (CAS 100-97-0)

Isopropyl bromide, (CAS 75-26-3)

Isopropyl ether, (CAS 108-20-3)

Methylamine, (CAS 74-89-5)

Methyl bromide, (CAS 74-83-9)

Monoisopropylamine, (CAS 75-31-0)

Obidoxime chloride, (CAS 114-90-9)

Potassium bromide, (CAS 7758-02-3)

Pyridine, (CAS 110-86-1)

Pyridostigmine bromide, (CAS 101-26-8)

Sodium bromide, (CAS 7647-15-6)

Sodium metal, (CAS 7440-23-5)

Tributylamine, (CAS 102-82-9)

Triethylamine, (CAS 121-44-8)

Trimethylamine, (CAS 75-50-3)

IX.A2. Materials Processing

No Description Related item from Annex I to Regulation (EC) No 428/2009
IX.A2.001 Floor-mounted fume hoods (walk-in-style) with a minimum nominal width of 2,5 meters.
IX.A2.002 Full face-mask air-purifying and air-supplying respirators other than those specified in 1A004 or 2B352f1. 1A004.a
IX.A2.003 Class II biological safety cabinets or isolators with similar performance standards. 2B352.f.2
IX.A2.004 Batch centrifuges with a rotor capacity of 4 litres or greater, usable with biological materials.
IX.A2.005
Fermenters capable of cultivation of pathogenic “micro-organisms”, viruses or for toxin production, without the propagation of aerosols, having a capacity of 5 litres or more but less than 20 litres.

Technical Note:

Fermenters include bioreactors, chemostats and continuous-flow systems.
2B352.b
IX.A2.007 Conventional or turbulent air-flow clean-air rooms and self contained fan-HEPA or ULPA filter units that may be used for P3 or P4 (BSL 3, BSL 4, L3, L4) containments facilities. 2B352.a
IX.A2.008
Chemical manufacturing facilities, equipment and components, other than those specified in 2B350 or A2.009 as follows:

a..

Reaction vessels or reactors, with or without agitators, with total internal (geometric) volume greater than 0,1 m³ (100 litres) and less than 20 m³ (20 000 litres), where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

1..

Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

b..

Agitators for use in reaction vessels or reactors specified in 2B350.a.; where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

1..

Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

c..

Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0,1 m³ (100 litres) where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

1..

Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

d..

Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m², and less than 30 m²; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) being processed are made from the following materials:

1..

Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

Technical Note:

The materials used for gaskets and seals and other implementation of sealing functions do not determine the control status of the heat exchanger.

e..

Distillation or absorption columns of internal diameter greater than 0,1 m; where all surfaces that come in direct contact with the fluid(s) being processed are made from the following materials:

1..

Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

f..

Valves with ‘nominal sizes’ greater than 10 mm and casings (valve bodies) designed for such valves where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

1..

Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon;

Technical Note:

1.

The materials used for gaskets and seals and other implementation of sealing functions do not determine the control status of the valve.

2.

The ‘nominal size’ is defined as the smaller of the inlet and outlet diameters.

g..

Multiple-seal and seal-less pumps, with manufacturer’s specified maximum flow-rate greater than 0,6 m³/hour, in which all surfaces that come in direct contact with the chemical(s) being processed are made from the following materials:

1..

Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon.

h..

Vacuum pumps with a manufacturer’s specified maximum flow-rate greater than 1 m³/h (under standard temperature (273 K (0 °C)) and pressure (101,3 kPa) conditions), and casings (pump bodies) and preformed casing-liners, impellers, rotors and jet pump nozzles designed for such pumps, in which all surfaces that come into direct contact with the chemicals being processed are made from any of the following materials:

1..

‘Alloys’ with more than 25 % nickel and 20 % chromium by weight;

2..

Ceramics;

3..

‘Ferrosilicon’;

4..

Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight);

5..

Glass (including vitrified or enamelled coatings or glass lining);

6..

Graphite or ‘carbon graphite’;

7..

Nickel or ‘alloys’ with more than 40 % nickel by weight;

8..

Stainless steel with 20 % nickel and 19 % chromium or more by weight;

9..

Tantalum or tantalum ‘alloys’;

10..

Titanium or titanium ‘alloys’;

11..

Zirconium or zirconium ‘alloys’; or

12..

Niobium (columbium) or niobium ‘alloys’.

Technical Notes:

1.

The materials used for diaphragms or gaskets and seals and other implementation of sealing functions do not determine the status of control of the pump.

2.

‘Carbon graphite’ is a composition consisting of amorphous carbon and graphite, in which the graphite content is 8 % or more by weight.

3.

‘Ferrosilicons’ are silicon iron alloys with more than 8 % silicon by weight or more.

For the listed materials in the above entries, the term ‘alloy’ when not accompanied by a specific elemental concentration is understood as identifying those alloys where the identified metal is present in a higher percentage by weight than any other element.

2B350.a-e

2B350.g

2B350.i

IX.A2.009
Chemical manufacturing facilities, equipment and components, other than specified in 2B350 or A2.008 as follows:

Reaction vessels or reactors, with or without agitators, with a total internal (geometric) volume greater than 0,1 m³ (100 litres) and less than 20 m³ (20 000 litres) where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

Stainless steel with 20 % nickel and 19 % chromium or more by weight;

Agitators for use in reaction vessels or reactors specified in a. where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

Stainless steel with 20 % nickel and 19 % chromium or more by weight;

Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0,1 m³ (100 litres) where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials:

Stainless steel with 20 % nickel and 19 % chromium or more by weight;

Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m², and less than 30 m²; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) being processed are made from the following materials:

Stainless steel with 20 % nickel and 19 % chromium or more by weight;

Technical Note:

The materials used for gaskets and seals and other implementation of sealing functions do not determine the control status of the heat exchanger.

Distillation or absorption columns of internal diameter greater than 0,1 m; and liquid distributors, vapour distributors or liquid collectors, in which all surfaces that come in direct contact with the chemical(s) being processed are made from the following materials:

Stainless steel with 20 % nickel and 19 % chromium or more by weight;

Valves having a nominal diameter of 10 mm or more, and casings (valve bodies), balls or plugs designed for such valves, in which all surfaces that come in direct contact with the chemical(s) being processed or contained are made from the following materials:

Stainless steel with 20 % nickel and 19 % chromium or more by weight;

Technical note:

The ‘nominal size’ is defined as the smaller of the inlet and outlet port diameters.

Multiple-seal and seal-less pumps with manufacturer’s specified maximum flow-rate greater than 0,6 m³/hour (measured under standard temperature (273 K or 0 °C) and pressure (101,3 kPa) conditions); and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:

Ceramics;

Ferrosilicon (silicon iron alloys with more than 8 % silicon by weight or more);

Stainless steel with 20 % nickel and 19 % chromium or more by weight;

Technical Notes:

The materials used for diaphragms or gaskets and seals and other implementation of sealing functions do not determine the control status of the pump.

For the listed materials in the above entries, the term ‘alloy’ when not accompanied by a specific elemental concentration is understood as identifying those alloys where the identified metal is present in a higher percentage by weight than any other element.

B.

TECHNOLOGY

No Description Related item from Annex I to Regulation (EC) No 428/2009
IX.B.001
‘Technology’ required for the “development”, “production” or “use” of the items in Section IX.A.

Technical Note:

The term ‘technology’ includes “software”.

No	Description	Related item from Annex I to Regulation (EC) No 428/2009
IX.A1. Materials, chemicals, ‘micro-organisms’ and ‘toxins’
IX.A1.001	Chemicals at 95 % concentration or greater, as follows: Tributylphosphite, (CAS 102-85-2) Isocyanatomethane, (CAS 624-83-9) Quinaldine, (CAS 91-63-4) 2-bromochloroethane, (CAS 107-04-0)
IX.A1.002	Chemicals at 95 % concentration or greater, as follows: Benzil, (CAS 134-81-6) Diethylamine, (CAS 109-89-7) Diethyl ether, (CAS 60-29-7) Dimethyl ether, (CAS 115-10-6) Dimethylaminoethanol, (CAS 108-01-0)
IX.A1.003	Chemicals at 95 % concentration or greater, as follows: 2-methoxyethanol, (CAS 109-86-4) Butyrylcholinesterase (BCHE) Diethylenetriamine, (CAS 111-40-0) Dichloromethane, (CAS 75-09-3) Dimethylanaline, (CAS 121-69-7) Ethyl bromide, (CAS 74-96-4) Ethyl chloride, (CAS 75-00-3) Ethylamine, (CAS 75-04-7) Hexamine, (CAS 100-97-0) Isopropyl bromide, (CAS 75-26-3) Isopropyl ether, (CAS 108-20-3) Methylamine, (CAS 74-89-5) Methyl bromide, (CAS 74-83-9) Monoisopropylamine, (CAS 75-31-0) Obidoxime chloride, (CAS 114-90-9) Potassium bromide, (CAS 7758-02-3) Pyridine, (CAS 110-86-1) Pyridostigmine bromide, (CAS 101-26-8) Sodium bromide, (CAS 7647-15-6) Sodium metal, (CAS 7440-23-5) Tributylamine, (CAS 102-82-9) Triethylamine, (CAS 121-44-8) Trimethylamine, (CAS 75-50-3)

No	Description	Related item from Annex I to Regulation (EC) No 428/2009
IX.A2. Materials Processing
IX.A2.001	Floor-mounted fume hoods (walk-in-style) with a minimum nominal width of 2,5 meters.
IX.A2.002	Full face-mask air-purifying and air-supplying respirators other than those specified in 1A004 or 2B352f1.	1A004.a
IX.A2.003	Class II biological safety cabinets or isolators with similar performance standards.	2B352.f.2
IX.A2.004	Batch centrifuges with a rotor capacity of 4 litres or greater, usable with biological materials.
IX.A2.005	Fermenters capable of cultivation of pathogenic “micro-organisms”, viruses or for toxin production, without the propagation of aerosols, having a capacity of 5 litres or more but less than 20 litres. Technical Note: Fermenters include bioreactors, chemostats and continuous-flow systems.	2B352.b
IX.A2.007	Conventional or turbulent air-flow clean-air rooms and self contained fan-HEPA or ULPA filter units that may be used for P3 or P4 (BSL 3, BSL 4, L3, L4) containments facilities.	2B352.a
IX.A2.008	Chemical manufacturing facilities, equipment and components, other than those specified in 2B350 or A2.009 as follows: a.. Reaction vessels or reactors, with or without agitators, with total internal (geometric) volume greater than 0,1 m³ (100 litres) and less than 20 m³ (20 000 litres), where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials: 1.. Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon; b.. Agitators for use in reaction vessels or reactors specified in 2B350.a.; where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials: 1.. Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon; c.. Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0,1 m³ (100 litres) where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials: 1.. Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon; d.. Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m², and less than 30 m²; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) being processed are made from the following materials: 1.. Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon; Technical Note: The materials used for gaskets and seals and other implementation of sealing functions do not determine the control status of the heat exchanger. e.. Distillation or absorption columns of internal diameter greater than 0,1 m; where all surfaces that come in direct contact with the fluid(s) being processed are made from the following materials: 1.. Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon; f.. Valves with ‘nominal sizes’ greater than 10 mm and casings (valve bodies) designed for such valves where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials: 1.. Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon; Technical Note: 1. The materials used for gaskets and seals and other implementation of sealing functions do not determine the control status of the valve. 2. The ‘nominal size’ is defined as the smaller of the inlet and outlet diameters. g.. Multiple-seal and seal-less pumps, with manufacturer’s specified maximum flow-rate greater than 0,6 m³/hour, in which all surfaces that come in direct contact with the chemical(s) being processed are made from the following materials: 1.. Stainless steels with more than or equal to 10,5 % chromium and less than or equal to 1,2 % carbon. h.. Vacuum pumps with a manufacturer’s specified maximum flow-rate greater than 1 m³/h (under standard temperature (273 K (0 °C)) and pressure (101,3 kPa) conditions), and casings (pump bodies) and preformed casing-liners, impellers, rotors and jet pump nozzles designed for such pumps, in which all surfaces that come into direct contact with the chemicals being processed are made from any of the following materials: 1.. ‘Alloys’ with more than 25 % nickel and 20 % chromium by weight; 2.. Ceramics; 3.. ‘Ferrosilicon’; 4.. Fluoropolymers (polymeric or elastomeric materials with more than 35 % fluorine by weight); 5.. Glass (including vitrified or enamelled coatings or glass lining); 6.. Graphite or ‘carbon graphite’; 7.. Nickel or ‘alloys’ with more than 40 % nickel by weight; 8.. Stainless steel with 20 % nickel and 19 % chromium or more by weight; 9.. Tantalum or tantalum ‘alloys’; 10.. Titanium or titanium ‘alloys’; 11.. Zirconium or zirconium ‘alloys’; or 12.. Niobium (columbium) or niobium ‘alloys’. Technical Notes: 1. The materials used for diaphragms or gaskets and seals and other implementation of sealing functions do not determine the status of control of the pump. 2. ‘Carbon graphite’ is a composition consisting of amorphous carbon and graphite, in which the graphite content is 8 % or more by weight. 3. ‘Ferrosilicons’ are silicon iron alloys with more than 8 % silicon by weight or more. For the listed materials in the above entries, the term ‘alloy’ when not accompanied by a specific elemental concentration is understood as identifying those alloys where the identified metal is present in a higher percentage by weight than any other element.	2B350.a-e 2B350.g 2B350.i
IX.A2.009	Chemical manufacturing facilities, equipment and components, other than specified in 2B350 or A2.008 as follows: Reaction vessels or reactors, with or without agitators, with a total internal (geometric) volume greater than 0,1 m³ (100 litres) and less than 20 m³ (20 000 litres) where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials: Stainless steel with 20 % nickel and 19 % chromium or more by weight; Agitators for use in reaction vessels or reactors specified in a. where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials: Stainless steel with 20 % nickel and 19 % chromium or more by weight; Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0,1 m³ (100 litres) where all surfaces that come in direct contact with the fluid(s) being processed or contained are made from the following materials: Stainless steel with 20 % nickel and 19 % chromium or more by weight; Heat exchangers or condensers with a heat transfer surface area greater than 0,05 m², and less than 30 m²; and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the fluid(s) being processed are made from the following materials: Stainless steel with 20 % nickel and 19 % chromium or more by weight; Technical Note: The materials used for gaskets and seals and other implementation of sealing functions do not determine the control status of the heat exchanger. Distillation or absorption columns of internal diameter greater than 0,1 m; and liquid distributors, vapour distributors or liquid collectors, in which all surfaces that come in direct contact with the chemical(s) being processed are made from the following materials: Stainless steel with 20 % nickel and 19 % chromium or more by weight; Valves having a nominal diameter of 10 mm or more, and casings (valve bodies), balls or plugs designed for such valves, in which all surfaces that come in direct contact with the chemical(s) being processed or contained are made from the following materials: Stainless steel with 20 % nickel and 19 % chromium or more by weight; Technical note: The ‘nominal size’ is defined as the smaller of the inlet and outlet port diameters. Multiple-seal and seal-less pumps with manufacturer’s specified maximum flow-rate greater than 0,6 m³/hour (measured under standard temperature (273 K or 0 °C) and pressure (101,3 kPa) conditions); and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials: Ceramics; Ferrosilicon (silicon iron alloys with more than 8 % silicon by weight or more); Stainless steel with 20 % nickel and 19 % chromium or more by weight; Technical Notes: The materials used for diaphragms or gaskets and seals and other implementation of sealing functions do not determine the control status of the pump. For the listed materials in the above entries, the term ‘alloy’ when not accompanied by a specific elemental concentration is understood as identifying those alloys where the identified metal is present in a higher percentage by weight than any other element.